Document:

EX-10.5

 Exhibit 10.5 

CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT WERE OMITTED AND REPLACED WITH “[***]”. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY
WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. 

EXECUTION VERSION 

License and Collaborative Research Agreement 

License and Collaborative Research Agreement (“Agreement”), effective December 18, 2014 (“Effective
Date”), by and between Novartis Institutes for BioMedical Research, Inc., a Delaware corporation with its principal place of business at 250 Massachusetts Avenue, Cambridge, MA 02139 USA (“Novartis”), and Intellia
Therapeutics, Inc., a Delaware corporation with its principal place of business at 130 Brookline Street, Suite 201, Cambridge, MA 02139 USA (“Intellia”). Novartis and Intellia are each separately referred to as a
“Party” and are collectively referred to as the “Parties”. 
 Whereas, Intellia is a
biopharmaceutical company that has licensed and is developing a CRISPR System that permits genomic editing for the research, Development and Commercialization of therapeutic, prophylactic, and palliative applications; 

Whereas, Novartis possesses expertise in discovering, developing, manufacturing, marketing, and selling pharmaceutical products
worldwide; and 
 Whereas, the Parties wish to further develop Intellia’s platform and discover therapeutic, prophylactic, and
palliative products and services generated through the use of that technology. 

 CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT WERE OMITTED AND REPLACED WITH “[***]”. A COMPLETE
VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 In consideration of the respective representations, warranties, covenants, and agreements
contained herein, and for other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree as follows: 

ARTICLE I 
 CERTAIN
DEFINITIONS; RULES OF INTERPRETATION 
 Section 1.1 Certain Definitions. 

For the purpose of this Agreement, the following terms, whether used in singular or plural form, will have the meanings set forth below: 

“Accounting Standards” means, with respect to Novartis, the International Financial Reporting Standards (“IFRS”)
and, with respect to Intellia, US Generally Accepted Accounting Principles (“US GAAP”), in each case, as generally and consistently applied throughout the Party’s organization. 

“Additional Selected HSC Product” means an HSC Product directed to an Additional Selected HSC Target that is researched,
Developed, or Commercialized by Novartis, its Affiliates, or their sublicensees. 
 “Additional Selected HSC Target” has
the meaning set forth in Section 2.2.4(a). 
 “Advanced CART Product” means a CART Product directed to a CART
Therapeutic Target and a certain Advanced CART Target that Novartis, its Affiliates, or their sublicensees is researching, Developing, or Commercializing. 

“Advanced CART Target” means [***] that a specified CART Product is directed toward. [***] 

“Affiliate” means, with respect to a specified Person, a Person that directly or indirectly controls, is controlled by, or is
under common control with such Person. For the purpose of this definition, “control” or “controlled” means direct or indirect ownership of 50% or more of the shares of stock entitled to vote for the election of directors in the
case of a corporation, ownership of 50% or more of the equity interest in the case of any other type of legal entity, status as a general partner in any partnership, or any other arrangement whereby the Person controls or has the right to control
the board of directors or equivalent governing body of a corporation or other entity or the ability to otherwise cause the direction of the management or policies of the corporation or other 

  
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 CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT WERE OMITTED AND REPLACED WITH “[***]”. A COMPLETE
VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 
entity. The Parties acknowledge that, in the case of entities organized under the Applicable Laws of certain countries where the maximum percentage ownership permitted by Applicable Law for a
foreign investor is less than 50%, such lower percentage will be substituted in the preceding sentence; provided, that such foreign investor has the power to direct the management and policies of such entity. “Affiliate” shall not
include any investment fund or any other Person or entity controlled by such investment fund [***]. 
 “Agreement” has the
meaning set forth in the preamble, and will include, for the avoidance of doubt, all Exhibits attached hereto. 
 “Agreement
Term” has the meaning set forth in Section 11.1. 
 “Alliance Manager” has the meaning set forth in
Section 3.4. 
 “Annual Net Sales” means, with respect to a Product, the Net Sales of such Product during a Calendar
Year. 
 “Applicable Law” means any applicable national, supranational, federal, state, local or foreign law, statute,
ordinance, principle of common law, or any rule, regulation, standard, judgment, order, writ, injunction, decree, arbitration award, agency requirement, license, or permit of any Governmental Authority, including any rules, regulations, guidelines,
or other requirements of Regulatory Authorities. 
 “Approval Milestone” has the meaning set forth in Section 7.3.3.

 “Approved Internalized Target” has the meaning set forth in Section 6.4. 

“Auditor” has the meaning set forth in Section 7.8.2. 

“Business Day” means a day other than a Saturday, Sunday, or public holiday during which banks are authorized to be closed in
Cambridge, Massachusetts. 
 “Calendar Quarter” means each calendar quarter ending on
March 31, June 30, September 30, or December 31. 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 “Calendar Year” means each calendar year ending on December 31. 

“Caribou” means Caribou Biosciences, Inc., a Delaware corporation. 

“Caribou-Berkeley-Vienna Agreement” means the Exclusive License by and among Caribou, the Regents of the University of
California, and the University of Vienna, dated April 16, 2013 and amended April 17, 2013, as amended from time to time. 

“Caribou-Intellia License Agreement” means the License Agreement by and between Caribou and Intellia, dated July 16, 2014, as
amended from time to time. 
 “Caribou-Wageningen Agreement” means the Exclusive Assignment Agreement, by and between
Caribou and Wageningen Universiteit, dated February 13, 2014, as amended from time to time. 
 “Chimeric Antigen Receptor”
or “CAR” means [***]. 
 “CART” means an engineered CAR-modified T-cell. 

“CART Budget” has the meaning set forth in Section 2.3. 

“CART CRISPR Target” means the [***]. 

“CART Field” means the ex vivo use of CARTs [***], as a therapeutic, prophylactic, or palliative of any human disease.
By ex vivo, it is meant that the modification of cells occurs ex vivo, and the CART is then administered to patients. [***]. 

[***] 
 “CART
Product” means a product or service that Novartis, its Affiliates, or their sublicensees is researching, Developing, or Commercializing for use in the CART Field the research, development, manufacture, use, sale or import of which Practices
Intellia Intellectual Property or Collaboration Intellectual Property. 
 “CART Program” has the meaning set forth in
Section 2.1.1. 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 “CART Program Target” means the [***] 

“CART Research Plan” has the meaning set forth in Section 2.3. 

“CART Steering Committee” has the meaning set forth in Section 3.1.2. 

“CART Target Product” means and includes any and all Advanced CART Products directed to [***]. 

“CART Therapeutic Target” means the [***]. 

[***]. 

“Co-Chair” has the meaning set forth in Section 3.2.3. 

“Co-Detailing Agreement” has the meaning set forth in Section 3.8.2(c). 

“Collaboration” has the meaning set forth in Section 2.1.1. 

“Collaboration Intellectual Property” means all Intellectual Property Rights created, conceived of, or reduced to practice by
either of or jointly by the Parties, their Affiliates, or its or their employees, agents or subcontractors during the Research Term in the conduct of the Collaboration. Collaboration Intellectual Property will consist of Collaboration Platform
Intellectual Property and Collaboration Product Intellectual Property. [***] 
 “Collaboration Platform Intellectual
Property” means all Collaboration Intellectual Property relating to (a) [***]; or (b) any and all improvements or modifications to [***]. 

“Collaboration Product” means an HSC Product, CART Product, and/or In Vivo Product. 

“Collaboration Product Intellectual Property” means all Collaboration Intellectual Property other than Collaboration Platform
Intellectual Property. 
 “Commercialization” or “Commercialize” means any and all activities directed to
manufacturing, marketing, promoting, detailing, distributing, importing, exporting, selling, or offering to sell a pharmaceutical product or service. 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 “Commercially Reasonable Efforts” means those efforts and resources
consistent with the usual practices of the relevant Party in pursuing the research, Development, or Commercialization of a similarly situated pharmaceutical product or service at a similar stage of Development or Commercialization [***]. 

“Committee” has the meaning set forth in Section 3.2.1. 

[***] 
 “Confidential
Information” means all Know How or other information, including proprietary information and materials (whether or not patentable) regarding a Party’s technology, products, services, business information, or objectives, that is treated
as confidential by the disclosing Party in the regular course of business or is otherwise designated as confidential by the disclosing Party, whether existing before or after the Effective Date. For the avoidance of doubt, (a) [***]
provided by Novartis will be deemed to be Novartis’ Confidential Information; (b) [***] provided by Intellia, will be deemed to be Intellia’s Confidential Information; and (c) the terms of this Agreement will be
deemed to be the Confidential Information of both Parties. 
 “Confidentiality Agreement” means [***]. 

“Contract Year” means each successive twelve month period following the Effective Date. 

“Control” or “Controlled” means, with respect to any Intellectual Property Right the possession by a Party
(whether by ownership, license or otherwise) of the ability to grant access to, or a license or sublicense of, such rights or property, without (i) violating the terms of any agreement or other arrangement with any Third Party in
existence, or (ii) having an obligation to pay any royalties or other consideration therefor that the other contracting Party declines to assume pursuant to the election procedures of Section 7.6.2(a) or Section 7.6.2(c), as
applicable, at the time such Party would first be required hereunder to grant the other Party such access, license or sublicense. 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 “CRISPR” means clustered regularly interspaced short palindromic repeats.

 “CRISPR System” means [***]. 

“Detail” means [***]. When used as a verb, the terms “Detail” or Detailing means to perform a Detail. 

“Develop” or “Development” means any and all preclinical and clinical drug development activities, including
test method development and stability testing, toxicology, animal efficacy studies, formulation, quality assurance/quality control development, statistical analysis, clinical studies, clinical trials and testing, regulatory affairs, product and
service approval and registration, chemical development and development manufacturing, packaging development and manufacturing, and documentation efforts in support of development activities. 

“Development Milestone” has the meaning set forth in Section 7.3.3. 

“Diligence Package” has the meaning set forth in Section 2.2.5. 

“directed,” “directed to,” “directed toward” means, with respect to any specific Product,
that the Product derives its, therapeutic, prophylactic or palliative benefit from [***]. 
 “Disclaiming Party” has the
meaning set forth in Section 5.2.3(c). 
 “Effective Date” has the meaning set forth in the preamble. 

“EMA” means the European Medicines Agency or any successor agency thereto. 

“Equity Agreements” means that Unit Purchase Agreement, dated September 17, 2014, by and among Intellia Therapeutics,
LLC, Atlas Venture Fund IX, L.P. and Novartis, and that Amended and Restated Operating Agreement of Intellia Therapeutics, LLC, dated as of September 17, 2014, each as amended, waived or superseded from time to time. 

“EU” means the European Union, as its membership may be constituted from time to time, and any successor thereto [***]. 

“Excluded Intellia New In-Licensed Intellectual Property” has the meaning set forth in Section 7.6.2(a). 

[***] 
 “Excluded In
Vivo Targets” has the meaning set forth in Section 2.4.2(b). 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 “Excluded Novartis New In-Licensed Platform Intellectual Property” has the
meaning set forth in Section 7.6.2(c). 
 “Expert” has the meaning set forth in Section 12.2.2(b)(i). 

“Extensions” has the meaning set forth in Section 5.2.3(b). 

“FDA” means the United States Food and Drug Administration or any successor agency thereto. 

“First Commercial Sale” means the first arm’s length sale of a Product by Novartis, its Affiliates, or their licensees
to a Third Party (or an Intellia HSC Product by Intellia, its Affiliates, or their licensees to a Third Party) in a country following Regulatory Approval of such Product (or the Intellia HSC Product, as applicable) in that country or, if no such
Regulatory Approval is required for the sale of a Product (or Intellia HSC Product) in a country, the date upon which such Product (or Intellia HSC Product) is first commercially launched in such country. 

“FTE Rate” means a rate of [***] per FTE (as defined herein) per annum based on the yearly time of [***] full-time equivalent
Qualified Scientific Employee during the Research Term, consisting of a total of [***] hours per annum (“FTE”), to be pro-rated on a daily basis if necessary (per annum amount to be divided by [***] to produce the rate per whole day
consisting of [***] hours), such rate to be restricted to scientific work. For the purpose of this definition, a “Qualified Scientific Employee” means a scientist with adequate scientific knowledge, training, and experience to conduct the
work assigned to him or her. 
 “FPFD” means, with respect to a clinical trial, the first dosing of the first patient in
such clinical trial. 
 “Generic Equivalent” means, with respect to a particular Product in a country, any product that
(a) has Regulatory Approval for use in such country pursuant to a regulatory process governing approval of generic, interchangeable or biosimilar pharmaceutical or 

  
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AMENDED. 
  

 
biological product based on the then-current standards for regulatory approval in such country, where such regulatory approval relied on or incorporated clinical data generated by either Party
pursuant to this Agreement or was obtained using an abbreviated, expedited or other similar process; (b) during the Agreement Term, is not owned or licensed by Novartis (in the case of Products Commercialized by Novartis, its Affiliates,
or their sublicensees) or by Intellia (in the case of Intellia Products Commercialized by Intellia, its Affiliates, or their sublicensees) under this Agreement, and (c) is sold in the same country as the relevant Product by a Third Party
that is not a sublicensee of Novartis (in the case of Products Commercialized by Novartis, its Affiliates, or their sublicensees) or by Intellia (in the case of Intellia Products Commercialized by Intellia, its Affiliates, or their sublicensees),
and that did not purchase such product in a chain of distribution that included Novartis or Intellia, as applicable, or of any of their respective Affiliates or sublicensees. 

“GLP” means Good Laboratory Practices, as contemplated by 21 C.F.R. Part 58 in the United States, and the equivalent or
corresponding provisions of Applicable Laws of other jurisdictions. 
 “GLP Toxicology” means a toxicology study that is
commenced in compliance with GLP in a manner such that the resulting data would be admissible to applicable Regulatory Authorities to support an IND. 

“Government Authority” means any domestic or foreign entity exercising executive, legislative, judicial, regulatory or
administrative functions of or pertaining to government, including any governmental authority, agency, department, board, commission, court, tribunal, judicial body or instrumentality of any union of nations, federation, nation, state, municipality,
county, locality or other political subdivision thereof. 
 “HSC” means hematopoietic stem cells, [***]. 

“HSC Budget” has the meaning set forth in Section 2.2.2(b). 

  
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AMENDED. 
  

 “HSC Field” means the ex vivo use of a CRISPR System directed to a
Target to research, Develop, or Commercialize (including without limitation the provision of services, to the extent required for such Commercialization) HSC Products or services directed to a Target as a therapeutic, prophylactic, or palliative of
any human disease. For the purpose of this definition, “ex vivo” means that the CRISPR System modification of the HSC occurs ex vivo, and the modified HSCs are then administered to patients. 

“HSC Product” means a product or service that Novartis, its Affiliates, or their sublicensees is researching, Developing, or
Commercializing for use in the HSC Field the research, development, manufacture, use, sale or import of which Practices Intellia Intellectual Property or Collaboration Intellectual Property. 

“HSC Program” has the meaning set forth in Section 2.1.1. 

“HSC Research Plan” has the meaning set forth in Section 2.2.2(a). 

“HSC Steering Committee” has the meaning set forth in Section 3.1.2. 

“HSC Target Product” means and includes any and all HSC Products directed to the [***]. 

“Included Intellia New In-Licensed Intellectual Property” has the meaning set forth in Section 7.6.2(a). 

“Included Novartis New In-Licensed Platform Intellectual Property” has the meaning set forth in Section 7.6.2(c). 

“IND” means an Investigational New Drug application in the US filed with the FDA or the corresponding application for the
investigation of a Product in any other country or group of countries, as defined in the applicable laws and regulations and filed with the Regulatory Authority of such given country or group of countries. 

“Indemnified Party” has the meaning set forth in Section 10.3. 

“Indemnifying Party” has the meaning set forth in Section 10.3. 

  
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AMENDED. 
  

 “Indication” means a specific disease, impairment, or medical condition that
is the intended subject of a therapeutic, prophylactic, or palliative product or service. [***]. 
 “Insolvency Event”
means (a) a Party ceases to function as a going concern by suspending or discontinuing its business; (b) a Party becomes insolvent (i.e., is unable to pay its debts as they become due); (c) a Party is the
subject of voluntary or involuntary bankruptcy proceedings instituted on behalf of or against such Party (except for involuntary bankruptcy proceedings that are dismissed within [***] days); (d) an administrative receiver, receiver and
manager, interim receiver, custodian, sequestrator, or similar officer is appointed for a Party; (e) a notice to convene a directors’, shareholders’, or creditors’ meeting for the purpose of passing a resolution to wind up
a Party is issued or such a resolution is passed; (f) a resolution will have been passed by a Party or the Party’s directors to make an application for an administration order or to appoint an administrator; (g) a Party
proposes or makes any general assignment, composition, or arrangement with or for the benefit of all or some of its creditors; or (h) a Party makes or suspends or threatens to suspend making payments to all or some of its creditors or
submits to any type of a similar voluntary arrangement. 
 “Intellectual Property Rights” means Patent Rights and Know How.

 [***] 
 [***] 

[***] 
 “Intellia HSC
Product” means a product or service in the HSC Field directed to an Intellia Selected HSC Target. 
 “Intellia Intellectual
Property” means all Intellectual Property Rights Controlled by Intellia or its Affiliates relating to CRISPR Systems, or necessary or useful to research, Develop, manufacture or Commercialize products or services in the HSC Field, CART
Field or In Vivo Field that are in existence (a) as of the Effective Date [***]. 

  
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AMENDED. 
  

 “Intellia Net Sales” has the meaning set forth in Section 7.4.8. 

“Intellia New In-Licensed Intellectual Property” has the meaning set forth in Section 7.6.2(a). 

“Intellia Platform” means Intellia’s proprietary CRISPR System, as claimed by the Intellia Intellectual Property,
together with all improvements thereto (including Collaboration Platform Intellectual Property). 
 “Intellia Selected HSC
Targets” means the [***] HSC Targets selected by Intellia for its exclusive research under this Agreement in accordance with Section 2.2.3(a). 

[***] 
 [***] 

“In Vivo Budget” has the meaning set forth in Section 2.4.3. 

“In Vivo Field” means the use of CRISPR System for the in vivo treatment or prevention of any human disease. By
“in vivo”, it is meant that the modification of the relevant Target occurs in vivo. 
 “In Vivo
Product” means a product or service that Novartis, its Affiliates, or their sublicensees is researching, Developing, or Commercializing for use in the In Vivo Field the research, development, manufacture, use, sale or import of which
Practices Intellia Intellectual Property or Collaboration Intellectual Property. 
 “In Vivo Program” has the meaning set
forth in Section 2.1.1. 
 “In Vivo Research Plan” has the meaning set forth in Section 2.4.3. 

“In Vivo Target Product” means and includes [***] In Vivo Products directed to the [***] Novartis Selected In Vivo Target.

 “In Vivo Steering Committee” has the meaning set forth in Section 3.1.2. 

“Invoice” means an invoice substantially in the form attached as Exhibit A. 

  
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AMENDED. 
  

 “Joint Steering Committee” or “JSC” has the meaning set
forth in Section 3.1.1. 
 “Key License Agreements” has the meaning set forth in Section 9.2(a). 

“Know How” means any information, inventions, trade secrets or technology, whether or not proprietary or patentable and
whether stored or transmitted in oral, documentary, electronic, or other form. Know How will include inventions, ideas, concepts, formulas, methods, procedures, designs, compositions, plans, documents, data, discoveries, developments, techniques,
protocols, specifications, works of authorship, biological materials, and any information relating to research and development plans, experiments, results, compounds, therapeutic leads, candidates and products, services and service protocols,
clinical and preclinical data, clinical trial results, and manufacturing information and plans. 
 “Labeled Indication”
means any Indication of a Product as set forth in the Product’s label as approved by the relevant Regulatory Authority. “Initial Labeled Indication” means any Labeled Indication upon a Product’s initial receipt of Regulatory
Approval (regardless of the number of Indications described). “Additional Labeled Indication” means any Labeled Indication added to a Product’s label after the Initial Labeled Indication or expanding the scope of a previous Labeled
Indication, which is approved by way of a supplemental Regulatory Approval (e.g., by way of sNDA or sBLA) [***]. 

