Document:

EX-10.14

 Exhibit 10.14 

CONTRAFECT CORPORATION 

2014 OMNIBUS INCENTIVE PLAN 

ADOPTED BY THE BOARD OF DIRECTORS: April 29, 2014 

APPROVED BY THE STOCKHOLDERS: [—], 2014 

IPO DATE/EFFECTIVE DATE: [—], 2014 

1. GENERAL. 
 (a)
Eligible Award Recipients. Employees, Directors, Officers and Consultants are eligible to receive Awards. 
 (b) Available
Awards. The Plan provides for the grant of the following Awards: (i) Incentive Stock Options, (ii) Nonstatutory Stock Options, (iii) Stock Appreciation Rights (iv) Restricted Stock Awards, (v) Restricted Stock Unit
Awards, (vi) Performance Stock Awards, (vii) Performance Cash Awards, and (viii) Other Stock Awards. 
 (c) Purpose.
This Plan, through the granting of Awards, is intended to help the Company secure and retain the services of eligible award recipients, provide incentives for such persons to exert maximum efforts for the success of the Company and any Affiliate,
and provide a means by which the eligible recipients may benefit from increases in value of the Common Stock. 
 2. ADMINISTRATION.

 (a) Administration by Board. The Board will administer the Plan. The Board may delegate administration of the Plan to a
Committee or Committees, as provided in Section 2(c). 
 (b) Powers of Board. The Board will have the power, subject to, and
within the limitations of, the express provisions of the Plan: 
 (i) To determine: (A) who will be granted Awards;
(B) when and how each Award will be granted; (C) what type of Award will be granted; (D) the provisions of each Award (which need not be identical), including when a person will be permitted to exercise or otherwise receive cash or
shares of Common Stock under the Award; (E) the number of shares of Common Stock subject to, or the cash value of, an Award; and (F) the Fair Market Value applicable to a Stock Award. 

(ii) To construe and interpret the Plan and Awards granted under it, and to establish, amend and revoke rules and regulations for
administration of the Plan and Awards. The Board, in the exercise of these powers, may correct any defect, omission or inconsistency in the Plan or in any Award Agreement or in the written terms of a Performance Cash Award, in a manner and to the
extent it will deem necessary or expedient to make the Plan or Award fully effective. 
 (iii) To settle all controversies regarding
the Plan and Awards granted under it. 
 (iv) To accelerate, in whole or in part, the time at which an Award may be exercised or vest
(or at which cash or shares of Common Stock may be issued). 
 (v) To suspend or terminate the Plan at any time. Except as otherwise
provided in the Plan or an Award Agreement, suspension or termination of the Plan will not materially impair a Participant’s rights under his or her then-outstanding Award without his or her written consent. 

(vi) To amend the Plan in any respect the Board deems necessary or advisable, including, without limitation, by adopting amendments
relating to Incentive Stock Options and certain nonqualified deferred compensation under Section 409A of the Code and/or to bring the Plan or Awards granted under the Plan into compliance therewith, subject to the limitations, if any, of
applicable law. If required by applicable law or listing requirements, and except as provided in Section 9(a) relating to Capitalization Adjustments, the Company will seek stockholder approval of any amendment of the Plan that
(A) materially increases the number of shares of Common Stock available for issuance under the Plan, (B) materially expands the class of individuals eligible to receive Awards under the Plan, (C) materially increases the benefits
accruing to Participants under the Plan, (D) materially reduces the price at which shares of Common Stock may be issued or purchased under the Plan, (E) materially extends the term of the Plan, or (F) materially expands the types of
Awards available for issuance under the Plan. Except as otherwise provided in the Plan or an Award Agreement, no amendment of the Plan will materially impair a Participant’s rights under an outstanding Award without his or her written consent.