“Loss” has the meaning set forth in Section 10.1. 

“Loss of Market Exclusivity” means, with respect to any Product in any country, the Net Sales of such Product in that country
in any Calendar Year are less than [***]% as compared with the Net Sales of such Product in that country in the Calendar Year immediately preceding the marketing or sale of the first Generic Equivalent of such Product. 

“Materials” means any materials provided or transferred by one Party or its Affiliates to the other Party or its Affiliates
in connection with the Collaboration. In the 

  
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AMENDED. 
  

 
case of biological Materials, the term will encompass any medium in which the Materials are provided, any parts of the Materials [***], any modified or unmodified progeny of or descendant from
the Materials [***]. 
 “Milestone Payment” has the meaning set forth in Section 7.3.1. 

“Milestones” has the meaning set forth in Section 7.3.1. 

“Net Sales” means the net sales recorded by Novartis or any of its Affiliates or licensees [***] 

[***] 
 “Nominated CART
Program Target” has the meaning set forth in Section 2.3. 
 “Nominated HSC Target” has the meaning set forth
in Section 2.2.1. 
 “Novartis HSC Background Intellectual Property” means the compound identified on Exhibit
B, and any Patent Rights and Know How covering or claiming such compound, including its composition of matter, formulation, method of use or manufacture, but only with regards to such compound. For clarification purposes, Novartis HSC Background
Intellectual Property does not include rights to any other compounds (including their composition of matter, formulation, method of use or manufacture) that may be covered or claimed by the same Patent Rights and Know How as those covering or
claiming the compound identified on Exhibit B. 
 “Novartis New In-Licensed Platform Intellectual Property” has the
meaning set forth in Section 7.6.2(c). 
 “Novartis Other Background Intellectual Property” means the Patent Rights
and Know How identified on Exhibit C. 
 [***]. 

  
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AMENDED. 
  

 “Novartis Selected HSC Product” means an HSC Product directed to a Novartis
Selected HSC Target that is researched, Developed, or Commercialized by Novartis, its Affiliates, or their sublicensees. 

“Novartis Selected HSC Targets” means the [***] HSC Targets selected by Novartis for its exclusive research under this
Agreement in accordance with Section 2.2.3(a). 
 “Novartis Selected In Vivo Product” means an In Vivo Product
directed to a Novartis Selected In Vivo Target that is researched, Developed, or Commercialized by Novartis, its Affiliates, or their sublicensees. 

“Novartis Selected In Vivo Target” has the meaning set forth in Section 2.4.2(a). 

[***] 
 “Paragraph IV
Certification” has the meaning set forth in Section 5.2.3(b). 
 “Party” and “Parties” has
the meaning set forth in the preamble. 
 “Patent Rights” means patents and all substitutions, divisions, continuations,
continuations-in-part, reissues, reexaminations, and extensions thereof and supplemental protection certificates relating thereto, and all counterparts thereof or substantial equivalents in any country (collectively, “Patents”), and
any applications or provisional applications for any of the foregoing (“Patent Applications”) and including the right to claim all benefits and priority rights to any Patent Applications under any applicable convention. 

“Person” means any corporation, limited or general partnership, limited liability company, joint venture, trust,
unincorporated association, governmental body, authority, bureau or agency, any other entity or body, or an individual. 
 “Personal
Information” has the meaning set forth in Section 9.4.2. 

  
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AMENDED. 
  

 “Phase II Trial” means a study in humans of the safety, dose ranging and
efficacy of a product, as further defined in 21 C.F.R. § 312.21(b) or foreign counterparts, as may be conducted anywhere in the world. 

“Phase IIa Trial” means a small scale Phase II Trial intended principally to demonstrate the proof of concept of a
pharmaceutical product in humans to determine whether (and in what manner) to pursue Regulatory Approval of such product. 
 “Phase
IIb Trial” means any controlled dose ranging Phase II Trial of a pharmaceutical product to further evaluate the efficacy and safety of the product in its target patient population and to define the product’s optimal dosing regimen, as
may be conducted anywhere in the world, and in any case that is designed to obtain data to select particular doses to be used in a Phase III Trial. 

“Phase III Trial” means, with respect to a pharmaceutical product, a clinical trial on sufficient numbers of human patients
that is designed to establish that such pharmaceutical product is safe and efficacious for its intended use, and to define warnings, precautions, and adverse reactions that are associated with such pharmaceutical product in the dosage range to be
prescribed, that directly supports Regulatory Approval or label expansion of such pharmaceutical product, as described in 21 C.F.R. §312.21(c) or foreign counterparts, as may be conducted anywhere in the world. 

[***] 
 [***] 

[***] 
 [***] 

[***] 
 [***] 

  
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AMENDED. 
  

 “Practice” means, with respect to Patent Rights, to make, use, sell, offer
for sale, or import (or have made, have used, have sold, have offered for sale, or have imported), and, with respect to Know How, to use, practice and disclose (or have used, practiced and disclosed). 

“Prescriber” means a United States healthcare professional authorized to prescribe a pharmaceutical product or issue hospital
orders for a pharmaceutical product, or those other allied professionals that are part of the treatment team and who are recognized for this purpose in the Commercialization plan, as applicable. 

“Product” means, without distinction, a Collaboration Product [***]. 

“Program” means, without distinction, the HSC Program, the CART Program, and any In Vivo Program. 

[***] 

“Regulatory Approval” means, with respect to a pharmaceutical product or service in any country or jurisdiction, any
approval, registration, license or authorization from a Regulatory Authority in a country or other jurisdiction that is reasonably necessary to market and sell a pharmaceutical product or to provide a service in such country or jurisdiction
(including, e.g., any applicable pricing and reimbursement approvals). 
 “Regulatory Authority” means any
Governmental Authority responsible for authorizing or approving the marketing and/or sale of pharmaceutical products or services in a jurisdiction (e.g., the FDA, EMA, the Japanese Ministry of Health, Labor and Welfare, and corresponding
national or regional regulatory agencies or organizations). 
 “Regulatory Filing” means, with respect to any
pharmaceutical product or service, any submission to a Regulatory Authority of any appropriate regulatory application, and will include, without limitation, any submission to a regulatory advisory board, marketing

  
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AMENDED. 
  

 
authorization application, and any supplement or amendment thereto. For the avoidance of doubt, the term Regulatory Filings will include any IND, New Drug Application, or the corresponding
application in under the Applicable Law of the other jurisdictions. 
 “Research Plans” means, collectively and without
distinction, the HSC Research Plan, the CART Research Plan, and/or any In Vivo Research Plan. 
 “Research Program” means,
without distinction, the HSC Program, the CART Program, and/or the In Vivo Program. 
 “Research Term” has the meaning set
forth in Section 2.1.2. 
 [***] 

“Royalty” has the meaning set forth in Section 7.4.1. 

“Royalty Term” means, with respect to each Product in each country, the period commencing on the First Commercial Sale of
such Product in such country and concluding on the later of (a) the expiration of the last to expire Valid Claim in the relevant country; or (b) ten years after the date of First Commercial Sale of such Product in that country. 

“Sales Milestone” has the meaning set forth in Section 7.5. 

“Sales Milestone Payment” has the meaning set forth in Section 7.5. 

“Senior Officers” means [***]. 

[***] 

“Subcommittees” has the meaning set forth in Section 3.1.2. 

“Target” means [***].

“Third Party” means any Person other than Intellia or Novartis and their respective Affiliates. 

“Third Party HSC Collaboration” has the meaning set forth in Section 2.2.5. 

“Valid Claim” means a claim of an issued and unexpired Patent included within the Intellia Intellectual Property or the
Collaboration Intellectual Property [***]. 

  
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AMENDED. 
  

 Section 1.2 Rules of Interpretation. 

In this Agreement, unless otherwise specified: 

(a) “includes” and “including” will mean including without limitation, and “or” will mean
“and/or”; 
 (b) a reference to an Article of this Agreement includes all Sections of that Article, and a
reference to a Section of this Agreement includes all subsections of that Section; 
 (c) “herein,”
“hereby,” “hereunder,” “hereof” and other equivalent words refer to this Agreement as an entirety and not solely to the particular portion of this Agreement in which any such word is used; 

(d) a “Party” includes its permitted assignees and/or the respective successors in title to substantially the
whole of its undertaking; 
 (e) a statute or statutory instrument or any of their provisions is to be construed as a
reference to that statute or statutory instrument or such provision as the same may have been or may from time to time hereafter be amended or re-enacted; 

(f) words denoting the singular will include the plural and vice versa and words denoting any gender will include all
genders; 
 (g) except where otherwise indicated, references to a “license” will include
“sublicense” and references to a “licensee” will include “sublicensee”, unless the context otherwise provides; 

(h) the Exhibits form part of the operative provision of this Agreement and references to this Agreement will, unless
the context otherwise requires, include references to the Exhibits; 

  
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AMENDED. 
  

 (i) the headings in this Agreement are for convenience only and will
not be considered in the interpretation of this Agreement; and 
 (j) the terms and conditions of this Agreement are
the result of negotiations between the Parties and this Agreement will not be construed in favor of or against any Party by reason of the extent to which either Party participated in the preparation of this Agreement. 

ARTICLE II 

COLLABORATION 
 Section 2.1
Overview; Research Term; Efforts. 
 2.1.1 Goals. The Parties will engage in collaborative research activities in accordance with
the terms and conditions of this Agreement and the Research Plans. As set forth in the Research Plans, the goals of these activities are to identify and research therapeutic, prophylactic, and palliative products and services utilizing
(a) ex vivo HSC applications of the Intellia Platform (as described in the HSC Research Plan and Section 2.2 of this Agreement, the “HSC Program”), (b) ex vivo CART applications of the
Intellia Platform (as described in the CART Research Plan and Section 2.3 of this Agreement, the “CART Program”), and (c) in vivo applications of the Intellia Platform (as described in any In Vivo Research
Plan(s) and Section 2.4 of this Agreement, the “In Vivo Program”). The CART Program, HSC Program, and In Vivo Program collectively comprise the “Collaboration”. During the Research Term, each Party shall
conduct all activities relating to the HSC Field, CART Field, and, subject to Section 2.4.3, the In Vivo Field, as well as identification of Targets and the research and Development of Products directed to such Targets, under the corresponding
HSC Research Plan, CART Research Plan, and, subject to Section 2.4.3, In Vivo Research Plan unless otherwise expressly provided by this Agreement. 

2.1.2 Research Term. Unless terminated in accordance with Section 11.2, the Collaboration will commence on the Effective Date and
expire on the fifth anniversary of the Effective Date (the “Research Term”). 

  
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AMENDED. 
  

 2.1.3 Efforts; Information Sharing Generally. During the Research Term, each Party
will use Commercially Reasonable Efforts to carry out the activities assigned to it in the relevant Research Plan. Without limiting any other obligations set forth in this Agreement, at all times during the Research Term, each Party will keep the
other Party reasonably and timely informed as to its Collaboration research efforts and results thereof. 
 Section 2.2 HSC Program. 

2.2.1 HSC Program Generally. In the HSC Program, the Parties will research potential therapeutic, prophylactic, and palliative
applications of the Intellia Platform in the HSC Field as provided in the HSC Research Plan. The Parties will initially conduct research activities in the HSC Field under the HSC Research Plan with respect to Targets nominated by the HSC Steering
Committee (each, a “Nominated HSC Target”), and products and services directed to those Nominated HSC Targets. Selections pursuant 2.2.3 and 2.2.4 will be made from the pool of Nominated HSC Targets. [***] 

2.2.2 Scope of HSC Program Activities; Research Plan. 

(a) An initial research plan for the HSC Program (the “HSC Research Plan”) will be agreed upon by the
Parties not later than [***], and, as agreed, shall be deemed a part of this Agreement. The JSC may amend the HSC Research Plan from time to time to nominate or remove HSC Targets from the scope of the HSC Program [***] and to add, remove or modify
research and Development activities assigned to either Party under the HSC Program. 
 (b) The HSC Steering Committee
will amend the HSC Research Plan as necessary to reflect scientific developments as the HSC Program research activities progress, as well as the nomination or selection of any other Nominated HSC Targets. The HSC Research Plan will
(i) define the scope of the HSC Program; (ii) describe the Parties’ respective responsibilities in the HSC Program; (iii) describe the HSC Program’s anticipated research timeline;
(iv) include a 

  
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AMENDED. 
  

 
budget for Intellia’s activities in the HSC Program (the “HSC Budget”), which must be consistent with the terms of this Agreement. If a conflict between the terms of the HSC
Research Plan and the terms of this Agreement arises, the provisions of this Agreement will govern. 
 2.2.3 Selection of Exclusive
Selected HSC Targets. 
 (a) During the Research Term, Novartis will have the right to select up to [***] HSC
Targets (the “Novartis Selected HSC Targets”) for its exclusive research, and Intellia will have the right to select up to [***] HSC Targets (the “Intellia Selected HSC Targets”) for its exclusive research, in each
case in the following manner: 
 [***] 

(b) The rights set forth in Section 2.2.3(a) are subject to the following: 

[***] 

[***] 
 2.2.4
Selection of Additional Targets. 
 (a) During the Research Term and once the HSC Targets have been selected by
the Parties pursuant to Section 2.2.3(a) [***], but in any event no later than [***] days prior to the expiration of the Research Term, Novartis will have the option to select up to an additional [***] HSC Targets (other than the Intellia
Selected HSC Targets) on a non-exclusive basis (each, an “Additional Selected HSC Target”), subject to the payments set forth in Section 7.1.3. 

(b) For clarity, unless the Parties agree otherwise in writing, during the Research Term there will not be more than
(i) [***] HSC Targets comprising the Novartis Selected HSC Targets; (ii) [***] HSC Targets comprising the Additional Novartis Selected HSC Targets; and (iii) [***] HSC Targets comprising the Intellia Selected HSC
Targets. 

  
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AMENDED. 
  

 2.2.5 [***] 

2.2.6 Diligence Obligations. Following the selection of each Novartis Selected HSC Target and any Additional Selected HSC Target,
Novartis and its Affiliates will use Commercially Reasonable Efforts to research, Develop, and Commercialize [***] Novartis Selected HSC Product directed to such Novartis Selected HSC Target and [***] Additional Selected HSC Product directed to such
Additional Selected HSC Target; provided, however, that if, after the Research Term, Novartis fails to use Commercially Reasonable Efforts, on an HSC Target by HSC Target basis, to research, Develop, and Commercialize at least one HSC Product
directed to the relevant HSC Target, Intellia’s exclusive remedy will be to (a) terminate Novartis’ exclusive rights set forth in Section 4.1.2 and the 5.3.1(a) with respect to that Novartis Selected HSC Target or Additional
Selected HSC Product (as applicable), and (b) terminate Novartis’ license to Intellia Intellectual Property and Collaboration Platform Intellectual Property set forth in Section 5.3.1(a) or
 5.3.1(c) (as applicable) with respect to
that Selected HSC Target or Additional Selected HSC Product (as applicable). 
 2.2.7 [***] 

Section 2.3 CART Program. 
 An
initial research plan for the CART Program (the “CART Research Plan”) will be agreed upon by the Parties not later than [***], and, as agreed, shall be deemed a part of this Agreement. In the CART Program, the Parties will initially
conduct research activities in the CART Field under the CART Research Plan with respect to CART Program Targets nominated by the CART Steering Committee (each, a “Nominated CART Program Target”), and products and services relating
to CART Therapeutic Targets utilizing those Nominated CART Program Targets. [***]. The CART Research Plan will be revised by the JSC from time to time to reflect developments in the CART Research Program, including to add, remove or modify research
and Development activities assigned to each Party under the CART Program. The CART Research Plan will (i) define the scope of the CART Program; (ii) describe the Parties’ respective responsibilities in the CART Program;
(iii) describe the CART Program’s anticipated research timeline; (iv) include a budget for Intellia’s activities in the CART Program (the “CART Budget”), which must be consistent with the terms of
this Agreement. If a conflict between the terms of the CART Research Plan and the terms of this Agreement arises, the provisions of this Agreement will govern. Following the creation of each CART Product, Novartis and its Affiliates will use
Commercially Reasonable Efforts to research, Develop, and Commercialize [***] CART Product directed to the relevant CART Therapeutic Target; provided, however, that if Novartis fails to use Commercially Reasonable Efforts, on a CART
Therapeutic Target by CART Therapeutic Target basis, to research, Develop, and Commercialize at least one Advanced CART Product directed to such CART Therapeutic Target, Intellia’s exclusive remedy will be to (a) terminate Novartis’
exclusive rights set forth in Section 4.2 and the 5.4.2 with respect to the relevant CART Therapeutic Target, and (b) terminate Novartis’ license to Intellia Intellectual Property and Collaboration Platform Intellectual Property set
forth in Section 5.3.2 with respect to such CART Therapeutic Target. 

  
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AMENDED. 
  

 Section 2.4 In Vivo Program. 

2.4.1 In Vivo Program Generally. Subject to Sections 2.4.2 and 2.4.3, in the In Vivo Program, the Parties will research potential
therapeutic, prophylactic, and palliative products and services directed to In Vivo Targets utilizing the Intellia Platform. 

2.4.2 Scope of Program. 

[***] 

(b) Selection of Novartis Selected In Vivo Targets. 

(i) Subject to Section 2.4.2(b)(ii), following the [***] (the “In Vivo Selection Period”),
Novartis may select a Target that it proposes to be included in the scope of the In Vivo Program (each such Target, a “Proposed In Vivo Target”). In such event, Novartis will notify Intellia in writing of such proposal and disclose
in such notice its Proposed In Vivo Target. Within [***] days after disclosure of the Proposed In Vivo Target, Intellia will review in good faith the Proposed In Vivo Target to determine if it is an Excluded In Vivo Target and, if it is not an
Excluded In Vivo Target, will notify Novartis that such Proposed In Vivo Target will be included in the In Vivo Program (such Proposed In Vivo Target, a “Novartis Selected In Vivo Target”), and, if it is an Excluded In Vivo Target,
will notify Novartis that such Proposed In Vivo Target cannot be included in the In Vivo Program as a Novartis Selected In Vivo Target. For purposes of this Section 2.4.2(b), an “Excluded In Vivo Target” means [***]. In the
event that Novartis, acting reasonably and in good faith, believes that its Proposed In Vivo Target was wrongfully rejected by Intellia as an Excluded In Vivo Target, Novartis will have the right to submit the dispute about such determination to
accelerated arbitration in 

  
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AMENDED. 
  

 
accordance with the procedures of Section 12.2.2(b). If the Expert’s decision finds that such Proposed In Vivo Target is an Excluded In Vivo Target, such Proposed In Vivo Target will
remain excluded from the In Vivo Program hereunder, and, if the Expert’s decision finds that such Proposed In Vivo Target was wrongfully characterized as an Excluded In Vivo Target, it will be deemed included in the scope of the In Vivo Program
hereunder from the date of such decision. 
 (ii) [***] 

(iii) A maximum of [***] Novartis Selected In Vivo Targets may be selected on a non-exclusive basis during the In Vivo
Selection Period [***]. 
 2.4.3 Research Plan. Following the selection of each Novartis Selected In Vivo Target, Novartis may, in
its sole discretion, offer to Intellia the ability to participate with Novartis in research and Development activities for such Novartis Selected In Vivo Target and In Vivo Products directed thereto during the Research Term. If Novartis elects to
ask Intellia to participate in such activities and Intellia accepts (in its sole discretion), the Parties will agree upon a research plan for such Novartis Selected In Vivo Target (each, an “In Vivo Research Plan”). Each In Vivo
Research Plan will be revised by the JSC from time to time to add, remove or modify research and Development activities assigned to each Party thereunder. Each In Vivo Research Plan will (a) describe the Parties’ respective research
and Development responsibilities with respect to the relevant Novartis Selected In Vivo Target and In Vivo Products directed thereto; (b) describe the anticipated timeline for such activities; (c) include a budget for the
activities to be performed by Intellia (the “In Vivo Budget”), which must include funding for Intellia’s activities that is incremental to the funding under the HSC Budget and CART Budget, but in all other ways consistent with
the terms of this Agreement. If a conflict between the terms of the In Vivo Research Plan and the terms of this Agreement arises, the provisions of this Agreement will govern. [***] 

  
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AMENDED. 
  