  
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 (vii) To submit any amendment to the Plan for stockholder approval, including, but not
limited to, amendments to the Plan intended to satisfy the requirements of (A) Section 162(m) of the Code regarding the exclusion of performance-based compensation from the limit on corporate deductibility of compensation paid to Covered
Employees, (B) Section 422 of the Code regarding “incentive stock options” or (C) Rule 16b-3. 
 (viii) To
approve forms of Award Agreements for use under the Plan and to amend the terms of any one or more outstanding Awards. Except with respect to amendments that disqualify or impair the status of an Incentive Stock Option or as otherwise provided in
the Plan or an Award Agreement, no amendment of an outstanding Award will materially impair that Participant’s rights under his or her outstanding Award without his or her written consent. To be clear, unless prohibited by applicable law, the
Board may amend the terms of an Award without the affected Participant’s consent if necessary (A) to maintain the qualified status of the Award as an Incentive Stock Option, (B) to clarify the manner of exemption from, or to bring the
Award into compliance with, Section 409A of the Code, or (C) to comply with other applicable laws. 
 (ix) Generally, to
exercise such powers and to perform such acts as the Board deems necessary or expedient to promote the best interests of the Company and that are not in conflict with the provisions of the Plan or Awards. 

(x) To adopt such procedures and sub-plans as are necessary or appropriate to permit participation in the Plan by Employees, Directors
or Consultants who are foreign nationals or employed outside the United States. 
 (xi) To effect, with the consent of any adversely
affected Participant, (A) the reduction of the exercise, purchase or strike price of any outstanding Stock Award; (B) the cancellation of any outstanding Stock Award and the grant in substitution therefor of a new (1) Option or SAR,
(2) Restricted Stock Award, (3) Restricted Stock Unit Award, (4) Other Stock Award, (5) cash award and/or (6) award of other valuable consideration determined by the Board, in its sole discretion, with any such substituted
award (x) covering the same or a different number of shares of Common Stock as the cancelled Stock Award and (y) granted under the Plan or another equity or compensatory plan of the Company; or (C) any other action that is treated as
a repricing under generally accepted accounting principles. 
 (c) Delegation to Committee. 

(i) General. The Board may delegate some or all of the administration of the Plan to a Committee or Committees. If administration of the
Plan is delegated to a Committee, the Committee will have, in connection with the administration of the Plan, the powers theretofore possessed by the Board that have been delegated to the Committee, including the power to delegate to a subcommittee
of the Committee any of the administrative powers the Committee is authorized to exercise (and references in this Plan to the Board will thereafter be to the Committee or subcommittee). Any delegation of administrative powers will be reflected in
resolutions, not inconsistent with the provisions of the Plan, adopted from time to time by the Board or Committee (as applicable). The Board may retain the authority to concurrently administer the Plan with the Committee and may, at any time,
revest in the Board some or all of the powers previously delegated. 
 (ii) Section 162(m) and Rule 16b-3 Compliance. The
Committee may consist solely of two or more Outside Directors, in accordance with Section 162(m) of the Code, or solely of two or more Non-Employee Directors, in accordance with Rule 16b-3. 

(d) Delegation to an Officer. The Board may delegate to one or more Officers the authority to do one or both of the following
(i) designate Employees who are not Officers to be recipients of Options and SARs (and, to the extent permitted by applicable law, other Stock Awards) and, to the extent permitted by applicable law, the terms of such rights and options, and
(ii) determine the number of shares of Common Stock to be subject to such Stock Awards granted to such Employees; provided, however, that the Board resolutions regarding such delegation will specify the total number of shares of Common
Stock that may be subject to the Stock Awards granted by such Officer and that such Officer may not grant a Stock Award to himself or herself. Any such Stock Awards will be granted on the form of Stock Award Agreement most recently approved for use
by the Committee or the Board, unless otherwise provided in the resolutions approving the delegation authority. The Board may not delegate authority to an Officer who is acting solely in the capacity of an Officer (and not also as a Director) to
determine the Fair Market Value pursuant to Section 13(w)(iii) below. 