 2.4.4 Diligence Obligation. Following the selection of each Novartis Selected In Vivo
Target, Novartis and its Affiliates will use Commercially Reasonable Efforts to research, Develop, and Commercialize [***] Novartis Selected In Vivo Product directed to such Novartis Selected In Vivo Target [***]. 

Section 2.5 Recording of Targets. 

Following the selection or identification of each Novartis Selected HSC Target [***], Additional Selected HSC Target, Advanced CART Target,
Novartis Selected In Vivo Targets [***], such Target will be added a list maintained by the JSC and deemed an Exhibit to this Agreement. 

Section 2.6 Subcontracting Research Activities. 

Each Party may subcontract any of the research activities to be performed by it in the Collaboration to a Third Party, provided that
such Third Party will have entered into a written agreement with such Party that includes terms and conditions protecting and limiting use and disclosure of Confidential Information, Materials and Know-How of the other Party that are at least
protective of such Confidential Information, Material and Know-How as under this Agreement and requiring such Third Party and its personnel to assign to such Party all right, title and interest in and to any Patents, Know-How and Materials created,
conceived of, or developed in connection with the performance of subcontracted activities to the extent required for such Party to comply with the terms and conditions of this Agreement as if such subcontracted activities were performed by the
subcontracting Party (including Article IV, Article V, and Article VI). 
 ARTICLE III 

GOVERNANCE 
 Section 3.1
Establishment of Joint Steering Committee and Subcommittees. 
 3.1.1 Joint Steering Committee. [***] the Parties will establish a
Joint Steering Committee (the “Joint Steering Committee” or “JSC”). The JSC will assume a general role of leadership in the Collaboration and will have responsibility for: 

(a) facilitating communications between the Parties with respect to the research activities contemplated by this
Agreement; 

  
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AMENDED. 
  

 (b) overseeing the HSC Steering Committee, the CART Steering
Committee, and the In Vivo Steering Committee; 
 (c) reviewing and approving changes to the HSC Research Plan, CART
Research Plan, and In Vivo Research Plan that are proposed by the relevant Subcommittee; 
 (d) reviewing staffing and
personnel issues, with the goal of maintaining, when determined appropriate, the continuity of personnel on Collaboration activities and reasonably evaluating, when determined appropriate, changes to the staffing of the Collaboration; 

(e) coordinating strategies relating to Patent Rights claiming Collaboration Product Intellectual Property; 

(f) prioritizing the allocation of resources dedicated to the Collaboration; and 

(g) informally resolving disagreements between the Parties; 

(h) facilitating discussions between the Parties with respect to potential collaborations and other activities related
to the CRISPR System not contemplated by this Agreement [***]. 
 The JSC will be comprised of [***] representatives from each of Intellia and Novartis,
which (unless otherwise agreed upon between the Parties), will be equal to [***] members of each Party. The JSC will meet at least [***] (or more if agreed upon) in Cambridge, Massachusetts, unless otherwise agreed by the Parties. 

3.1.2 Research Program Subcommittees. Within [***] days after the initial meeting of the JSC, the JSC will appoint the members of
subcommittees for the HSC 

  
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AMENDED. 
  

 
Program (the “HSC Steering Committee”) and CART Program (the “CART Steering Committee”). Within [***] days after the finalization of the first In Vivo Research
Plan, the JSC will appoint the members of a subcommittee for the In Vivo Program (the “In Vivo Steering Committee”). The HSC Steering Committee, CART Steering Committee, and In Vivo Steering Committee are each without distinction
referred to as a “Subcommittee” and are collectively referred to as the “Subcommittees”. Members of any Subcommittee may be, but are not required to be, members of the JSC; provided, that each Subcommittee
will have [***] representatives of both Parties. The Subcommittees will provide oversight of the respective Research Programs and will have responsibility for: 

(a) determining the direction and planned activities of the respective Research Programs in compliance with the Research
Plans; 
 (b) sharing information arising in the respective Research Programs between the Parties; 

(c) coordinating activities relating to filing and prosecuting of Patent Applications and Patents claiming Collaboration
Product Intellectual Property; 
 (d) coordinating research activities in the respective Research Programs in
compliance with the Research Plans; and 
 (e) proposing amendments to the respective Research Plans, which must be
approved by the JSC. 
 Each Subcommittee will be comprised of [***] representatives from each of Intellia and Novartis, which (unless otherwise agreed upon
between the JSC) will be equal to [***] members of each Party. Subcommittee members may be, but need not be, members of the JSC. Each Subcommittee will meet at least [***] (or more if agreed upon), in alternation at the place designated by Novartis
and the place designated by Intellia, in accordance with Section 3.2.4. 

  
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AMENDED. 
  

 Section 3.2 General Rules. 

3.2.1 Powers of the Committees; Term. Each of the Joint Steering Committee, the HSC Steering Committee, the CART Steering Committee, and
the In Vivo Steering Committee (each, a “Committee”) will have solely the roles and responsibilities assigned to it in this Article III and as otherwise expressly set forth in this Agreement. The Committees will have no authority to
amend or modify this Agreement or waive compliance with this Agreement, to make decisions that conflict with the terms and conditions of this Agreement, or to create new obligations for a Party not specified in this Agreement. Neither the Committees
nor either Party exercising its final decision making pursuant to Section 3.2.5 will have authority to alter, increase, expand, modify, amend, or waive compliance with this Agreement. The Committees will terminate on the expiration of the
Research Term. 
 3.2.2 Committee Membership. Either Party may replace its respective committee representatives at any time upon
prior written notice to the other Party. If a Committee member from either Party is unable to attend or participate in a Committee meeting, the Party who designated such representative may designate a substitute representative for the meeting in its
sole discretion. The Alliance Managers appointed by Intellia and Novartis pursuant to Section 3.4 will be ex officio members of each of the Committees. With the consent of the other Party, each Party may invite up to [***] non-voting
employees, consultants, and scientific advisors to attend any Committee meeting to discuss issues arising in the Collaboration; provided that any such employees, consultants, or scientific advisors will be subject to restrictions regarding
the confidentiality and non-use of Confidential Information no less restrictive than the provisions of Article VIII. 
 3.2.3 Committee
Co-Chairs. Each Party will appoint one of its members in each Committee to co-chair such Committee’s meetings (each, a “Co-Chair”). The Co-Chairs will (a) ensure the orderly conduct of the Committee’s
meetings, (b) attend each Committee meeting (either in-person, by videoconference or telephonically, unless 

  
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AMENDED. 
  

 
otherwise expressly provided herein), and (c) prepare and issue written minutes of each meeting within [***] thereafter accurately reflecting the discussions and decisions of such
meeting. If the Co-Chair from either Party is unable to attend or participate in a Committee meeting, the Party who designated such Co-Chair may designate a substitute Co-Chair for the meeting in its sole discretion. 

3.2.4 Committee Meetings. All meetings will be conducted in English and may be conducted by telephone, videoconference, or in person as
determined by the Co-Chairs, as appropriate; provided that not less than [***] prior written notice has been given to the other Party. Either Party may also call a special meeting of a Committee (by videoconference or teleconference) by at
least [***] prior written notice to the other Party if such Party reasonably believes that a significant matter must be addressed prior to the next regularly scheduled meeting, and no later than [***] prior to the special meeting, such Party will
provide the Committee with materials reasonably adequate to enable such Committee to make an informed decision. 
 3.2.5 Decision
Making. Other than as set forth herein, in order to make any decision required of it hereunder, a Committee must have present (in person, by videoconference or telephonically) at least the Co-Chair of each Party (or his/her designee for such
meeting). The Parties will endeavor to make decisions where required of a Committee by consensus of the Co-Chairs. If a dispute or failure to agree arises in a Subcommittee that cannot be promptly resolved, the Co-Chairs of any Subcommittee may
cause such dispute or failure to agree to be referred to the Joint Steering Committee for resolution. If a dispute or failure to agree arises which cannot be promptly resolved within the Joint Steering Committee, then the matter will be referred to
the Senior Officers of the Parties for discussion. The Senior Officers will attempt in good faith to resolve such dispute or failure to agree by unanimous consent. If the Senior Officers cannot resolve such dispute or failure to agree within [***]
days of the matter being referred to them, then the resolution and/or course of conduct will be determined as follows: 

[***] 

  
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AMENDED. 
  

 Section 3.3 Day-to-Day Decision-Making Authority. 

Each Party will have day-to-day decision-making authority with respect to the research activities assigned to it in any Research Plan. 

Section 3.4 Alliance Managers. 
 Each
of Intellia and Novartis will appoint a senior representative who possesses a general understanding of research matters to act as its alliance manager for the Collaboration (each, an “Alliance Manager”). Each Party may replace its
respective Alliance Manager at any time upon written notice to the other in accordance with this Agreement. Any Alliance Manager may designate a substitute to temporarily perform the functions of that Alliance Manager. Each Alliance Manager will be
charged with creating and maintaining a collaborative work environment within and among the Committees. Each Alliance Manager will also be responsible for (a) providing a single point of communication and facilitating the flow of
information; (b) ensuring that the governance procedures and the rules set forth herein are complied with; (c) identifying and raising disputes to the relevant Committee for discussion in a timely manner; and
(d) planning and coordinating internal and external communications in accordance with the terms of this Agreement. The Alliance Managers will be entitled to attend all Committee meetings. Each Alliance Manager may bring to the attention
of the Committees any matter that the Alliance Manager reasonably believes requires the attention of the relevant Committees. 
 Section 3.5 Cost of
Governance. 
 The costs incurred by each Party in connection with its participation at any meetings under this Article III will be borne
solely by such Party. 

  
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AMENDED. 
  

 Section 3.6 Development. 

3.6.1 Development Generally. After the Research Term and subject to Sections 3.6.2, 5.4.1(a) and (b), 5.4.2 and 5.4.3, Novartis will be
solely responsible for conducting, at its sole expense, the Development of its Products as it determines appropriate in its sole discretion. 

3.6.2 Regulatory. 

(a) [***]. 

(b) [***]. 

(c) [***]. 

(d) Novartis will have the right to disclose the existence of, and the results from, any clinical trials for any
Product, conducted under this Agreement in accordance with its standard policies. 
 Section 3.7 Manufacturing. 

3.7.1 Manufacturing Generally. Novartis or its designated sublicensee(s) will be solely responsible for the manufacture and supply of
its Products being Developed or Commercialized under this Agreement. 
 3.7.2 Manufacturing Know-How and Assistance. 

(a) During the Agreement Term, to the extent reasonably necessary, Intellia will, at Novartis’ expense, provide all
reasonable cooperation and assistance to Novartis or its designee [***] to enable Novartis or its designee in an efficient and timely manner to proceed with Development and manufacturing of its Products and to obtain all appropriate Regulatory
Approvals for manufacturing (including qualification by the applicable Regulatory Authority of manufacturing sites). 

(b) Intellia will make appropriate personnel available to assist Novartis or its designee, at Novartis’ expense
[***] from time to time as reasonably requested by Novartis, and will provide the appropriate personnel of Novartis or its designee with access to the personnel and manufacturing and other operations of Intellia for such periods of time and in such
manner as is reasonable in order to familiarize the personnel of Novartis or its designee with Intellia Know-How (if any) relating to the Development and manufacture of the Products and the application of the same. 

(c) Intellia will reasonably cooperate, at Novartis’ expense, with Novartis in complying with requirements of 35
U.S.C. §§200 through 212 [***]. 
 (d) The Parties acknowledge that this obligation may continue after the
Research Term has expired. 
 Section 3.8 Commercialization. 

3.8.1 Commercialization Generally. Except as provided in Section 3.8.2, Novartis will be solely responsible for all aspects of
Commercialization of its Products (in its sole discretion) including planning and implementation, distribution, booking of sales, pricing, and reimbursement. 

3.8.2 Co-Detailing Rights. 

(a) Subject to this Section 3.8.2, Intellia shall have the right to co-detail in the United States [***] Collaboration
Products researched or Developed under this Agreement. In that connection and until Intellia has selected such [***] Collaboration Products to co-detail, at least [***] months before the planned submission of any Regulatory Filing seeking Regulatory
Approval in the United States for a Product under this Agreement, Novartis will notify Intellia [***] (the “Co-Detail Notice”) and will provide Intellia with information reasonably necessary for Intellia to evaluate the Co-Detail
opportunity [***]. If Intellia wishes to Co-Detail any such Product in the United States, it will provide notice in writing to Novartis of such election no later than [***] after its receipt of the Co-Detail Notice, which notice will contain the
information as further described in Section 3.8.2(b)(i) and Section 3.8.2(b)(ii) (the “Co-Detail Option Exercise Notice”). Prior to giving any such notice, Intellia may request reasonable discussions with and information from Novartis
regarding the expected activities, which the Parties will conduct in good faith. If Intellia does not respond within the relevant [***] period, Intellia will be deemed to have declined to exercise its rights to Co-Detail the relevant Product. If
Intellia elects not to Co-Detail the relevant Product offered to it by Novartis, Intellia will have the right to elect to Co-Detail any other Product offered to Intellia by Novartis on the same terms as provided above until Intellia has selected
[***] such Products for Co-Detailing, at which time Intellia’s right to Co-Detail any Products hereunder will terminate; provided, however, that, as long as Novartis has provided the Co-Detail Notice to Intellia for all relevant
Collaboration Products that could have been selected by Intellia prior to the termination of Novartis’ obligation to provide such notice under this Section 3.8.2(a), even if Intellia has not selected [***] Collaboration Products for detailing,
its right to make such selection and Novartis’ obligation to provide the Co-Detail Notice shall expire on the date that is [***]. 

(b) Any Co-Detail Option Exercise Notice provided by Intellia will: 

(i) specify Intellia’s desired level of participation in the Co-Detail of the relevant Product in the United States
on a percentage basis up to a maximum of [***] of the total projected Detailing effort for Products in the United States as specified in the Co-Detail Notice (the “Intellia Co-Detail Effort”), with such percentage calculated [***]; and

 (ii) be accompanied by reasonably detailed plans outlining Intellia’s sales force and sales force
infrastructure to be deployed to provide the Intellia Co-Detail Effort to Novartis’ reasonable satisfaction at least [***] before the First Commercial Sale of such Product in the United States. 

(c) Promptly following receipt of Intellia’s Co-Detail Option Exercise Notice, Novartis and Intellia will commence
negotiations in good faith and enter into a more detailed co-detailing agreement (the “Co-Detailing Agreement”) within [***] days of Novartis’ receipt of Intellia’s Co-Detail Option Exercise Notice. The Co-Detailing Agreement
will contain reasonable and customary provisions for an agreement of such type [***]. 
 (d) The Parties acknowledge
that such Co-Detailing Agreement will be a separate agreement between the Parties and that a breach of that agreement by either Party that is not a breach by such Party of the other sections of this Agreement will not give rise to a right to
terminate this Agreement. 
 [***] 

3.8.3 Pharmacovigilance. To the extent required by Applicable Law, within [***], the Parties will agree upon and implement a procedure
for the mutual exchange of adverse event reports and safety information associated with the Product. Details of the 

  
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AMENDED. 
  

 
operating procedure relating to the adverse event reports and safety information exchange will be the subject of a mutually-agreed written pharmacovigilance agreement between the Parties which
will be entered into within such [***] period. 
 Section 3.9 Intellia HSC Products. 

Intellia will be solely responsible for (a) all Development of the Intellia HSC Products, (b) all regulatory plans and
strategies for the Intellia HSC Products, and all Regulatory Filings and all Regulatory Approvals for the Intellia HSC Products to be filed, obtained and maintained throughout the world in the name of Intellia or its Affiliates or sublicensees,
(c) all manufacture and supply for the Intellia HSC Products, and (d) all aspects of Commercialization of the Intellia HSC Products. [***]. Intellia will have the right to disclose the existence of, and the results from, any
clinical trials for any Intellia HSC Product, conducted under this Agreement in accordance with its standard policies. 
 Section 3.10 Debarment.

 In performing its obligations under this Agreement, neither Party nor its Affiliates will employ or use any person that has been
debarred under Section 306(a) or 306(b) of the U.S. Federal Food, Drug and Cosmetic Act. 
 ARTICLE IV 

RESTRICTIVE COVENANTS 

Section 4.1 HSC. 
 4.1.1 During
the Research Term. During the Research Term and except as expressly contemplated by this Agreement [***], the Parties and their Affiliates will not (a) engage in any research, Development, or Commercialization activities in the HSC
Field [***] (b) grant to any Third Party any assignment, license, or other right to Practice Intellia Intellectual Property, Novartis HSC Background Intellectual Property, Novartis Other Background Intellectual Property or Collaboration
Intellectual Property in the HSC Field [***]. 

  
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AMENDED. 
  

 4.1.2 After the Research Term. 

(a) Following the Research Term and during the Agreement Term [***], Intellia and its Affiliates will not (directly or
indirectly), (i) for themselves or on behalf of or in collaboration with any Third Party, engage in any research, Development, or Commercialization activities in the HSC Field with respect to (1) such Novartis Selected HSC
Product, or (2) the Novartis Selected HSC Target that such Novartis Selected HSC Product is directed toward; 

or (ii) grant to any Third Party any assignment, license, or other right to Practice Intellia Intellectual Property
or Collaboration Intellectual Property in the HSC Field with respect to (1) such Novartis Selected HSC Product, or (2) the Novartis Selected HSC Target that such Novartis Selected HSC Product is directed toward. 

(b) Following the Research Term and during the Agreement Term [***], Novartis and its Affiliates will not (directly or
indirectly), (i) for themselves or on behalf of or in collaboration with any Third Party, engage in any research, Development, or Commercialization activities in the HSC Field with respect to (1) such Intellia HSC Product, or
(2) the Intellia Selected HSC Target that such Intellia HSC Product is directed toward; or (ii) grant to any Third Party any assignment, license, or other right to Practice the Novartis HSC Background Intellectual Property,
Novartis Other Background Intellectual Property or Collaboration Intellectual Property in the HSC Field with respect to (1) such Intellia HSC Product, or (2) the Intellia Selected HSC Target that such Intellia HSC Product is
directed toward. 
 (c) Following the Research Term and during the Agreement Term [***], Intellia and its Affiliates
will not (directly or indirectly), (i) for themselves or on behalf of or in collaboration with any Third Party, engage in any research, Development, or Commercialization activities in the HSC Field with respect to such Additional
Selected HSC Product; or (ii) grant to any Third Party any assignment, license, or other right to Practice Collaboration Product Intellectual Property in the HSC Field with respect to such Additional Selected HSC Product. 

  
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AMENDED. 
  

 (d) [***]. 

(e) [***]. 

Section 4.2 CART. 
 4.2.1 During
the Research Term. During the Research Term and except as expressly contemplated by this Agreement [***], the Parties and their Affiliates will not (a) engage in any research, Development, or Commercialization activities in the CART
Field [***], or (b) grant to any Third Party any assignment, license, or other right to Practice Intellia Intellectual Property, Novartis HSC Background Intellectual Property, Novartis Other Background Intellectual Property or
Collaboration Intellectual Property in the CART Field. [***]. 
 4.2.2 After the Research Term. Following the Research Term and
during the Agreement Term [***], Intellia and its Affiliates will not (directly or indirectly), (i) for themselves or on behalf of or in collaboration with any Third Party, engage in any research, Development, or Commercialization
activities in the CART Field [***]; or (ii) grant to any Third Party any assignment, license, or other right to Practice Intellia Intellectual Property or Collaboration Intellectual Property in the CART Field with respect to
(1) such Advanced CART Product, or (2) the CART Therapeutic Target that such Advanced CART Product is directed toward. 