  
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 (e) Effect of Board’s Decision. All determinations, interpretations and constructions
made by the Board in good faith will not be subject to review by any person and will be final, binding and conclusive on all persons. 
 3.
SHARES SUBJECT TO THE PLAN. 
 (a) Share Reserve.
Subject to Section 9(a) relating to Capitalization Adjustments, and the following sentence regarding the annual increase, the aggregate number of shares of Common Stock that may be issued pursuant to Stock Awards shall consist of the sum of
(i) 4,000,000 shares of Common Stock, (ii) the shares of Common Stock remaining available for issuance under the ContraFect Corporation Amended and Restated 2008 Equity Incentive Plan (the “2008 Plan”) at the
Effective Date and (iii) the shares of Common Stock subject to awards granted under the 2008 Plan that expire or terminate for any reason prior to exercise or settlement, are forfeited because of the failure to vest in those shares, or are
otherwise reacquired or withheld to satisfy a tax withholding obligation in connection with such awards if, as, and when such shares are subject to such events, which aggregate number of shares will not exceed 8,500,000 shares (the “Share
Reserve”), with such Share Reserve subject to adjustment to reflect any stock split on or before the Effective Date. In addition, and notwithstanding the 8,500,000 share limit in the preceding sentence, the Share Reserve will
automatically increase on January 1st of each year, for a period of not more than ten years, commencing on January 1 of the year following the year in which the IPO Date occurs and
ending on (and including) January 1, 2024, in an amount equal to 4% of the total number of shares of Common Stock outstanding on December 31st of the preceding calendar year.
Notwithstanding the foregoing, the Board may act prior to January 1st of a given year to provide that there will be no January 1st
increase in the Share Reserve for such year or that the increase in the Share Reserve for such year will be a lesser number of shares of Common Stock than would otherwise occur pursuant to the preceding sentence. For clarity, the Share Reserve in
this Section 3(a) is a limitation on the number of shares of Common Stock that may be issued pursuant to the Plan. Accordingly, this Section 3(a) does not limit the granting of Stock Awards except as provided in Section 7(a). Shares
may be issued in connection with a merger or acquisition as permitted by NASDAQ Listing Rule 5635(c) or, if applicable, NYSE Listed Company Manual Section 303A.08, AMEX Company Guide Section 711 or other applicable rule, and such issuance
will not reduce the number of shares available for issuance under the Plan. 
 (b) Reversion of Shares to the Share Reserve. If a
Stock Award or any portion thereof (i) expires or otherwise terminates without all of the shares covered by such Stock Award having been issued or (ii) is settled in cash (i.e., the Participant receives cash rather than stock), such
expiration, termination or settlement will not reduce (or otherwise offset) the number of shares of Common Stock that may be available for issuance under the Plan. If any shares of Common Stock issued pursuant to a Stock Award are forfeited back to
or repurchased by the Company because of the failure to meet a contingency or condition required to vest such shares in the Participant, then the shares that are forfeited or repurchased will revert to and again become available for issuance under
the Plan. Any shares reacquired by the Company in satisfaction of tax withholding obligations on a Stock Award or as consideration for the exercise or purchase price of a Stock Award will again become available for issuance under the Plan. 