4.2.3 [***] 
 Section 4.3 In
Vivo. 
 [***] 

  
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AMENDED. 
  

 Section 4.4 Permitted Third Party Arrangements. 

Nothing in this Article IV will prohibit either Party from obtaining licenses, assignments, or other rights to Intellectual Property Rights
from Third Parties, to the extent such Party deems that such Intellectual Property Rights are necessary or useful to the exercise of its rights or performance of its obligations under this Agreement [***]. 

ARTICLE V 

INTELLECTUAL PROPERTY 

Section 5.1 Limited Grants for Research Programs. 

5.1.1 License Grant by Novartis. Novartis hereby grants to Intellia a worldwide, non-exclusive license to Practice the Novartis HSC
Background Intellectual Property and Novartis Other Background Intellectual Property solely to the extent necessary for Intellia and its Affiliates to perform the activities assigned to them in the Collaboration. 

5.1.2 License Grant by Intellia. Intellia hereby grants to Novartis and its Affiliates a worldwide, non-exclusive license to Practice
the Intellia Intellectual Property solely to the extent necessary for Novartis and its Affiliates to perform the activities assigned to them in the Collaboration [***]. 

5.1.3 Sublicensing Research Program Activities. Subject to the provisions of Section 2.6, each of the Parties will have the right
to grant a sublicense to the rights set forth in this Section 5.1 to Third Party vendors, service providers, and collaborators, solely for Practice in connection with goods or services provided to or on behalf of such Party for the
Collaboration as specified in the HSC Research Plan, CART Research Plan, and In Vivo Research Plan. 
 5.1.4 Term of Research
License. The licenses contemplated by Section 5.1.1, Section 5.1.2 and Sections 5.3.1(a)(i), 5.3.2(a)(i), 5.3.2(a) and 5.3.3 (a) will automatically terminate on the expiration of the Research Term. 

  
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AMENDED. 
  

 Section 5.2 Collaboration Intellectual Property. 

5.2.1 Generally. Notwithstanding inventorship, (a) Collaboration Product Intellectual Property will be jointly owned by the
Parties; and (b) Collaboration Platform Intellectual Property is hereby assigned to and solely owned by Intellia. 
 5.2.2
Rights to Collaboration Intellectual Property. Except as provided in Article IV and the exclusive rights set forth in Section 5.4, both Parties and their Affiliates may Practice and grant licenses to Collaboration Product Intellectual
Property for all purposes worldwide without the consent of or any accounting to the other Party (other than payments contemplated by Article VII). 

5.2.3 Prosecution and Maintenance of Collaboration Intellectual Property Patent Rights. 

(a) [***]. 

(b) Each Party will cooperate with the other with respect to such activities involving the Collaboration Intellectual
Property, including the execution of all such documents and instruments and the performance of such acts (and causing its relevant employees to execute such documents and instruments and to perform such acts) as may be reasonably necessary in order
to permit the other Party to continue any preparation, filing, prosecution, or maintenance of Patent Rights claiming the Collaboration Intellectual Property. The prosecuting Party will keep the other Party reasonably informed of all material matters
relating to the preparation, filing, prosecution and maintenance of, and any post-grant proceedings on [***] the Patent Rights within the Collaboration Product Intellectual Property and [***] the Patent Rights within the Collaboration Platform
Intellectual Property (including providing such other Party with copies of all material correspondence with the applicable patent offices) and will reasonably consider such other Party’s comments relating to prosecution and maintenance
decisions, or defenses or responses to any post-grant proceedings. 

  
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AMENDED. 
  

 
Upon either Party’s request and where permitted by Applicable Law, the other Party will assist the requesting Party to obtain patent term extensions or supplemental protection certificates
or their equivalents in any country (“Extensions”) for Patent Rights included in the Collaboration Intellectual Property. Each Party will promptly notify and provide the other Party with copies of any allegations of alleged lack of
patentability, patent invalidity, unenforceability or non-infringement, including any such allegation pursuant to a Paragraph IV Patent Certification by a Third Party filing an Abbreviated New Drug Application or an application under §505(b)(2)
of the United States Federal Food, Drug, and Cosmetic Act (as amended or any replacement thereof), in relation to an application under Section 262(k) of the Biosimilar Act, or any other similar patent certification by a Third Party, and any
foreign equivalent thereof (“Paragraph IV Certification”) of any Patent Rights included in the Collaboration Intellectual Property. Such notification and copies will be provided to such other Party within [***] after Novartis or
Intellia, as applicable, receives such certification. 
 (c) If a Party (a “Disclaiming Party”)
elects not to file applications for, or to cease prosecution and/or maintenance of, or not to continue to pay the expenses of prosecution and/or maintenance of, any Patent Rights included in the Collaboration Intellectual Property for which it is
primarily responsible pursuant to this Section 5.2.3, the Disclaiming Party will provide such notice to the other Party at least [***] prior to any filing or payment due date (or any other due date that requires action) in connection with such
Patent Rights. In such event, the Disclaiming Party will permit the other Party, at its sole discretion and expense, to file or to continue prosecution or maintenance of such Patent Rights. 

  
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AMENDED. 
  

 5.2.4 Enforcement or Defense of Collaboration Intellectual Property Patent Rights.

 (a) In the event either Party becomes aware of any actual or suspected infringement of, or a claim of
invalidity, lack of patentability, unenforceability or non-infringement against, the Patent Rights claiming the Collaboration Intellectual Property (any of which, a “Collaboration Patent Rights Challenge”), such Party shall provide
prompt written notice thereof to the other Party; provided that, if the Party becomes aware of a Collaboration Patent Rights Challenge based on a notification (which is not a Paragraph IV Certification) from a Third-Party, then the Party
receiving such notification will provide copies of such notification to the other Party no later than [***] after Novartis or Intellia, as applicable, receives such notification. 

(b) [***]. The Party bringing the relevant suit (the “Enforcing Party”) shall keep the other Party
reasonably informed of all developments in the prosecution or settlement of such suit. [***]. Such other Party will provide the Enforcing Party with reasonable assistance in connection with its suit, at the Enforcing Party’s expense, including
by executing reasonably appropriate documents, cooperating in discovery, and joining as a party to the suit if required, in connection with any litigation commenced pursuant to this Section 5.2.4. 

(c) Any recoveries resulting from such a suit will be first applied against payment of each Party’s costs and
expenses in connection therewith [***]. 
 Section 5.3 Intellia Intellectual Property; Novartis HSC Background Intellectual Property; Novartis Other
Background Intellectual Property. 
 5.3.1 Novartis Selected HSC Products; Intellia HSC Products. 

(a) Novartis Selected HSC Products. Intellia hereby grants to Novartis and its Affiliates a worldwide license to
Practice the Intellia Intellectual Property and Collaboration Platform Intellectual Property (i) during the Research 

  
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AMENDED. 
  

 
Term, to research and Develop HSC Products (other than Intellia HSC Products directed at Intellia Selected HSC Targets) under the HSC Research Plan; and (ii) during and after the
Research Term, to research, Develop, and Commercialize any Novartis Selected HSC Products and Additional Selected HSC Products in the HSC Field. [***]. Subject to Section 5.3.4 and Section 2.6, Novartis and its Affiliates will have the
right to sublicense the rights [***] to Third Party vendors, service providers, and collaborators, solely for Practice in connection with the research, Development, and Commercialization of such Novartis Selected HSC Products and Additional Selected
HSC Products in the HSC Field. 
 (b) Intellia HSC Products. Novartis hereby grants to Intellia and its Affiliates a
worldwide, non-exclusive license to Practice the Novartis HSC Background Intellectual Property (i) during the Research Term, to research and Develop HSC Products; and (ii) during and after the Research Term, to research,
Develop, and Commercialize any Intellia HSC Products in the HSC Field (the “Novartis HSC Background IP License”). Subject to Section 5.3.4 and Section 2.6, Intellia and its Affiliates will have the right to sublicense the
Novartis HSC Background IP License [***] to Third Party vendors, service providers, and collaborators, solely for Practice in connection with the research, Development, and Commercialization of such Intellia HSC Products. 

5.3.2 CART Products. Intellia hereby grants to Novartis and its Affiliates a worldwide license to Practice the Intellia Intellectual
Property and Collaboration Platform Intellectual Property (a) during the Research Term, to research and Develop any CART Products under the CART Research Plan; and (b) during and after the Research Term, to research, Develop,
and Commercialize any CART Products in the CART Field. [***]. Subject to Section 5.3.4 and Section 2.6, Novartis and its Affiliates will have the right to sublicense such rights [***] to Third Party vendors, service providers, and
collaborators, solely for Practice in connection with the research, Development, and Commercialization of such CART Products. 

  
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AMENDED. 
  

 5.3.3 In Vivo Products. Intellia hereby grants to Novartis and its Affiliates a
worldwide, non-exclusive license to Practice the Intellia Intellectual Property and Collaboration Platform Intellectual Property (a) following [***] of the Effective Date and for the remainder of the Research Term, to research and
Develop In Vivo Products under any In Vivo Research Plans; and (b) after the Research Term, to research, Develop, and Commercialize any Novartis Selected In Vivo Products in the In Vivo Field. Subject to Section 5.3.4 and
Section 2.6, Novartis and its Affiliates will have the right to sublicense such rights through multiple tiers to Third Party vendors, service providers, and collaborators, solely for Practice in connection with the research, Development, and
Commercialization of such Novartis Selected In Vivo Products. 
 5.3.4 Sublicensing Rights. Novartis and its Affiliates may grant
sublicenses of the license granted in Section 5.3.1(a), Section 5.3.2, and Section 5.3.3, and Intellia and its Affiliates may grant sublicenses of the license granted in Section 5.3.1(b), provided that (a) such
sublicense (i) is in writing, (ii) is subject and subordinate to, and consistent with, the terms and conditions of this Agreement, and (iii) requires the applicable sublicensee to comply with all applicable terms
of this Agreement [***]; (b) with respect to Novartis or any of its Affiliates as the sublicensing Party to the extent required by the Key License Agreements as in effect on the Effective Date or the agreements for any Included Intellia
New In-Licensed Intellectual Property, Novartis promptly notifies Intellia of the grant of each sublicense and provides Intellia a copy of the final executed sublicense agreement, redacted for information not pertinent to this Agreement to the
extent that such redactions do not reasonably impair Intellia’s ability to ensure compliance with this Agreement, the Key License Agreements or agreements for any Included Intellia New In-Licensed Intellectual Property, as applicable,
(c) Novartis or Intellia, as applicable, shall be responsible for the failure by its sublicensees to comply with, and Novartis or Intellia, as applicable, guarantees the compliance by each of its sublicensees with, all relevant
restrictions, limitations and obligations in this Agreement, and [***]. 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 5.3.5 Maintenance & Compliance of License Agreements. 

(a) With respect to the Intellectual Property Rights that are licensed to Intellia under any license agreement
comprising the Key License Agreements, (i) Intellia will use Commercially Reasonable Efforts to maintain the relevant license agreement in full force and effect; (ii) Intellia will provide prompt written notice to Novartis if
it becomes aware of or receives any notice that Intellia or its licensor is in breach or default of any such license agreement, (iii) Intellia will use Commercially Reasonable Efforts to cure such breach or default [***], and
(iv) Intellia will not cause the Key License Agreements to be amended or modified in any way that would reasonably be expected to have a material adverse effect on Novartis’ rights under this Agreement [***]; (v) if
Intellia becomes aware that any of its licensors has terminated or receives notice that any of its licensors intend to terminate any such license agreement or otherwise materially restrict or limit Intellia’s and Novartis’ rights to the
relevant Intellectual Property Rights, (A) Intellia will provide prompt written notice to Novartis [***]. 

(b) The licenses granted to Novartis and its Affiliates under Sections 5.3.1(a), 5.3.2 and 5.3.3 will be subject to
Novartis’ and its Affiliates’, and their sublicensees’ compliance as of the Effective Date with the terms of the Key License Agreements [***] and the terms of the agreements for any Included Intellia New In-Licensed Intellectual
Property, as applicable. 
 5.3.6 Novartis Other Background Intellectual Property. Novartis hereby grants to Intellia and its
Affiliates a worldwide, non-exclusive, fully paid and royalty-free license to Practice the Novartis Other Background Intellectual Property to research, Develop, and Commercialize Intellia HSC Products and therapeutic, prophylactic, and/or palliative
CRISPR-based in vivo products by or on behalf of Intellia or its Affiliates. Subject to Section 5.3.4 and Section 2.6, Intellia and its Affiliates will have the right to sublicense the license granted under this Section 5.3.6
[***] to Third Party vendors, service providers, and collaborators, solely for Practice in connection with the research, 

  
 42 

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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 
Development, and Commercialization of such Intellia HSC Products and therapeutic, prophylactic, and/or palliative CRISPR-based in vivo products with (e.g., collaborations) or on
behalf of Intellia or its Affiliates. Novartis will have the right to terminate rights [***] upon written notice to Intellia in the event that Intellia or any of its Affiliates [***] (an “Intellia Other Patent Challenge”). In the
event Intellia or any of its Affiliates intends to assert an Intellia Other Patent Challenge [***] not less than [***] days prior to making any such assertion, Intellia shall provide to Novartis a complete written disclosure of each basis known to
Intellia for such assertion. Novartis must exercise its right to terminate Intellia’s rights [***] within [***] days of the Novartis’ receipt of service of process (or its equivalent) in the relevant administrative or legal proceeding,
[***]. 
 Section 5.4 Exclusivity. 

5.4.1 HSC. 

(a) [***]. 

(b) [***] 

5.4.2 CART Program. [***].  

5.4.3 In Vivo Program. [***]. 

Section 5.5 Licenses in Bankruptcy. 

All licenses granted under or pursuant to this Agreement are intend to be licenses of intellectual property as contemplated by
Section 365(n) of the United States Bankruptcy Code and equivalent or corresponding provisions of Applicable Laws of other jurisdictions. Each licensee may retain and may fully exercise all of its protections, rights, and elections under all
Applicable Laws. 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 Section 5.6 No Implied Licenses. 

The licenses set forth in this Article V are limited in scope to those expressly set forth in this Agreement, and no implied license is
intended to be created by this Agreement. 
 ARTICLE VI 

[***] 
 [***] 

ARTICLE VII 
 PAYMENTS

 Section 7.1 Technology Access Fee; Annual Access Fee; Equity. 

7.1.1 Upfront Technology Access Fee Payment. Novartis will make a one time payment of USD$10,000,000 within [***] days after receipt of
an Invoice for the same, which will be issued on or after [***]. 
 7.1.2 Annual Access Fee. [***] Novartis will make annual payments
of USD$5,000,000 each within [***] days of receipt of an Invoice for the same, with the [***] payment to be paid by Novartis to Intellia no later than [***] (provided Novartis has received an Invoice therefor at least [***] days prior to such date)
and the subsequent annual payments to be invoiced on the [***]. In no events will payments pursuant to this Section 7.1.2 exceed USD$20,000,000 in the aggregate. 

7.1.3 Additional Selected HSC Targets Fee. For each Additional Selected HSC Target, Novartis will make a payment of [***], which will
be paid within [***] days of receipt of an Invoice for the same, to be issued upon receipt of Novartis’ notice to Intellia [***]. 

7.1.4 Equity Investment. Novartis will have the right to make the investments set forth in the Equity Agreements. 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 Section 7.2 Research Funding Payments. 

7.2.1 HSC Program; CART Program. 

(a) [***], Novartis will make to Intellia research funding reimbursements payments (“Research Funding
Payments”) in the amount of [***] in the aggregate per [***] period [***] and, unless agreed upon by the Parties in writing, not to exceed USD$20,000,000 in the aggregate [***]. Specifically, Novartis will make quarterly Research Funding
Payments in the amount of [***] within [***] days of Novartis’ receipt of an Invoice for the same issued by Intellia upon the [***] day of the applicable such [***] period. 

[***] 
 7.2.2 In Vivo
Program. If pursuant to Section 2.4.3, if the Parties agree that Intellia will be responsible for activities under an In Vivo Research Plan, then for all such activities performed by or behalf of Intellia, Novartis will reimburse Intellia
at the FTE Rate consistent with the In Vivo Budget included in any applicable In Vivo Research Plans (“In Vivo Research Funding Payments”). Novartis will make [***] In Vivo Research Funding Payments [***]. 

7.2.3 General. [***] 

Section 7.3 Development and Approval Milestones. 

7.3.1 Generally. The fees set forth in the table below (collectively, “Milestone Payments”) will accrue to Intellia
upon the achievement by Novartis, its Affiliates, or any of their sublicensees of the corresponding events (the “Milestones”) with respect to each Product per Target that achieves such Milestone; provided, however, that: 

(a) HSC Products. On a Novartis Selected HSC Target-by- Novartis Selected HSC Target basis and an Additional Selected
HSC Target-by-Additional Selected HSC Target basis, as applicable, Milestones Payments shall be as follows: 
 [***] 

  
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VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT PURSUANT TO RULE 406 PROMULGATED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED. 
  

 (b) CART Products. On a CART Therapeutic Target-by-CART Therapeutic
Target basis, Milestones Payments shall be as follows: 
 [***] 

(c) In Vivo Products. On a Novartis Selected In Vivo Target -by- Novartis Selected In Vivo Target basis, Milestones
Payments shall be as follows: 
 [***] 

(e) [***] 

(f) Example of Milestones Payment. An example of the Milestone payments and the provisions of clauses (a) through (e), above, is
set forth as Exhibit D. 
 [Table Follows] 

  
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AMENDED. 
  

					
	 #
	    	 Milestone
	  	 Milestone

Payment

	 [***]
	    	[***]	  	[***]
	 [***]
	    	[***]	  	[***]
	 [***]
	    	[***]	  	[***]
	 [***]
	    	[***]	  	[***]
	 [***]
	    	[***]	  	[***]
	 [***]
	    	[***]	  	[***]
	 [***]
	    	[***]	  	[***]
	 [***]
	    	[***]	  	[***]
	  

	[***]	  	

 7.3.2 Milestone Payments. Novartis will provide Intellia with written notice within [***] days after
Novartis determines or is informed that the relevant Milestone has been achieved. Novartis will pay the corresponding Milestone Payment within [***] days after receipt of an Invoice for the same. 

7.3.3 Skipped Milestones. [***] 

Section 7.4 Royalties on Products. 

7.4.1 Royalties Generally. Novartis or its Affiliate will make royalty payments to Intellia [***] on a Product by Product basis at the
following marginal royalty rates (“Royalties”): 
  

			
	[***]	  	Marginal
Royalty Rate
	 [***]
	  	[***]
	 [***]
	  	[***]
	 [***]
	  	[***]

  
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AMENDED. 
  

 7.4.2 Royalty Duration. Royalties will be payable on a Product by Product and country
by country basis during the Royalty Term. Thereafter, Novartis’, its Affiliates’ and their sublicensees’ rights to such Product in such country will be Royalty-free. 

7.4.3 Payment of Royalties. Within [***] days after the end of each Calendar Quarter during the Royalty Term, Novartis will provide
Intellia with a report stating the Net Sales of Products sold by Novartis or its Affiliates [***] during that Calendar Quarter, together with the calculation of the Royalties due to Intellia. Royalty payments will be made by Novartis or its
Affiliate to a bank account indicated by Intellia within [***] days after the date of receipt by Novartis of an Invoice for the indicated amount. 