(c) Incentive Stock Option Limit. Subject to Section 3(a) above and the provisions of Section 9(a) relating to Capitalization
Adjustments, the aggregate maximum number of shares of Common Stock that may be issued pursuant to the exercise of Incentive Stock Options will be 5,000,000 shares of Common Stock (such shares of Common Stock subject to adjustment to reflect any
stock split on or before the Effective Date). 
 (d) Section 162(m) Limitations. Subject to Section 3(a) above and
the provisions of Section 9(a) relating to Capitalization Adjustments, at such time as the Company may be subject to the applicable provisions of Section 162(m) of the Code: (i) a maximum of 5,000,000 shares of Common Stock subject to
Options, SARs and Other Stock Awards (such shares of Common Stock subject to adjustment to reflect any stock split on or before the Effective Date) whose value is determined by reference to an increase over an exercise or strike price of at least
100% of the Fair Market Value on the date the Stock Award is granted may be granted to any one Participant during any one calendar year, (ii) a maximum of 5,000,000 shares of Common Stock subject to Performance Stock Awards (such shares of
Common Stock subject to adjustment to reflect any stock split on or before the Effective Date) may be granted to any one Participant during any one calendar year (whether the grant, vesting or exercise is contingent upon the attainment during the
Performance Period of the Performance Goals) and (iii) a maximum of $5,000,000 may be granted as a Performance Cash Award to any one Participant during any one calendar year. If a Performance Stock Award is in the form of an Option, it will
count only against the Performance Stock Award limit. If a Performance Stock Award could (but is not required to) be paid out in cash, it will count only against the Performance Stock Award limit. 

  
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 (e) Source of Shares. The stock issuable under the Plan will be shares of authorized but
unissued or reacquired Common Stock, including shares repurchased by the Company on the open market or otherwise. 
 4. ELIGIBILITY.

 (a) Eligibility for Specific Stock Awards. Incentive Stock Options may be granted only to employees of the Company or a
“parent corporation” or “subsidiary corporation” thereof (as such terms are defined in Sections 424(e) and 424(f) of the Code). Stock Awards other than Incentive Stock Options may be granted to Employees, Directors and
Consultants; provided, however, that Stock Awards may not be granted to Employees, Directors and Consultants who are providing Continuous Service only to any “parent” of the Company, as such term is defined in Rule 405 of the
Securities Act, unless (i) the stock underlying such Stock Awards is treated as “service recipient stock” under Section 409A of the Code (for example, because the Stock Awards are granted pursuant to a corporate transaction such
as a spin off transaction), (ii) the Company, in connection with its legal counsel, has determined that such Stock Awards are otherwise exempt from Section 409A of the Code, or (iii) the Company, in connection with its legal counsel,
has determined that such Stock Awards comply with the distribution requirements of Section 409A of the Code. 
 (b) Ten Percent
Stockholders. A Ten Percent Stockholder will not be granted an Incentive Stock Option unless the exercise price of such Option is at least 110% of the Fair Market Value on the date of grant and the Option is not exercisable after the expiration
of five years from the date of grant. 
 5. PROVISIONS RELATING TO OPTIONS AND
STOCK APPRECIATION RIGHTS. 
 Each Option or SAR will be in such form and will contain such
terms and conditions as the Board deems appropriate. All Options will be separately designated Incentive Stock Options or Nonstatutory Stock Options at the time of grant, and, if certificates are issued, a separate certificate or certificates will
be issued for shares of Common Stock purchased on exercise of each type of Option. If an Option is not specifically designated as an Incentive Stock Option, or if an Option is designated as an Incentive Stock Option but some portion or all of the
Option fails to qualify as an Incentive Stock Option under the applicable rules, then the Option (or portion thereof) will be a Nonstatutory Stock Option. The provisions of separate Options or SARs need not be identical; provided, however,
that each Award Agreement will conform to (through incorporation of provisions hereof by reference in the applicable Award Agreement or otherwise) the substance of each of the following provisions: 