7.4.4 Loss of Market Exclusivity. If a Loss of Market Exclusivity for any Product occurs in any country, then for the remaining period
of the Royalty Term following such Loss of Market Exclusivity, the Net Sales for such country [***] for the purpose of the calculation of Royalties due under Section 7.4.1 will be reduced by [***]. 

7.4.5 Know How Only Royalties. If, during the Royalty Term, the relevant Product is not covered by a Valid Claim in the applicable
country, then for so long as there is no Valid Claim in such country during the Royalty Term, the Net Sales for such country [***] for the purpose of the calculation of Royalties due under Section 7.4.1 will be reduced by [***]. 

7.4.6 Minimum Royalties. Notwithstanding any multiple reductions that may be taken pursuant to this Article VII [***], in no event will
the Royalty rates under this Agreement fall below, as applicable, the Royalty Rates of the Revised Royalty Floor set forth in Section 7.6.2(b), or [***] of the Royalty rates set forth in Section 7.4.1 in any Calendar Quarter pursuant to
this Section 7.4.6. [***]. 
 7.4.7 Sample Computations. Sample Royalty computations for Section 7.4 are set forth on
Exhibit E. 

  
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AMENDED. 
  

 7.4.8 Payments on Novartis HSC Background IP License. 

(a) [***]. 

(b) [***]. 

(c) [***]. 

(d) [***]. 

(e) [***]. 

(f) [***]. 

Section 7.5 Sales Milestones on Products. 

Novartis will make each of the following [***] payments (each, a “Sales Milestone Payment”) when [***] (the “Sales
Milestones”): 
  

					
	[***]	  	Sales Milestone
Payment	 
	 [***]
	  	 	[***]	  
	 [***]
	  	 	[***]	  
	 [***]
	  	 	[***]	  

 Novartis will provide written notice to Intellia within [***] days of its determination that a Sales Milestone
as contemplated by this Section 7.5 has been achieved, and will make the corresponding Sales Milestone Payment within [***] days after the date of receipt by Novartis of an Invoice for the indicated amount. 

Section 7.6 Third Party Royalties. 

7.6.1 Caribou. Novartis will reimburse Intellia for [***]; provided, however, that Novartis will not be responsible for [***].
All such reimbursement payments will be made within [***] days of receipt of an Invoice for the same [***]. 

  
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AMENDED. 
  

 7.6.2 Third Party Obligations. 

(a) Except as contemplated by Section 7.6.1, Intellia will remain responsible for the payment of royalty, milestone
and other payment obligations, if any, due to Third Parties under any other (i.e., not identified in Section 7.6.1) Intellia Intellectual Property that has been licensed to Intellia as of the Effective Date. After the Effective Date, if
Intellia in-licenses Intellectual Property Rights of a Third Party that cover the Intellia Platform or improvements thereto (“Intellia New In-Licensed Intellectual Property”), then Intellia shall make such Intellia New In-Licensed
Intellectual Property available to be included in the licenses to Novartis under this Agreement by notifying Novartis of the Intellia New In-Licensed Intellectual Property and related agreement, including any anticipated financial obligations that
may arise if Novartis were to elect to take a sublicense to such Intellectual Property Rights. Within [***] days of receiving notice of any Intellia New In-Licensed Intellectual Property, Novartis may elect to add such Intellectual Property Rights
to the Intellia Intellectual Property (“Included Intellia New In-Licensed Intellectual Property”) [***] If Novartis fails or declines to make the election specified in this section within [***] days of receiving the notice from
Intellia, such declined Intellectual Property Rights shall not be included as Intellia Intellectual Property [***] (“Excluded Intellia New In-Licensed Intellectual Property”) [***]. Further, Excluded Intellia New In-Licensed
Intellectual Property shall include any Intellectual Property licensed or acquired by Intellia from a Third Party after the Effective Date that is not Intellia New In-Licensed Intellectual Property. 

(b) If Novartis determines that licenses or other rights to Intellectual Property Rights of a Third Party are required
to Practice the Intellia Intellectual Property (other than those already in-licensed by Intellia and available to Novartis pursuant to the terms of Section 7.6.2(a) above), Novartis will have the right to negotiate and acquire such rights
through a license and will be responsible for all amounts to be paid to such Third Party; provided, however, that [***]. 

  
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AMENDED. 
  

 (c) After the Effective Date, if Novartis in-licenses Intellectual
Property Rights of a Third Party that cover the Intellia Platform or improvements thereto (“Novartis New In-Licensed Platform Intellectual Property”), then Novartis shall make such Novartis New In-Licensed Platform Intellectual
Property available to be included in the license granted to Intellia under Section 5.3.6 by notifying Intellia of the Novartis New In-Licensed Platform Intellectual Property and related agreement, including any anticipated financial obligations
that may arise if Intellia were to elect to take a sublicense to such Intellectual Property. Within [***] days of receiving notice of any Novartis New In-Licensed Platform Intellectual Property, Intellia may elect to add such Intellectual Property
Rights to the Novartis Other Background Intellectual Property (“Included Novartis New In-Licensed Platform Intellectual Property”) [***]. If Intellia fails or declines to make the election specified in this section within [***] days
of receiving the notice from Novartis, such declined Intellectual Property Rights shall not be included as Novartis Other Background Intellectual Property [***] (“Excluded Novartis New In-Licensed Platform Intellectual Property”)
[***]. 
 Section 7.7 [***] 
 Section 7.8
Recordkeeping and Reports. 
 7.8.1 Recordkeeping Generally. Each Party will keep complete, true and accurate books and records in
accordance with its Accounting Standards, as applicable, in relation to this Agreement, including, in the case of Novartis, with respect to Net Sales and Royalties, and in the case of Intellia, FTEs rendered pursuant to this Agreement, and Intellia
Net Sales. Each Party will keep such books and records for at least [***] following the Calendar Year to which they pertain. Each Party will promptly notify the other in advance of any changes to the Accounting Standards by which its records are
maintained, it being understood that each Party may only use internationally recognized accounting principles (e.g., IFRS, US GAAP, etc.). 

  
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AMENDED. 
  

 7.8.2 Audit Right. Each Party may, upon written request, cause an
internationally-recognized independent accounting firm (the “Auditor”), which is reasonably acceptable to the other Party, to inspect the relevant records of the other Party and its Affiliates to verify the amounts payable by the
Parties and the related reports, statements and books of accounts, as applicable, referenced in Section 7.8.1 and 7.6.1. Before beginning its audit, the Auditor will execute an undertaking acceptable to the audited Party by which the Auditor
agrees to keep confidential all information reviewed during the audit. The Auditor will have the right to disclose to the Party requesting the audit only its conclusions regarding any payments owed under this Agreement. 

7.8.3 Inspection of Books and Records. The audited Party and its Affiliates will make their records available for inspection by the
Auditor during regular business hours at such place or places where such records are customarily kept, upon receipt of reasonable advance notice from the Party requesting the audit. The records will be reviewed solely to verify the accuracy of the
Parties’ financial obligations corresponding to this Agreement. Such inspection right will not be exercised more than once in any Calendar Year and not more than once with respect to records covering any specific period of time. In addition,
each Party will only be entitled to audit the books and records of the other Party from the [***] prior to the Calendar Year in which the audit request is made. The Party requesting the audit will hold in strict confidence all information received
and all information learned in the course of any audit or inspection, except to the extent necessary to enforce its rights under this Agreement or to the extent required to comply with any Applicable Laws. 

7.8.4 Report. The Auditor will provide its audit report and basis for any determination both Parties before it is considered final. If
the final result of the inspection reveals an undisputed underpayment or overpayment, then the underpaid or overpaid amount will be settled promptly. If the audited Party disagrees with the findings 

  
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AMENDED. 
  

 
of the report, it will provide the other Party and the Auditor with a reasonably detailed statement of the grounds upon which it disputes such findings in the audit report and the Auditor will
undertake to complete such further determination within 30 days after the dispute notice is provided, which determination will be limited to the disputed matters. The Parties will use reasonable efforts, through the participation of finance
representatives of both companies, to resolve any dispute arising in relation to the audit by good faith discussion. 
 7.8.5 Payment for
Audit. The Party requesting the audit will pay for such inspections, as well as its expenses associated with enforcing its rights with respect to any payments hereunder; provided that (a) if an underpayment of royalties of
more than [***]% of the total payments due by Novartis hereunder for the applicable Calendar Year is discovered and is due to an error or omission of Novartis, the fees and expenses charged by the Auditor will be paid by Novartis; and
(b) if an overpayment by Novartis of more than [***]% of the total payments due hereunder for the applicable Calendar Year is discovered and is due to an error or omission of Intellia, the fees and expenses charged by the Auditor will be
paid by Intellia. 
 7.8.6 Commercially Reasonable Efforts Report. Starting on [***] and on an [***] basis thereafter during the
Agreement Term, Novartis will provide Intellia a report of each Novartis Selected HSC Product, Additional Selected HSC Product, Advanced CART Product, and In Vivo Product that is then the subject of ongoing research, Development, and
Commercialization activities [***]. Each such report shall detail the current status of Development of each such Product, and the anticipated date of the next milestone to be achieved by such Product. 

Section 7.9 Payments; Interest. 
 All
payments will be made in US Dollars by wire transfer in immediately available funds to a bank and account designated in writing by Intellia for payments to be made by Novartis hereunder, or designated in writing by Novartis for payments, if any, to
be made by Intellia pursuant to Section 7.4.8 and 7.6.2(c). Any payments which fall due 

  
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AMENDED. 
  

 
on a date that is not a Business Day will be due on the next date that is a Business Day. Any payments or portions thereof due hereunder which are not paid when due shall bear simple
interest equal to the lesser of (a) one-month Euribor plus 200 basis points per annum, or (b) the maximum rate permitted by Applicable Law, calculated on the number of days such payment is delinquent. 

Section 7.10 Projections. 
 Intellia
and Novartis acknowledge that nothing in this Agreement will be construed as representing an estimate or projection of anticipated sales of any Product, and that the Milestones and Net Sales levels set forth above or elsewhere in this Agreement or
that have otherwise been discussed by the Parties are merely intended to define the payments and royalty obligations to Intellia if such Milestones or Net Sales levels are achieved. NEITHER Intellia NOR Novartis MAKES ANY REPRESENTATION OR
WARRANTY, EITHER EXPRESS OR IMPLIED, THAT IT WILL BE ABLE TO SUCCESSFULLY RESEARCH, DEVELOP OR COMMERCIALIZE ANY PRODUCT OR SERVICE OR, IF COMMERCIALIZED, THAT ANY PARTICULAR NET SALES LEVEL OF SUCH PRODUCT OR SERVICE WILL BE ACHIEVED. 

ARTICLE VIII 

CONFIDENTIALITY 

Section 8.1 Undertaking. 
 Subject to
the other provisions of this Article VIII, all Confidential Information disclosed by a Party or its Affiliates in connection with the Collaboration or under this Agreement will be maintained in confidence and otherwise safeguarded by the recipient
Party. The recipient Party may only use such Confidential Information for the purposes of this Agreement and pursuant to the rights granted to the recipient Party under this Agreement. Subject to the other provisions of this Article VIII, each Party
will hold as confidential such Confidential Information of the other Party or its Affiliates in the same manner and with the same protection as such recipient Party maintains its own confidential information (but in no event will it exercise less
than reasonable care with 

  
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AMENDED. 
  

 
respect to such Confidential Information). Subject to the other provisions of this Article VIII, a recipient Party may only disclose Confidential Information of the other Party to employees,
agents, contractors, consultants, and advisers of the recipient Party and its Affiliates, licensees and sublicensees and to Third Parties to the extent reasonably necessary for the purposes of, and for those matters undertaken pursuant to, this
Agreement; provided that such Persons are bound to maintain the confidentiality of the Confidential Information in a manner consistent with the confidentiality provisions of this Agreement. The Parties acknowledge that Confidential
Information has been exchanged between the Parties prior to the Effective Date pursuant to the Confidentiality Agreement. The Parties agree that as of the Effective Date the Confidentiality Agreement is hereby terminated without further force and
effect and is superseded by this Article VIII, and all obligations between the Parties relating to all such Confidential Information exchanged before the Effective Date will be governed by this Article VIII. 

Section 8.2 Exceptions to Confidentiality. 

The obligations under this Article VIII will not apply to any information to the extent the recipient Party can demonstrate by competent
evidence that such information: 
 (a) is (at the time of disclosure) or becomes (after the time of disclosure) known
to the public or part of the public domain through no breach of this Agreement by the recipient Party or its Affiliates; 

(b) was known to, or was otherwise in the possession of, the recipient Party or its Affiliates prior to the time of
disclosure by the disclosing Party or any of its Affiliates; 
 (c) is disclosed to the recipient Party or an
Affiliate on a non-confidential basis by a Third Party who is entitled to disclose it without breaching any confidentiality obligation to the disclosing Party or any of its Affiliates; or 

(d) is independently developed by or on behalf of the recipient Party or its Affiliates, as evidenced by its written
records, without reference to the Confidential Information disclosed by the disclosing Party or its Affiliates under this Agreement. 

  
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AMENDED. 
  

 Specific aspects or details of Confidential Information will not be deemed to be within the public domain or
in the possession of the recipient Party merely because the Confidential Information is embraced by more general information in the public domain or in the possession of the recipient Party. Further, any combination of Confidential Information will
not be considered in the public domain or in the possession of the recipient Party merely because individual elements of such Confidential Information are in the public domain or in the possession of the recipient Party unless the combination and
its principles are in the public domain or in the possession of the recipient Party. 
 Section 8.3 Authorized Disclosures. 

In addition to disclosures allowed under Sections 8.1 and 8.2, each Party may disclose Confidential Information belonging to the other Party or
its Affiliates to the extent such disclosure is necessary in the following instances: (a) filing or prosecuting Patent Rights; (b) in connection with seeking for or obtaining Regulatory Approval; (c) prosecuting
or defending litigation as permitted by this Agreement; (d) complying with applicable court orders or governmental regulations; (e) to any potential or actual investor, lender, financing partner, acquirer, or merger partner,
or (f) to the extent otherwise necessary or appropriate in connection with exercising the license and other rights granted to it hereunder. If the recipient Party is required to disclose Confidential Information of the disclosing Party
by Applicable Law or in connection with bona fide legal process, such disclosure will not be a breach of this Agreement; provided that the recipient Party (i) informs the disclosing Party as soon as reasonably practicable of the
required disclosure; (ii) limits the disclosure to the required purpose; and (iii) at the disclosing Party’s request and expense, assists in an attempt to object to or limit the required disclosure. 

  
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AMENDED. 
  

 Section 8.4 Publicity. 

8.4.1 The Parties will agree on a mutually acceptable press release to be issued within [***] following the execution of this Agreement.

 8.4.2 Subject to Section 8.4.1, no public announcement concerning the existence or the terms of this Agreement or concerning
the transactions described herein will be made, either directly or indirectly, by a Party or its Affiliates without first obtaining the written consent of the other Party; provided that either Party may disclose such information as may be
required by Applicable Law, including those incident to the listing of securities on a stock exchange, without the consent of the other Party; provided further that the Party disclosing such information will (a) only disclose such
information as is required by such Applicable Law; (b) provide reasonable advance notice to the other Party of the intended disclosure and the content of that disclosure; and (c) seek a confidential treatment order (or a
protective or limiting order, as applicable) for all provisions of this Agreement that can be reasonably deemed to be trade secrets and will permit the non-disclosing party reasonable advance notice and the opportunity to comment on any such
confidential treatment request or protective order request. 
 Section 8.5 Material Transfer. 

[***] 
 ARTICLE IX 

REPRESENTATIONS, WARRANTIES, AND COVENANTS 

Section 9.1 Representations and Warranties of Both of the Parties. 

Each Party represents and warrants to the other as of the Effective Date that: (a) it is a corporation duly organized, validly
existing, and in good standing under the Applicable Laws of its jurisdiction of incorporation; (b) it has full corporate power and authority to execute, deliver, and perform this Agreement, and has taken all corporate action required by
law and its organizational documents to authorize the execution and delivery of this Agreement and the consummation of the transactions contemplated by 

  
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AMENDED. 
  

 
this Agreement; (c) this Agreement constitutes a valid and binding agreement enforceable against it in accordance with its terms, except as enforceability may be limited by applicable
bankruptcy, insolvency, reorganization, receivership, moratorium, fraudulent transfer, or other Applicable Laws affecting the rights and remedies of creditors generally and by general principles of equity; (d) all consents, approvals and
authorizations from all governmental authorities or other Third Parties required to be obtained by such Party in connection with this Agreement have been obtained; and (e) the execution and delivery of this Agreement and all other
instruments and documents required to be executed pursuant to this Agreement, and the consummation of the transactions contemplated hereby do not and will not (i) conflict with or result in a breach of any provision of its organizational
documents; (ii) result in a breach of any agreement to which it is a party; or (iii) violate any Applicable Law. 

Section 9.2 Representations and Warranties of Intellia. 

Intellia represents and warrants to Novartis as of the Effective Date as follows: (a) true and correct copies of [***]
respectively, as they exist as of the Effective Date have been provided to Novartis (collectively, the “Key License Agreements”); (b) [***], are in full force and effect as of the Effective Date, and Intellia has no
knowledge of any facts or circumstances that would constitute a breach of any of the Key License Agreements on the part of any of the parties to those agreements; (c) Intellia has not granted any Third Party rights that would conflict
with Novartis’ rights granted hereunder, and there are no agreements or arrangements to which Intellia or any of its Affiliates is a party relating to any Intellectual Property Rights, however arising, Controlled by Intellia that would limit
the rights granted to Novartis under this Agreement; (d) to Intellia’s knowledge, the Patent Applications included in the Intellia Intellectual Property on the Effective Date have been filed and prosecuted in accordance with all
Applicable Laws; and (e) except as set forth on Schedule 9.2(e), all of Intellia’s employees, officers, and consultants have executed agreements or have existing obligations under Applicable Law requiring assignment to Intellia of
all inventions made 

  
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AMENDED. 
  

 
during the course of and as the result of the Collaboration and obligating such individuals to maintain as confidential Intellia’s Confidential Information as well as confidential
information of other parties (including Novartis’ and Novartis’ Affiliates) that such individual may receive in the conduct of the Collaboration. 

Section 9.3 Representations and Warranties of Novartis. 

Novartis represents and warrants to Intellia as of the Effective Date as follows: (a) all of its employees, officers, and
consultants have executed agreements or have existing obligations under Applicable Law requiring assignment to Novartis of all inventions made during the course of and as the result of the Collaboration and obligating the individual to maintain as
confidential Novartis’ Confidential Information as well as confidential information of other parties (including Intellia’s) that such individual may receive in the conduct of the Collaboration; (b) it has not granted any Third
Party rights that would conflict with Intellia’s rights granted hereunder, and there are no agreements or arrangements to which Novartis or any of its Affiliates is a party relating to any Intellectual Property Rights, however arising,
Controlled by Novartis that would limit the rights granted to Intellia under this Agreement; (c) to its knowledge, the Patent Applications included in the Novartis Intellectual Property on the Effective Date have been filed and
prosecuted in accordance with all Applicable Laws; and (d) [***]. 
 Section 9.4 Covenants. 

9.4.1 Compliance with Applicable Law. Each of the Parties will conduct the Collaboration in compliance with all Applicable Laws,
including, laws and regulations relating to health, safety and the environment, fair labor practices, anti-bribery, and unlawful discrimination. 

9.4.2 Personal Information and Privacy. In the course of the performance of the Collaboration, each of the Parties may acquire the
Personal Information (as defined herein) of individuals from various sources and countries. Each of the Parties will, and will cause its Affiliates and agents to, process all Personal Information it acquires under

  
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AMENDED. 
  

 
or in connection with this Agreement in compliance with all applicable data protection laws, including the data protection laws of the European Union, European Economic Area, Switzerland, the
United States and various localities therein. Each of the Parties acknowledges that the requirements under such data protection laws may exceed the requirements applicable to Confidential Information set forth in Article VIII. Each of the Parties
may, on reasonable prior notice, audit the other Party’s compliance with such data protection laws. For this purpose, “Personal Information” means any information that can be used to identify, describe, locate or contact an
individual, including (a) name or initials; (b) home or other physical address; (c) telephone number; (d) email address or online identifier associated with the individual; (e) social
security number or other similar government identifier; (f) employment, financial or health information; (g) information specific to an individual’s physical, physiological, mental, economic, racial, political, ethnic,
ideological, cultural or social identity; (h) photographs; (i) dates relating to the individual (except years alone); (j) financial account numbers; (k) genetic material or information;
(l) business contact information; and (m) any other information relating to an individual that, alone or in combination, with any of the above, can be used to identify an individual. Novartis will anonymize all information
related to any Novartis Materials consisting of human biological samples. 
 9.4.3 No Conflicting Agreements. Each of the Parties
covenants that it will not enter into any agreement, arrangement, or undertaking after the Effective Date that would prohibit or restrict its ability to perform its obligations as set forth in this Agreement or materially alter the other
Party’s rights under this Agreement. 
 Section 9.5 Disclaimers. 

EXCEPT AS OTHERWISE EXPRESSLY PROVIDED IN THIS AGREEMENT, THE PARTIES MAKE NO REPRESENTATIONS AND EXTEND NO WARRANTY OF ANY KIND, EITHER
EXPRESS OR IMPLIED, WITH RESPECT TO ANY INTELLIA INTELLECTUAL PROPERTY, NOVARTIS BACKGROUND INTELLECTUAL PROPERTY, COLLABORATION INTELLECTUAL PROPERTY, 

  
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AMENDED. 
  

 
TARGETS, PRODUCTS OR SERVICES, INCLUDING WARRANTIES OF VALIDITY OR ENFORCEABILITY OF ANY PATENT RIGHTS, TITLE, QUALITY, MERCHANTABILITY, FITNESS FOR A PARTICULAR USE OR PURPOSE, PERFORMANCE, AND
NON-INFRINGEMENT OF ANY THIRD PARTY PATENTS OR OTHER INTELLECTUAL PROPERTY RIGHTS. 
 ARTICLE X 

INDEMNIFICATION 

Section 10.1 Indemnification by Intellia. 

Intellia will indemnify, defend, and hold Novartis, its Affiliates, and their respective employees, shareholders, officers, and directors, and
the successors, heirs and assigns of each of them (the “Novartis Indemnitees”), harmless against any loss, damages, liability or expense, as well as reasonable attorneys’ fees and litigation expenses (collectively, a
“Loss”) incurred by any Novartis Indemnitee in connection with any action, suit, proceeding, claim or demand by a Third Party, including personal injury and product liability matters (a “Third Party Claim”), to the
extent that (a) such Loss is based on or arises out of the breach by Intellia of any of its covenants, representations, or warranties set forth in this Agreement (but excluding any such Loss that is caused by the negligent, reckless or
intentional acts or omissions of Novartis or any other Novartis Indemnitee); or (b) such Loss relates to Intellia’s, its Affiliates, or its or their licensees’ or contractors’ actions in connection with the research,
Development, manufacture, use or Commercialization of an Intellia Selected Product. 
 Section 10.2 Indemnification by Novartis. 

Novartis will indemnify, defend, and hold Intellia, its Affiliates, and their respective employees, shareholders, officers, and directors and
the successors, heirs, and assigns of each of them (the “Intellia Indemnitees”), harmless against any Loss incurred by any Intellia Indemnitee in connection with any Third Party Claim to the extent (a) such Loss is based
on or arises out of the breach by Novartis of any of its covenants, representations, or warranties set forth in this Agreement (but excluding any such Loss 

  
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AMENDED. 
  

 
that is caused by the negligent, reckless or intentional acts or omissions of Intellia or any other Intellia Indemnitee); or (b) such Loss relates to Novartis’, its
Affiliates’, or its or their licensees’ or contractors’ actions in connection with the research, Development, manufacture, use or Commercialization of a Product. 

Section 10.3 Claims Procedures. 

Each Person entitled to be indemnified by the other Party (an “Indemnified Party”) pursuant to Section 10.1 or
Section 10.2 will give notice to the other Party (an “Indemnifying Party”) promptly after such Indemnified Party has actual knowledge of any threatened or asserted claim as to which indemnity may be sought, and will permit the
Indemnifying Party to assume the sole control of the defense of any such claim or any litigation resulting therefrom; provided, however: 

(a) that counsel for the Indemnifying Party who will conduct the defense of such claim or any litigation resulting
therefrom will be approved by the Indemnified Party (whose approval will not unreasonably be withheld) and the Indemnified Party may participate in such defense at the Indemnified Party’s expense, unless the Indemnified Party reasonably
concludes that there may be a conflict of interest between the Indemnifying Party and the Indemnified Party in the defense of such action, in each of which cases the Indemnifying Party will pay the reasonable fees and expenses of one law firm
serving as counsel for the Indemnified Party, which law firm will be subject to approval, not to be unreasonably withheld, by the Indemnifying Party; 

(b) the failure of any Indemnified Party to give notice as provided herein will not relieve the Indemnifying Party of
its obligations under this Agreement to the extent that the failure to give notice did not result in harm to the Indemnifying Party or materially compromise the defense of such claim; 

(c) no Indemnifying Party, in the defense of any such claim or litigation, will consent to entry of any judgment or
enter into any settlement, 

  
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AMENDED. 
  

 
except with the approval of each Indemnified Party (which approval will not be unreasonably withheld), except a settlement which imposes only a monetary obligation on the Indemnifying Party and
which includes as an unconditional term thereof the giving of a release from all liability in respect to such claim or litigation by the claimant or plaintiff to the Indemnified Party; and 

(d) each Indemnified Party will furnish such information or reasonable assistance regarding itself or the claim in
question as an Indemnifying Party may reasonably request in writing and will be reasonably required in connection with the defense of such claim and litigation resulting therefrom. 

Section 10.4 Mitigation of Loss. 

Each Indemnified Party will take and will procure that the other Novartis Indemnitees, where Novartis is the Indemnified Party, and the other
Intellia Indemnitees, where Intellia is the Indemnified Party, take all such reasonable steps and action as are necessary or as the Indemnifying Party may reasonably require in order to mitigate any Loss (or potential Loss) under this Article X.
Nothing in this Agreement will or will be deemed to relieve any Party of any common law or other duty to mitigate any losses incurred by it. 

Section 10.5 Special, Indirect and Other Losses. 

Neither Party nor any of its Affiliates will be liable in contract, tort, negligence, breach of statutory duty, or otherwise for any special,
indirect, incidental, punitive, or consequential damages or for any economic loss or loss of profits suffered by the other Party, except to the extent such damages are required to be paid to a Third Party as a part of a Loss for which that Party is
to provide indemnification under this Article X or for such Party’s fraud, gross negligence or intentional misconduct. 

  
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AMENDED. 
  

 ARTICLE XI 

TERM AND TERMINATION 

Section 11.1 Term. 
 This Agreement
commenced will commence on the Effective Date and, unless terminated pursuant to Section 11.2, continue in full force and effect until the fulfillment of the later of (a) the expiration of Novartis’ payment obligations
hereunder, or (b) the date of expiration of the last-to-expire Patent Right that is licensed to either Party as set forth in Article V (the “Agreement Term”), subject to the survival of specified provisions of this
Agreement pursuant to Section 11.3 below. 
 Section 11.2 Termination for Cause. 

11.2.1 Breach of the Agreement. If either Party is in material breach of this Agreement, the non-breaching Party may send a written
notice to the breaching Party that describes such breach in sufficient detail to permit the breaching party to cure such breach (if capable of cure). The breaching Party will have a period of [***] days to cure such breach (if capable of cure). If
the breach has been timely cured, the notice of termination will be deemed null and void. If the breach has not been timely cured (or if the breach is incapable of cure), the non-breaching party will have the right to terminate the Agreement by
providing written notice, and the Agreement and, if applicable, the Research Term, will terminate upon receipt of such notice, subject to a stay of termination if arbitration is pending, as set forth in Section 12.2.3. 

(a) If Novartis terminates this Agreement pursuant to this Section 11.2.1, then: 

(i) the following provisions will terminate as of as of the effective date of such notice: Article II (except as
provided below), Article III (except as provided below), Article IV (except as provided below), Article V (except as provided below), and Article VII (except as provided below); and 

  
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AMENDED. 
  

 (ii) the following provisions will survive such termination and
continue in full force and effect thereafter: Section 2.4.2(a), Section 2.4.4, Section 2.5, Sections 3.6.2(c), Section 3.7.2(b), Section 3.7.2(c), Section 3.8.3, Section 4.1.2(a), Section 4.1.2(c),
Section 4.1.2(d), Section 4.2.2, Section 4.3, Section 4.4, Section 5.2, Section 5.3.1(a), Section 5.3.2, Section 5.3.3, Section 5.3.4, Section 5.3.5, Section 5.4, Section 5.5,
Section 5.6, Article VI, Section 7.3, Section 7.4 (excluding Section 7.4.8), Section 7.5, Section 7.6, Section 7.7, Section 7.8, Section 7.9 and those provisions set forth in Section 11.3. 

(b) If Intellia terminates this Agreement pursuant to this Section 11.2.1, then: 

(i) the following provisions will terminate as of as of the effective date of such notice: Article II, Article III
(except as provided below), Article IV (except as provided below), Article V (except as provided below), Article VI, Section 7.1.2, and Section 7.2; and 

(ii) the following provisions will survive such termination and continue in full force and effect thereafter:
Section 3.6.2(b), Section 3.8.3, Section 3.9, Section 4.1.2(b), Section 4.1.2(e), Section 4.4, Section 5.2, Section 5.3.1(b), Section 5.3.4, Section 5.3.6, Section 5.5, Article VII (other than
Sections 7.1.2 and 7.2) and those provisions set forth in Section 11.3. 
 (c) The Parties agree that termination
pursuant to this Section 11.2.1 is a remedy to be invoked only if the breach cannot be adequately remedied through a combination of specific performance and the payment of money damages. In that regard, if the money damages payable under this
Agreement by reason of a breach were materially limited by reason of Section 10.5 (for reasons other than the exclusion for punitive damages), it will be assumed that the payment of money damages was not an adequate remedy for the breach unless
the breaching Party elects to waive the protections of Section 12.3 (other than with respect to punitive damages) and pay the resulting amounts. 

  
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AMENDED. 
  

 [***] 

11.2.2 Termination of Business; Insolvency. Either Party may terminate this Agreement immediately by written notice to the other Party
if the other Party undergoes an Insolvency Event. 
 (a) If Novartis terminates this Agreement pursuant to this
Section 11.2.2, then: 
 (i) the following provisions will terminate as of as of the effective date of such
notice: Article II (except as provided below), Article III (except as provided below), Article IV (except as provided below), Article V (except as provided below), and Article VII (except as provided below); and 

(ii) the following provisions will survive such termination and continue in full force and effect thereafter:
Section 2.4.2(a), Section 2.4.4, Section 2.5, Sections 3.6.2(c), Section 3.7.2(b), Section 3.7.2(c), Section 3.8.3, Section 4.1.2(a), Section 4.1.2(c), Section 4.1.2(d), Section 4.2.2,
Section 4.3, Section 4.4, Section 5.2, Section 5.3.1(a), Section 5.3.2, Section 5.3.3, Section 5.3.4, Section 5.3.5, Section 5.4, Section 5.5, Section 5.6, Article VI, Section 7.3,
Section 7.4 (excluding Section 7.4.8), Section 7.5, Section 7.6, Section 7.7, Section 7.8, Section 7.9 and those provisions set forth in Section 11.3. 

(b) If Intellia terminates this Agreement pursuant to this Section 11.2.2, then: 

(i) the following provisions will terminate as of as of the effective date of such notice: Article II, Article III
(except as provided below), Article IV (except as provided below), Article V (except as provided below), Article VI, Section 7.1.2, and Section 7.2; and 

  
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AMENDED. 
  

 (ii) the following provisions will survive such termination and
continue in full force and effect thereafter: Section 3.6.2(b), Section 3.8.3, Section 3.9, Section 4.1.2(b), Section 4.1.2(e), Section 4.4, Section 5.2, Section 5.3.1(b), Section 5.3.4,
Section 5.3.6, Section 5.5, Article VII (other than Sections 7.1.2 and 7.2), and those provisions set forth in Section 11.3. 

11.2.3 Termination for IP Challenge. Intellia will have the right to terminate this Agreement in its entirety upon written
notice to Novartis in the event that Novartis or any of its Affiliates directly or indirectly challenges in a legal or administrative proceeding the patentability, enforceability or validity of any Patent Rights within the Intellia Intellectual
Property or the Collaboration Platform Intellectual Property (except as a defense against a claim, action or proceeding asserted by Intellia against Novartis or its Affiliates or sublicensees) (a “Novartis Patent Challenge”);
provided that Intellia will not have the right to terminate this Agreement under this Section 11.2.3 for any such Novartis Patent Challenge by any sublicensee if such Novartis Patent Challenge is dismissed within [***] days of
Intellia’s notice to Novartis under this Section 11.2.3 and not thereafter continued. The effect of any such termination by Intellia (and the provisions that survive and are terminated by such a termination) will be the same as that set
forth in Section 11.2.1(b) above. [***]. 

  
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AMENDED. 
  

 11.2.4 Termination for Material Failure; Termination without Cause. 

(a) Material Failure. 

(i) Subject to Section 11.2.4(a)(ii), Novartis will have the right to terminate this Agreement in its entirety if
any of the following events occurs: 
 (A) In a patent application claiming priority to U.S. Patent Application Nos.
61/652,086, 61/716,256, 61/757,640, and/or 61/765,576, neither the Regents of the University of California at Berkeley (“Berkeley”) nor Emmanuelle Charpentier (“Charpentier”) files claims with the United States
Patent & Trademark Office (“USPTO”) by June 30, 2015 sufficient under 37 C.F.R. 41.203(a) to allow the USPTO to initiate an interference with one or more of the claims of U.S. Patent No. 8,697,359 (the “
‘359 Patent”) (the “Interference Trigger”); 
 (B) Neither the USPTO allows, nor the
European Patent Office (nor any of the patent authorities or offices in France, Germany, Italy, Spain, or the United Kingdom) grants patent claims from a patent application claiming priority to U.S. Patent Application Nos. 61/652,086, 61/716,256,
61/757,640, and/or 61/765,576 (or their European counterpart) by December 31, 2017 (the “Grant Trigger”); or 

(C) The owners, or any of the licensees, of the ‘359 Patent brings a suit against Novartis by or before
December 31, 2017 claiming that activities specifically encompassed by the Research Plans infringe an independent claim of the ‘359 Patent (the “Litigation Trigger”); provided, however, that, Novartis will not have
the right to exercise the Litigation Trigger if (i) the owners or any of the licensees of the ‘359 Patent, brings an infringement suit against Novartis under the ‘359 Patent solely for activities Novartis is performing
independently or with other Third Parties outside of the Collaboration (e.g., developing CRISPR-related research tools) or (ii) the owners or any of the licensees of the ‘359 Patent bring an infringement suit against Novartis
under 

  
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AMENDED. 
  

 
the ‘359 Patent as a counterclaim or in response to a judicial or patent agency proceeding or suit initiated by Intellia and/or Novartis against them. 

(ii) If any of the events described in Section 11.2.4(a)(i) has occurred and Novartis desires to terminate this
Agreement, Novartis will comply with the following before such termination will be deemed effective: 
 (A) Novartis
will send written notice to Intellia of its intent to terminate this Agreement identifying the relevant trigger within [***] days following the applicable date or event specified in Section 11.2.4(a)(i). [***]. 

(B) (1) Following Intellia’s receipt of such termination notice [***], Novartis and Intellia will have a period of
[***] days to discuss in good faith whether to continue with the Collaboration pursuant to the terms of this Agreement. If the Parties agree to continue the Collaboration, Novartis’ termination notice will be deemed withdrawn and this Agreement
will continue in full and effect on such terms. [***]. If the Parties decide not to continue the Collaboration, Novartis’ termination notice will be deemed effective [***] days from the date of the notice. 

(2) Following Intellia’s receipt of such termination notice [***], Intellia will have a period of [***] days to
seek to resolve [***], which period may be extended by mutual agreement of the Parties. If Intellia is successful, Novartis’ termination notice will be deemed withdrawn and this Agreement will continue in full force and effect. If Intellia is
not successful [***], Novartis’ termination notice will be deemed effective [***] days from the date of the notice. 

  
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AMENDED. 
  

 (iii) If Novartis terminates this Agreement as permitted pursuant to
this Section 11.2.4(a), (A) all provisions [***] will terminate except for the following, which will survive such termination and continue in full force and effect thereafter: Section 3.6.2(b), Section 3.8.3,
Section 3.9, Section 4.1.2(b), Section 4.1.2(e) Section 5.2, Section 5.3.1(b), Section 5.3.4, Section 5.3.6, Section 5.5, Section 7.4.8, and those provisions set forth in Section 11.3, and
(B) Novartis will pay to Intellia all accrued financial obligations as of the date of such termination and will continue to pay any and all of its financial obligations under Article 7 for a period of [***] days following Novartis’
notice pursuant to Section 11.2.4(a)(ii)(A). 
 (b) Without Cause. Novartis will have the right to terminate this
Agreement without cause effective upon [***] days’ written notice to Intellia. If Novartis terminates this Agreement pursuant to this Section 11.2.4(b), (i) all provisions (other than the provisions set forth in
Section 11.3) will terminate except for the following, which will survive such termination and continue in full force and effect thereafter: Section 3.6.2(b), Section 3.8.3, Section 3.9, Section 4.1.2(b),
Section 4.1.2(e) Section 5.2, Section 5.3.1(b), Section 5.3.4, Section 5.3.6, Section 5.5, Section 7.4.8, and those provisions set forth in Section 11.3, and (ii) Novartis will pay to
Intellia all accrued and future financial obligations as if the Research Term continued until its natural expiration (i.e., five years from the Effective Date), including all Research Funding Payments as if Intellia had fully performed and
without the need by Intellia to true-up its expenses under Section 7.2.1(b). 
 Section 11.3 Survival. 

Any termination will be without prejudice to a Party’s rights to seek damages in connection with any such event. Except where explicitly
provided elsewhere herein, termination of this Agreement for any reason, will not affect: (a) obligations which have 

  
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AMENDED. 
  

 
accrued as of the date of termination or expiration (including, as to Novartis, any and all payment obligations); and (b) obligations and rights which, expressly or from the context
thereof, are intended to survive termination or expiration of this Agreement, including Article I, Article VIII, Article IX, Article X, this Article XI, and Article XII. 

ARTICLE XII 

MISCELLANEOUS 
 Section 12.1
Governing Law and Jurisdiction. 
 This Agreement and all claims between the Parties arising out of or relating to this Agreement, the
transactions that it contemplates (including the Intellectual Property Rights described herein), and its and their validity, interpretation, construction, performance and enforcement will be exclusively governed by the substantive laws of the
Commonwealth of Massachusetts without regard to its conflict of laws principles. 
 Section 12.2 Disputes. 

12.2.1 Referral to Executives. Either Party may refer any question, difference, or dispute that may arise concerning the construction,
meaning, or effect of this Agreement or concerning the rights and liabilities of the Parties hereunder, to the Senior Officers of Intellia and Novartis, who will attempt in good faith to resolve such question, difference or dispute. If the question,
difference or dispute cannot be resolved within [***] days of such referral, either Party will be free to initiate the arbitration proceedings outlined in Section 12.2.2, below. For the avoidance of doubt, any difference or dispute arising from
the JSC shall be resolved in accordance with Section 3.2.5. 
 12.2.2 Arbitration. 

(a) General Arbitration. Unless Section 12.2.2(b) is applicable, any question, difference, or dispute relating to
this Agreement that cannot be resolved through informal means as set forth in Section 12.2.1 will be exclusively and finally resolved by arbitration administered in accordance with the Rules of Judicial Administration and Arbitration Services
(“JAMS”) in effect at the time of 

  
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AMENDED. 
  

 
submission. Arbitration proceedings will be conducted in Boston, Massachusetts, before one mutually acceptable arbitrator selected jointly by the Parties from a panel of persons experienced in
the pharmaceutical and life sciences industries (or by JAMS in accordance with its rules if the Parties are unable to reach agreement). Each Party will have all rights of discovery as provided by the Federal Rules of Civil Procedure for any arbitral
proceeding pursuant to this Section 12.2.2. Either Party may apply to the arbitrator for interim injunctive relief or may seek from any court having jurisdiction any injunctive or provisional relief necessary to protect the rights or property
of that Party pending resolution of the matter pursuant to this Section 12.2. The Parties will have the right to be represented by counsel. Any judgment or award rendered by the arbitrator will be final and binding on the Parties, and will be
governed by the terms and conditions hereof, including the limitation on damages set forth in Section 10.5. The Parties agree that such a judgment or award may be enforced in any court of competent jurisdiction. The Parties agree that all
applicable statutes of limitation and time-based defenses (such as estoppel and laches) will be tolled while the dispute resolution procedures set forth in this Section 12.2 are pending. The non-prevailing Party will bear its and the prevailing
Party’s costs and expenses and attorneys’ fees in the arbitration, except that the arbitrator may order instead each Party to bear its own costs and expenses and attorneys’ fees in the arbitration if the arbitrator finds that the
non-prevailing Party’s positions on the issues in the dispute had relative merit. The Party that does not prevail in the arbitration proceeding in all instances will pay the arbitrator’s fees and expenses and any administrative fees of
arbitration. All proceedings and decisions of the arbitrator(s) will be deemed Confidential Information of each of the Parties, and will be subject to Article VIII. 

(b) Accelerated Arbitration. To the extent the arbitration matter involves a question, difference or dispute that either
Party may submit to accelerated arbitration for resolution as permitted under the other provisions of 

  
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AMENDED. 
  

 
this Agreement, or any dispute regarding the proper characterization of a question, difference or dispute subject to resolution under this Section 12.2.2(b) as opposed to
Section 12.2.2(a), the following procedures will also apply: 
 (i) [***] 

12.2.3 Stay of Termination. Any purported termination of this Agreement under Section 11.2.1 will be automatically stayed during
the pendency of any arbitration proceeding commenced under Section 12.2.2. 
 Section 12.3 Waiver. 

No provision of this Agreement may be waived except in writing by both Parties hereto. No failure or delay by either Party hereto in exercising
any right or remedy hereunder or under applicable law will operate as a waiver thereof, or a waiver of any right or remedy on any subsequent occasion. 

Section 12.4 Severability. 
 Should
one or more provisions of this Agreement be or become invalid, then the Parties hereto will attempt to agree upon valid provisions in substitution for the invalid provisions, which in their economic effect come so close to the invalid provisions
that it can be reasonably assumed that the Parties would have accepted this Agreement with those new provisions. If the Parties are unable to agree on such valid provisions, the invalidity of such one or more provisions of this Agreement will not
affect the validity of the Agreement as a whole, unless the invalid provisions are of such essential importance for this Agreement that it may be reasonably presumed that the Parties would not have entered into this Agreement without the invalid
provisions. 
 Section 12.5 Government Acts. 

If any Applicable Law should make impossible or prohibit, restrain, modify or limit any material act or obligation of the Parties under this
Agreement, the Party, if any, not so affected, will have the right, at its option, to suspend or terminate this Agreement 

  
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AMENDED. 
  

 
as to such country, if good faith negotiations between the Parties to make such modifications therein as may be necessary to fairly address the impact thereof are not successful after a
reasonable period of time (not to exceed [***] days) in producing mutually acceptable modifications to this Agreement. 
 Section 12.6 Export
Controls. 
 This Agreement is made subject to any restrictions concerning the export of materials and technology from the United States
that may be imposed upon or related to either Party to this Agreement from time to time by the government of the United States. Furthermore, each Party will not export, directly or indirectly, any technical information acquired from the other Party
under this Agreement or any products or services using such technical information to any countries for which the United States government or any agency thereof at the time of export requires an export license or other governmental approval, without
first obtaining the written consent to do so from the Department of Commerce or other agency of the United States government when required by applicable statute or regulation. 

Section 12.7 Assignment. 
 Neither
Party may assign this Agreement or any of its rights under this Agreement or (except as otherwise expressly provided in this Agreement) delegate its performance under this Agreement, except to any of its Affiliates and to any Third Party successor
to all or substantially all of the assets or business of such Party to which this Agreement relates, whether in a merger, sale of stock, sale of assets, reorganization or other transaction. Any purported assignment and/or delegation by a Party in
contravention of this Section 12.7 will, at the option of the other Party, be null and void and of no effect. No assignment will release either Party from responsibility for the performance of any accrued obligation of such Party hereunder.
This Agreement will be binding upon and enforceable against the administrators, legal representatives, and successors of the Parties. 

  
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AMENDED. 
  

 Section 12.8 Affiliates. 

Each Party may perform its obligations hereunder personally or through one or more Affiliates. Each Party will be solely responsible for the
acts and omissions of its Affiliates. Neither Party will permit any of its Affiliates to commit any act (including any omission) that such Party is prohibited hereunder from committing directly. Any material breach of the terms and conditions of
this Agreement by a Party’s Affiliate will be construed as a material breach by such Party under this Agreement. 
 Section 12.9 Counterparts.

 This Agreement may be executed in counterparts, each of which will be deemed to be original and both of which will constitute one and
the same Agreement. 
 Section 12.10 No Agency. 

Nothing herein contained will be deemed to create an agency, joint venture, amalgamation, partnership or similar relationship between Novartis
and Intellia and their respective Affiliates. Notwithstanding any of the provisions of this Agreement, neither Party to this Agreement will at any time enter into, incur, or hold itself out to third parties as having authority to enter into or
incur, on behalf of the other Party, any commitment, expense, or liability whatsoever, and all contracts, expenses and liabilities in connection with or relating to the obligations of each Party under this Agreement will be made, paid, and
undertaken exclusively by such Party on its own behalf and not as an agent or representative of the other. 
 Section 12.11 Notice. 

All notices, requests, demands and other communications between the Parties with respect to any of the provisions of this Agreement will be
sent to the addresses set out below, or to such other addresses as may be designated by one Party to the other by notice pursuant hereto, by internationally recognized courier (e.g., FedEx, DHL, etc.), with receipt signature required
to the addresses set out below. 

  
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AMENDED. 
  

 if to Novartis, at: 

Novartis Institutes for BioMedical Research, Inc. 

250 Massachusetts Avenue 

Cambridge, MA 02139 

            Attention: Global Head, Strategic Alliances 

with a required copy to: 

Novartis Institutes for BioMedical Research, Inc. 

250 Massachusetts Avenue 

Cambridge, MA 02139 

            Attention: General Counsel 

if to Intellia, at: 
 Intellia
Therapeutics, Inc. 
 130 Brookline Street, Suite 201 

Cambridge, MA 02139 

            Attention: Chief Executive Officer 

with required copies to: 

Intellia Therapeutics, Inc. 
 130
Brookline Street, Suite 201 
 Cambridge, MA 02139 

Attention: General Counsel 

and 
 Goodwin | Procter LLP 

Exchange Place 
 53 State Street

 Boston, Massachusetts 02109 

Attention: Arthur R. McGivern & Karen A. Spindler 

Section 12.12 [***] 

[***] 

Section 12.13 Securitization.[***] 

  
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AMENDED. 
  

 Section 12.14 Third Party Beneficiaries. 

The terms and conditions of this Agreement, express or implied, exist only for the benefit of the Parties and their respective successors and
permitted assigns. Except under Article X, this Agreement does not confer any enforceable rights or remedies upon any Person other than the Parties. 

Section 12.15 Entire Agreement; Amendment. 

This Agreement, together with its Exhibits, contains the entire understanding of the Parties relating to the matters referred to herein, and
may only be amended by a written document, duly executed on behalf of the respective Parties, expressly referencing this Agreement. For the avoidance of doubt, the Equity Agreements remain in full force and effect with respect to their terms;
provided that any disclosures after the Effective Date shall be governed by the terms of this Agreement. 
 Section 12.16 Force Majeure.

 Neither Novartis nor Intellia will be liable for failure of or delay in performing obligations set forth in this Agreement, and
neither will be deemed in breach of such obligations, if such failure or delay is due to natural disasters or any causes reasonably beyond the control of Novartis or Intellia; provided that the Party affected will promptly notify the other of
the force majeure condition and will exert all reasonable efforts to eliminate, cure or overcome any such causes and to resume performance of its obligations as soon as possible. 

[Signature Page Follows] 

  
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AMENDED. 
  

 License and Collaborative Research Agreement 

Executed as of the Effective Date. 
  

									
	 NOVARTIS INSTITUTES FOR

BIOMEDICAL RESEARCH, INC.
	 		 	INTELLIA THERAPEUTICS, INC.
					
	By:	 	 /s/ Scott Brown
	 		 	By:	 	 /s/ Nessan Bermingham

	Name:	 	 Scott Brown
	 		 	Name:	 	 Nessan Bermingham

	Title:	 	 VP, General Counsel
	 		 	Title:	 	 Chief Executive Officer

  
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AMENDED. 
  

 Exhibit A 

Sample Invoice 
  

							
	[***]	  		  	INVOICE	  	
				
	[***]	  		  		  	

  

															
	 [***]
	 		 		  	 [***]
	  		  		  	[***]	  	
								
	 [***]
	 	[***]	 		  		  		  		  	[***]	  	
								
		 		 		  		  		  	[***]	  	[***]	  	

 [***] 

  
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AMENDED. 
  

 Exhibit B 

Novartis HSC Background Intellectual Property 

The compound known at Novartis as [***] 

  
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AMENDED. 
  

 Exhibit C 

Novartis Other Background Intellectual Property 
  

			
	 Novartis Patent Family
	  	 Title

	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]
	[***]	  	[***]

  
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AMENDED. 
  

 Exhibit D 

Sample Calculation of Research Costs 

Intellia/Novartis Research Year: 
  

													
	 Name
	  	 Collaboration
Program X
	  	 Collaboration
Program X
	  	 Collaboration
Program X
	  	 Collaboration
Program X
	  	 FTE Total #
	  	 FTE Expense @
$300k/FTE

	A. Smith	  		  		  		  		  		  	
	B. Smith	  		  		  		  		  		  	
	C. Smith	  		  		  		  		  		  	
	D. Smith	  		  		  		  		  		  	
		  		  		  		  		  		  	
		  		  		  		  		  		  	
		  		  		  		  		  		  	
		  		  		  		  		  		  	
	FTE Total	  		  		  		  		  		  	

  
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AMENDED. 
  

 Exhibit E 

Example Royalty Calculation for royalties due on Products under Section 7.4: 

[***] 
 Example Royalty Calculation for royalties due on
Products under Section 7.6.1: 
 [***] 

  
 83EX-10.1

 Exhibit 10.1 

NOTE PURCHASE AGREEMENT 

THIS NOTE PURCHASE AGREEMENT (this “Agreement”) is dated as of April 13, 2016 (the “Agreement
Date”), by and between NOTIS GLOBAL, INC. (P/K/A MEDBOX, INC.), a corporation organized and existing under the laws of the State of Nevada (the “Company”), and YA II PN, LTD. (P/K/A YA GLOBAL MASTER SPV,
LTD.), a Cayman Islands exempt limited partnership (the “Investor”). 
 WITNESSETH 

WHEREAS, the parties desire that, upon the terms and subject to the conditions contained herein, the Company shall issue and sell to
the Investor, and the Investor shall purchase from the Company, a convertible promissory note, substantially in the form attached hereto as Exhibit A (the “Note”), in an aggregate principal amount of up to $225,000; 

NOW, THEREFORE, in consideration of the mutual covenants and other agreements contained in this Agreement the Company and the Investor
hereby agree as follows: 
 1. PURCHASE AND SALE OF NOTE 

(a) Purchase of Note. The Investor shall purchase, and the Company shall sell, the Note in the aggregate principal amount of $225,000,
which shall be purchased for 100% of the face amount of the Note. The purchase and sale of the Note will occur on the date hereof (the “Closing” and the date of the Closing shall be referred to as the “Closing
Date”), subject to the satisfaction of all the conditions precedent set forth below. 
 (b) Form of Payment. Subject to the
satisfaction of the terms and conditions of this Agreement, on the Closing Date, (i) the Investor shall deliver to the Company the principal amount of the Note, and (ii) the Company shall deliver to the Investor, the Note duly executed on
behalf of the Company in the principal amount so purchased. The parties agree that at the Closing the Investor shall deduct a commitment fee in the amount of $15,000 from the proceeds of the Note and a structuring fee of $10,000 from the proceeds of
the Note (in each case to be payable to YA Global II SPV LLC as designee of the Investor) as set out on a signed closing statement (the “Closing Statement”). 

(c) Conditions Precedent to the Closing. The obligation of the Investor hereunder to purchase the Note at the Closing is subject to the
satisfaction, at or before the Closing Date, of each of the following conditions, provided that these conditions are for the Investor’s sole benefit and may be waived by the Investor at any time in its sole discretion: 

(i) There shall not have been any condition, circumstance, or situation that has resulted in or would reasonably be expected to result in a
“Material Adverse Effect,” where “Material Adverse Effect” shall mean any condition, circumstance, or situation that may result in, or reasonably be expected to result in (1) a material adverse effect on the legality,
validity or enforceability of this Agreement or the transactions contemplated herein, (2) a material adverse effect on the results of operations, assets, business or condition (financial or otherwise) of the Company, taken as a whole, or
(3) a material adverse effect on the Company’s ability to perform in any material respect on a timely basis its obligations under this Agreement, the Note, all exhibits and schedules thereto and hereto and any other documents or agreements
executed in connection with the transactions contemplated hereunder (collectively, the “Transaction Documents”); 

 (ii) The Company’s common stock (“Common Stock”) shall be authorized for
quotation or trading on the OTCQB of the OTC Markets Group (the “Principal Market”) and trading in the Common Stock shall not have been suspended for any reason; 

(iii) The Company is not in material default nor aware of any potential material default with any of its lenders (including any holders of its
convertible debentures), except as has been disclosed in the Company’s filings with the United States Securities and Exchange Commission (the “SEC”); 

(iv) The Company has received all necessary authorizations required to issue and sell the Note to the Investor and shall have provided the
Investor with a copy of board minutes authorizing such issuance; and 
 (v) The parties have signed a Closing Statement with respect to the
Closing in an agreed upon form. 
 2. INVESTOR’S REPRESENTATIONS AND WARRANTIES. 

Investor hereby represents and warrants to the Company that the following are true and correct as of the date hereof, and as of the Closing Date: 

(a) Organization and Authorization. The Investor is duly organized, validly existing and in good standing under the laws of the Cayman
Islands and has all requisite power and authority to purchase and hold the Note. The decision to invest and the execution and delivery of this Agreement by such Investor, the performance by such Investor of its obligations hereunder and the
consummation by such Investor of the transactions contemplated hereby have been duly authorized and requires no other proceedings on the part of the Investor. The undersigned has the right, power and authority to execute and deliver this Agreement
and all other instruments on behalf of the Investor. This Agreement has been duly executed and delivered by the Investor and, assuming the execution and delivery hereof and acceptance thereof by the Company, will constitute the legal, valid and
binding obligations of the Investor, enforceable against the Investor in accordance with its terms. 
 (b) Evaluation of Risks. The
Investor has such knowledge and experience in financial, tax and business matters as to be capable of evaluating the merits and risks of, and bearing the economic risks entailed by, an investment in the Company and of protecting its interests in
connection with this transaction. It recognizes that its investment in the Company involves a high degree of risk. 
 (c) Investment
Purpose. The Note is purchased by the Investor for its own account, and for investment purposes. The Investor agrees not to assign or in any way transfer the Investor’s rights to the Note or any interest therein and acknowledges that the
Company will not recognize any purported assignment or transfer of the Note except in accordance with applicable Federal and state securities laws. No other person has or will have a direct or indirect beneficial interest in the Note. The Investor
agrees not to sell, hypothecate or otherwise transfer the Note unless the Note is registered under Federal and applicable state securities laws or unless, in the opinion of counsel satisfactory to the Company, an exemption from such laws is
available. 

  
 2 

 (d) Accredited Investor. The Investor is an “Accredited Investor” as
that term is defined in Rule 501(a)(3) of Regulation D of the Securities Act of 1933 (the “Securities Act”). 
 (e)
Information. The Investor and its advisors (and its counsel), if any, have been furnished with all materials relating to the business, finances and operations of the Company and information it deemed material to making an informed investment
decision. The Investor and its advisors, if any, have been afforded the opportunity to ask questions of the Company and its management. Neither such inquiries nor any other due diligence investigations conducted by such Investor or its advisors, if
any, or its representatives shall modify, amend or affect the Investor’s right to rely on the Company’s representations and warranties contained in this Agreement. The Investor understands that its investment involves a high degree of
risk. The Investor has sought such accounting, legal and tax advice, as it has considered necessary to make an informed investment decision with respect to this transaction. 

(f) No General Solicitation. Neither the Company, nor any of its affiliates, nor any person acting on its or their behalf, has engaged
in any form of general solicitation or general advertising (within the meaning of Regulation D under the Securities Act) in connection with the offer or sale of the Note offered hereby. 

(g) Not an Affiliate. The Investor is not an officer, director or a person that directly, or indirectly through one or more
intermediaries, controls or is controlled by, or is under common control with the Company or any “Affiliate” of the Company (as that term is defined in Rule 405 of the Securities Act). 

3. COMPANY’S REPRESENTATIONS AND WARRANTIES. Except as stated below or in the SEC Documents, the Company hereby represents and
warrants to, the Investor that the following are true and correct as of the date hereof, and as of the Closing Date: 
 (a) Organization
and Qualification. The Company is duly incorporated, validly existing and in good standing under the laws of the State of Nevada and has all requisite corporate power to own its properties and to carry on its business as now being conducted.
Each of the Company and its subsidiaries is duly qualified as a foreign corporation to do business and is in good standing in every jurisdiction in which the nature of the business conducted by it makes such qualification necessary, except to the
extent that the failure to be so qualified or be in good standing would not have a Material Adverse Effect on the Company and its subsidiaries taken as a whole. The Company has furnished or made available to the Investor true and correct copies of
the Company’s Articles of Incorporation and amendments as in effect on the date hereof (the “Articles of Incorporation”), and the Company’s By-laws, as in effect on the date hereof (the “By-laws). 

(b) Authorization, Enforcement, Compliance with Other Instruments. (i) The Company has the requisite corporate power and authority
to enter into and perform this Agreement and any other Transaction Document, and to issue the Note in accordance with the terms hereof and thereof, (ii) the execution and delivery of this Agreement and any other Transaction Document by the
Company and the consummation by it of the transactions 

  
 3 

 
contemplated hereby and thereby, have been duly authorized by the Company’s Board of Directors and no further consent or authorization is required by the Company, its Board of Directors or
its stockholders, (iii) this Agreement, the Note (when issued) and any related agreements have been duly executed and delivered by the Company, (iv) this Agreement, the Note (when issued), and any other Transaction Document, constitute the
valid and binding obligations of the Company enforceable against the Company in accordance with their terms, except as such enforceability may be limited by general principles of equity or applicable bankruptcy, insolvency, reorganization,
moratorium, liquidation or similar laws relating to, or affecting generally, the enforcement of creditors’ rights and remedies. 
 (c)
No Conflict. The execution, delivery and performance of this Agreement by the Company and the consummation by the Company of the transactions contemplated hereby will not (i) result in a violation of the Articles of Incorporation, any
certificate of designations of any outstanding series of preferred stock of the Company or By-laws or (ii) conflict with or constitute a default (or an event which with notice or lapse of time or both would become a default) under, or give to
others any rights of termination, amendment, acceleration or cancellation of, any agreement, indenture or instrument to which the Company or any of its subsidiaries is a party, or result in a violation of any law, rule, regulation, order, judgment
or decree (including federal and state securities laws and regulations and the rules and regulations of the Principal Market on which the Common Stock is quoted) applicable to the Company or any of its subsidiaries or by which any material property
or asset of the Company or any of its subsidiaries is bound or affected and which would cause a Material Adverse Effect. Except as disclosed in the SEC Documents, neither the Company nor its subsidiaries is in violation of any term of or in default
under its Articles of Incorporation or By-laws or their organizational charter or by-laws, respectively, or any material contract, agreement, mortgage, indebtedness, indenture, instrument, judgment, decree or order or any statute, rule or regulation
applicable to the Company or its subsidiaries. The business of the Company and its subsidiaries is not being conducted in violation of any material law, ordinance, regulation of any governmental entity. Except as specifically contemplated by this
Agreement and as required under the Securities Act and any applicable state securities laws, the Company is not required to obtain any consent, authorization or order of, or make any filing or registration with, any court or governmental agency in
order for it to execute, deliver or perform any of its obligations under or contemplated by this Agreement in accordance with the terms hereof or thereof except as such consent, authorization or order has been obtained prior to the date hereof. The
Company and its subsidiaries are unaware of any fact or circumstance which might give rise to any of the foregoing. 
 (d) SEC Documents;
Financial Statements. The Company has filed all reports, schedules, forms, statements and other documents required to be filed by it with the SEC under Section 13 or 15(d) of the Securities Exchange Act of 1934 (the “Exchange
Act”) during the two years preceding the date hereof (or such shorter period as the Company was required by law or regulation to file such material) (all of the foregoing filed within the two years preceding the date hereof as amended after
the date hereof and all exhibits included therein and financial statements and schedules thereto and documents incorporated by reference therein and including the 10-K for the year ended December 31, 2015 to be filed on or about the date
hereof, being hereinafter referred to as the “SEC Documents”) on a timely basis or has received a valid extension of such time of filing and has filed any such SEC Document prior to the expiration of

  
 4 

 
any such extension. The Company has delivered to the Investor or its representatives, or made available through the SEC’s website at http://www.sec.gov, true and complete copies of the SEC
Documents. As of their respective dates, the SEC Documents complied in all material respects with the requirements of the Exchange Act and the rules and regulations of the SEC promulgated thereunder applicable to the SEC Documents, and none of the
SEC Documents, at the time they were filed with the SEC, contained any untrue statement of a material fact or omitted to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the
circumstances under which they were made, not misleading. As of their respective dates, the financial statements of the Company included in the SEC Documents complied as to form in all material respects with applicable accounting requirements and
the published rules and regulations of the SEC with respect thereto. Such financial statements have been prepared in accordance with generally accepted accounting principles, consistently applied, during the periods involved (except (i) as may
be otherwise indicated in such financial statements or the notes thereto, or (ii) in the case of unaudited interim statements, to the extent they may exclude footnotes or may be condensed or summary statements) and fairly present in all
material respects the financial position of the Company as of the dates thereof and the results of its operations and cash flows for the periods then ended (subject, in the case of unaudited statements, to normal year-end audit adjustments). No
other information provided by or on behalf of the Company to the Investor which is not included in the SEC Documents contains any untrue statement of a material fact or omits to state any material fact necessary in order to make the statements
therein, in the light of the circumstance under which they are or were made, not misleading. 
 (e) No Default. Except as disclosed
in the SEC Documents, the Company is not in default in the performance or observance of any material obligation, agreement, covenant or condition contained in any indenture, debenture, mortgage, deed of trust or other material instrument or
agreement to which it is a party or by which it or its property is bound and neither the execution, nor the delivery by the Company, nor the performance by the Company of its obligations under this Agreement or any of the exhibits or attachments
hereto will conflict with or result in the breach or violation of any of the terms or provisions of, or constitute a default or result in the creation or imposition of any lien or charge on any assets or properties of the Company under its Articles
of Incorporation, By-Laws, any material indenture, mortgage, deed of trust or other material agreement applicable to the Company or instrument to which the Company is a party or by which it is bound, or any statute, or any decree, judgment, order,
rule or regulation of any court or governmental agency or body having jurisdiction over the Company or its properties, in each case which default, lien or charge is likely to cause a Material Adverse Effect. 

(f) Internal Accounting Controls. The Company and each of its subsidiaries maintain a system of internal accounting controls sufficient
to provide reasonable assurance that (i) transactions are executed in accordance with management’s general or specific authorizations, (ii) transactions are recorded as necessary to permit preparation of financial statements in
conformity with generally accepted accounting principles and to maintain asset accountability, (iii) access to assets is permitted only in accordance with management’s general or specific authorization and (iv) the recorded
accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences. 

  
 5 

 (g) Absence of Litigation. Except as set forth in the SEC Documents, there is no action,
suit, proceeding, inquiry or investigation before or by any court, public board, government agency, self-regulatory organization or body pending against or affecting the Company, the Common Stock or any of the Company’s subsidiaries, wherein an
unfavorable decision, ruling or finding would have a Material Adverse Effect. 
 (h) Subsidiaries. Except as disclosed in the SEC
Documents, the Company does not presently own or control, directly or indirectly, any interest in any other corporation, partnership, association or other material business entity. 

(i) Tax Status. Except as disclosed in the SEC Documents, the Company and each of its subsidiaries has made or filed all federal and
state income and all other tax returns, reports and declarations required by any jurisdiction to which it is subject and (unless and only to the extent that the Company and each of its subsidiaries has set aside on its books provisions reasonably
adequate for the payment of all unpaid and unreported taxes) has paid all taxes and other governmental assessments and charges that are material in amount, shown or determined to be due on such returns, reports and declarations, except those being
contested in good faith and has set aside on its books provision reasonably adequate for the payment of all taxes for periods subsequent to the periods to which such returns, reports or declarations apply. There are no unpaid taxes in any material
amount claimed to be due by the taxing authority of any jurisdiction, and the officers of the Company know of no basis for any such claim. 

(j) Certain Transactions. Except as set forth in the SEC Documents none of the officers, directors, or employees of the Company is
presently a party to any transaction with the Company (other than for services as employees, officers and directors), including any contract, agreement or other arrangement providing for the furnishing of services to or by, providing for rental of
real or personal property to or from, or otherwise requiring payments to or from any officer, director or such employee or, to the knowledge of the Company, any corporation, partnership, trust or other entity in which any officer, director, or any
such employee has a substantial interest or is an officer, director, trustee or partner. 
 (k) Foreign Corrupt Practices. Neither
the Company nor any subsidiary, nor, to the knowledge of any of the forgoing, any director, officer, agent, employee or affiliate of any of them is a person or entity (“Person”) that is, or is owned 50% or more or controlled by one
or more Persons that are: (i) on the list of Specially Designated Nationals and Blocked Persons maintained by the U.S. Department of Treasury’s Office of Foreign Asset Control (“OFAC SDN List”), (ii) the subject of
any economic sanctions administered or enforced by OFAC or the U.S. State Department, the United Nations Security Council (“UNSC”), the European Union (“EU”), Her Majesty’s Treasury (“HMT”), or
other relevant sanctions authority (collectively, “Sanctions”), nor (iii) has a place of business in, or is operating, organized, resident or doing business in, a country or territory that is, or whose government is, the
subject of OFAC’s sanctions programs (including, without limitation, Crimea, Cuba, Iran, North Korea, Sudan and Syria) (“Sanctions Programs”) 

(l) Except with respect to the material terms and conditions of the transactions contemplated by this Agreement, all of which shall be
publicly disclosed by the Company as soon as possible after the date hereof, the Company covenants and agrees that neither it, nor any other person acting on its behalf, will provide the Investor or its agents or counsel with any information that
the Company believes constitutes material non-public information, unless prior thereto the Investor shall have entered into a written agreement with the Company regarding the confidentiality and use of such information. The Company understands and
confirms that the Investor shall be relying on the foregoing covenant in effecting transactions in securities of the Company. 

  
 6 

 4. COVENANTS. 

(a) The Company undertakes to the Investor that, from the date of this Agreement and for so long as any amount is owed to the Investor
outstanding under this Agreement or otherwise, it shall (i) procure that it and each subsidiary and their respective officers and directors, employees, agents, consultants, representatives, distributors, and other third-party
intermediaries shall comply with all applicable laws, including without limitation all applicable Anti-Corruption Laws, Anti-Money Laundering Laws, and Sanctions Laws; (ii) will comply with all applicable laws, including
without limitation all applicable Anti-Corruption Laws, Anti-Money Laundering Laws, and Sanctions Laws and will not take any action which will cause the Investor to be in violation of any such laws; and (iii) will not use, directly or
indirectly, any part of the proceeds under the Agreement, or any other proceeds received from the Investor, for any purpose that violates or causes the Investor to be in violation of any applicable laws, including without limitation any
applicable Anti-Corruption Laws, Anti-Money Laundering Laws, or Sanctions Laws. 
 (b) Security Interest. Within 30 days of the date
hereof, the Company shall grant a security interest to the Investor (on its behalf and as collateral agent for Hudson Street LLC) over all its assets, including its stock ownership in its subsidiary, ESWD I, LLC (but not the assets of ESWD I, LLC),
except as otherwise agreed between the parties, by executing and delivering to the Investor a security agreement substantially in the form set forth as Exhibit B (“Security Agreement”) attached hereto. The Security under the
Security Agreement shall be released as soon as the total aggregate balance owed to the Investor and Hudson Street LLC (collectively, the “YA Parties”) is less than $500,000. 

(c) Use of Proceeds. The Company shall use $192,500 of the proceeds of the Notes purchased hereunder to pay its directors and officers
liability insurance premiums for coverage extending through February 2017. 
 (d) Early Repayment. Unless otherwise agreed by the
Investor, in connection with the first $1,500,000 of funds received by the Company from any equity financing transaction of the Company, the Company shall as soon as possible upon receipt of any funds, use one third of such funds (up to $500,000) to
make principal repayments of amounts outstanding to the Investor, plus a redemption premium of 30% of the principal amount being paid. 

(e) Share Reserve. As of the date that the Company completes the increase of its authorized shares of common stock as proposed in the
proxy statement dated March 15, 2016, the Company shall reserve from its duly authorized shares of common stock, a number of shares at least equal to 300% of the Required Minimum as of such date (the “Initial Reserve”) for
issuance to the YA Parties. If as of any date the Initial Reserve is less than the 200% of the Required Minimum as of such date, then the Company shall promptly increase the share reserve to at least equal to 300% of the Required Minimum and obtain
an updated transfer 

  
 7 

 
agent instruction letter confirming the increase in the share reserve. If, on any date, the number of authorized shares of common stock that are unissued and otherwise unreserved (for parties
other than the YA Parties) is less than 200% of the Required Minimum on such date, then the Board of Directors shall use commercially reasonable efforts to amend the Company’s certificate or articles of incorporation to increase the number of
authorized but unissued shares of Common Stock to at least 300% of the Required Minimum at such time, as soon as possible and in any event not later than the 75th day after such date, to the extent within the Company’s control. For the purposes
hereof, the term “Required Minimum” means, as of any date, the total aggregate number of shares of common stock potentially issuable upon conversion or exercise in full of all instruments (including convertible debentures,
promissory notes, warrants, or otherwise) then held by the YA Parties, ignoring any conversion or exercise limits set forth therein, and assuming that the conversion price or exercise price, as the case may be, is equal to the conversion price or
exercise price as of the date of determination. 
 5. INDEMNIFICATION. The Company will indemnify and hold the Investor and its
directors, officers, shareholders, members, partners, employees and agents (and any other persons with a functionally equivalent role of a person holding such titles notwithstanding a lack of such title or any other title), each person who controls
the Investor, and the directors, officers, shareholders, agents, members, partners or employees (and any other persons with a functionally equivalent role of a person holding such titles notwithstanding a lack of such title or any other title) of
such controlling persons (each, a “Purchaser Party”) harmless from any and all losses, liabilities, obligations, claims, contingencies, damages, costs and expenses, including all judgments, amounts paid in settlements, court costs
and reasonable attorneys’ fees and costs of investigation that any such Purchaser Party may suffer or incur as a result of or relating to (a) any breach of any of the representations, warranties, covenants or agreements made by the Company
in this Agreement, the Note, or any other Transaction Document or (b) any action instituted against the Purchaser Parties in any capacity, or any of them or their respective Affiliates, by any stockholder of the Company who is not an Affiliate
of such Purchaser Party, with respect to any of the transactions contemplated by herein (unless such action is based upon a breach of such Purchaser Party’s representations, warranties or covenants under this Agreement or any agreements or
understandings such Purchaser Party may have with any such stockholder or any violations by such Purchaser Party of state or federal securities laws or any conduct by such Purchaser Party which constitutes fraud, gross negligence, willful misconduct
or malfeasance). If any action shall be brought against any Purchaser Party in respect of which indemnity may be sought pursuant to this Agreement, such Purchaser Party shall promptly notify the Company in writing, and the Company shall have the
right to assume the defense thereof with counsel of its own choosing reasonably acceptable to the Purchaser Party. Any Purchaser Party shall have the right to employ separate counsel in any such action and participate in the defense thereof, but the
fees and expenses of such counsel shall be at the expense of such Purchaser Party except to the extent that (i) the employment thereof has been specifically authorized by the Company in writing, (ii) the Company has failed after a
reasonable period of time to assume such defense and to employ counsel or (iii) in such action there is, in the reasonable opinion of counsel, a material conflict on any material issue between the position of the Company and the position of
such Purchaser Party, in which case the Company shall be responsible for the reasonable fees and expenses of no more than one such separate counsel. The Company will not be liable to any 

  
 8 

 
Purchaser Party under this Agreement (y) for any settlement by a Purchaser Party effected without the Company’s prior written consent, which shall not be unreasonably withheld or
delayed; or (z) to the extent, but only to the extent that a loss, claim, damage or liability is attributable to any Purchaser Party’s breach of any of the representations, warranties, covenants or agreements made by such Purchaser Party
in this Agreement or any other Transaction Document. The indemnification required by this Section 4 shall be made by periodic payments of the amount thereof during the course of the investigation or defense, as and when bills are received or
are incurred. The indemnity agreements contained herein shall be in addition to any cause of action or similar right of any Purchaser Party against the Company or others and any liabilities the Company may be subject to pursuant to law. 

6. GOVERNING LAW. This Agreement shall be governed by and interpreted in accordance with the laws of the State of New York without
regard to the principles of conflict of laws. Each of the parties consents to the jurisdiction of the state courts of the State of New York and the U.S. District Court for the District of New York sitting in Manhattan, for the adjudication of
any civil action asserted pursuant to this paragraph. 
 7. NOTICES. Any notices, consents, waivers or other communications required
or permitted to be given under the terms hereof must be in writing and will be deemed to have been delivered: (i) upon receipt, when delivered personally; (ii) upon receipt, when sent by electronic mail (provided that the electronic mail
transmission is not returned in error or the sender is not otherwise notified of any error in transmission); or (iii) one (1) Business Day after deposit with a nationally recognized overnight delivery service, in each case properly
addressed to the party to receive the same. The addresses and facsimile numbers for such communications shall be: 
  

							
	If to the Company, to:	 	 	 	 Notis Global, Inc.
 600 Wilshire Blvd., Ste.
1500
 Los Angeles, CA 90017

Attention: C. Douglas Mitchell
	 	 
				
	With a copy to:	 		 		 	
				
	If to the Holder:	 	 	 	 	 	 

  
 9 

							
				
	With a copy to:          	 		 		 	

 or at such other address and/or electronic mail address and/or to the attention of such other person as the recipient party
has specified by written notice given to each other party three Business Days prior to the effectiveness of such change. Written confirmation of receipt (i) given by the recipient of such notice, consent, waiver or other communication, or
(ii) provided by a nationally recognized overnight delivery service, shall be rebuttable evidence of personal service, or receipt from a nationally recognized overnight delivery service in accordance with clause (i), or (iii) above,
respectively. 
 8. MISCELLANEOUS. 

(a) Counterparts. This Agreement may be executed in two or more identical counterparts, all of which shall be considered one and the
same agreement and shall become effective when counterparts have been signed by each party and delivered to the other party. 
 (b) This
Agreement shall be binding upon and inure to the benefit of the parties and their successors and permitted assigns. The Company may not assign this Agreement or any rights or obligations hereunder without the prior written consent of the Purchaser
(other than by merger). The Purchaser may assign any or all of its rights under this Agreement to any person to whom such Purchaser assigns or transfers the Note, or a portion thereof, provided that such transferee agrees in writing to be bound,
with respect to the Note, by the provisions of the this Agreement that apply to the Investor. 
 (c) Usury. To the extent it may
lawfully do so, the Company hereby agrees not to insist upon or plead or in any manner whatsoever claim, and will resist any and all efforts to be compelled to take the benefit or advantage of, usury laws wherever enacted, now or at any time
hereafter in force, in connection with any claim, action or proceeding that may be brought by the Investor in order to enforce any right or remedy under any Transaction Document. Notwithstanding any provision to the contrary contained in any
Transaction Document, it is expressly agreed and provided that the total liability of the Company under the Transaction Documents for payments in the nature of interest shall not exceed the maximum lawful rate authorized under applicable law (the
“Maximum Rate”), and, without limiting the foregoing, in no event shall any rate of interest or default interest, or both of them, when aggregated with any other sums in the nature of interest that the Company may be obligated to
pay under the Transaction Documents exceed such Maximum Rate. It is agreed that if the maximum contract rate of interest allowed by law and applicable to the Transaction Documents is increased or decreased by statute or any official governmental
action subsequent to the date hereof, the new maximum contract rate of interest allowed by law will be the Maximum Rate applicable to the Transaction Documents from the effective date thereof forward, unless such

  
 10 

 
application is precluded by applicable law. If under any circumstances whatsoever, interest in excess of the Maximum Rate is paid by the Company to the Investor with respect to indebtedness
evidenced by the Transaction Documents, such excess shall be applied by the Investor to the unpaid principal balance of any such indebtedness or be refunded to the Company, the manner of handling such excess to be at the Investor’s election.

 (d) Entire Agreement; Amendments. This Agreement supersedes all other prior oral or written agreements between the Investor and
the Company with respect to the matters discussed herein, and this Agreement, and the instruments referenced herein, contain the entire understanding of the parties with respect to the matters covered herein and therein and, except as specifically
set forth herein or therein, neither the Company nor the Investor makes any representation, warranty, covenant or undertaking with respect to such matters. No provision of this Agreement may be waived or amended other than by an instrument in
writing signed by the party to be charged with enforcement. 
 [signature page follows] 

  
 11 

 IN WITNESS WHEREOF, each of the Investor and the Company have caused their
respective signature page to this Note Purchase Agreement to be duly executed as of the date first written above. 
  

					
	COMPANY:
	
	NOTIS GLOBAL, INC.
		
	By:	 	 
	Name:	 	C. Douglas Mitchell
	Title:	 	Chief Financial Officer
	
	INVESTOR:
	
	YA II PN, LTD.
		
	By:	 	Yorkville Advisors Global LP
	Its:	 	Investment Manager
			
		 	By:	 	Yorkville Advisors Global LLC
		 	Its:	 	General Partner
		
	By:	 	 
	Name:	 	
	Title:	 	

  
 12

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