(a) Term. Subject to the provisions of Section 4(b) regarding Ten Percent Stockholders, no Option or SAR will be exercisable after
the expiration of ten years from the date of its grant or such shorter period specified in the Award Agreement. 
 (b) Exercise
Price. Subject to the provisions of Section 4(b) regarding Ten Percent Stockholders, the exercise or strike price of each Option or SAR will be not less than 100% of the Fair Market Value of the Common Stock subject to the Option or SAR on
the date the Award is granted. Notwithstanding the foregoing, an Option or SAR may be granted with an exercise or strike price lower than 100% of the Fair Market Value of the Common Stock subject to the Award if such Award is granted pursuant to an
assumption of or substitution for another option or stock appreciation right pursuant to a Corporate Transaction and in a manner consistent with the provisions of Section 409A and, if applicable, Section 424(a) of the Code. Each SAR will
be denominated in shares of Common Stock equivalents. 
 (c) Purchase Price for Options. The purchase price of shares of Common Stock
acquired pursuant to the exercise of an Option may be paid, to the extent permitted by applicable law and as determined by the Board in its sole discretion, by any combination of the methods of payment set forth below. The Board will have the
authority to grant Options that do not permit all of the following methods of payment (or otherwise restrict the ability to use certain methods) and to grant Options that require the consent of the Company to use a particular method of payment. The
permitted methods of payment are as follows: 
 (i) by cash, check, bank draft or money order payable to the Company; 

(ii) pursuant to a program developed under Regulation T as promulgated by the Federal Reserve Board that, prior to the issuance of the
stock subject to the Option, results in either the receipt of cash (or check) by the Company or the receipt of irrevocable instructions to pay the aggregate exercise price to the Company from the sales proceeds; 

(iii) by delivery to the Company (either by actual delivery or attestation) of shares of Common Stock; 

  
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 (iv) if an option is a Nonstatutory Stock Option, by a “net exercise”
arrangement pursuant to which the Company will reduce the number of shares of Common Stock issuable upon exercise by the largest whole number of shares with a Fair Market Value that does not exceed the aggregate exercise price; provided,
however, that the Company will accept a cash or other payment from the Participant to the extent of any remaining balance of the aggregate exercise price not satisfied by such reduction in the number of whole shares to be issued. Shares of
Common Stock will no longer be subject to an Option and will not be exercisable thereafter to the extent that (A) shares issuable upon exercise are reduced to pay the exercise price pursuant to the “net exercise,” (B) shares are
delivered to the Participant as a result of such exercise, and (C) shares are withheld to satisfy tax withholding obligations; or 

(v) in any other form of legal consideration that may be acceptable to the Board and specified in the applicable Award Agreement. 

(d) Exercise and Payment of a SAR. To exercise any outstanding SAR, the Participant must provide written notice of exercise to the
Company in compliance with the provisions of the Stock Appreciation Right Agreement evidencing such SAR. The appreciation distribution payable on the exercise of a SAR will be not greater than an amount equal to the excess of (A) the aggregate
Fair Market Value (on the date of the exercise of the SAR) of a number of shares of Common Stock equal to the number of Common Stock equivalents in which the Participant is vested under such SAR, and with respect to which the Participant is
exercising the SAR on such date, over (B) the strike price. The appreciation distribution may be paid in Common Stock, in cash, in any combination of the two or in any other form of consideration, as determined by the Board and contained in the
Award Agreement evidencing such SAR. 
 (e) Transferability of Options and SARs. The Board may, in its sole discretion, impose such
limitations on the transferability of Options and SARs as the Board will determine. In the absence of such a determination by the Board to the contrary, the following restrictions on the transferability of Options and SARs will apply: 

(i) Restrictions on Transfer. An Option or SAR will not be transferable except by will or by the laws of descent and distribution (or
pursuant to subsections (ii) and (iii) below), and will be exercisable during the lifetime of the Participant only by the Participant. The Board may permit transfer of the Option or SAR in a manner that is not prohibited by applicable tax
and securities laws. Except as explicitly provided herein, neither an Option nor a SAR may be transferred for consideration. 
 (ii)
Domestic Relations Orders. Subject to the approval of the Board or a duly authorized Officer, an Option or SAR may be transferred pursuant to the terms of a domestic relations order or official marital settlement agreement. If an Option is an
Incentive Stock Option, such Option may be deemed to be a Nonstatutory Stock Option as a result of such transfer. 
 (iii) Beneficiary
Designation. Subject to the approval of the Board or a duly authorized Officer, a Participant may, by delivering written notice to the Company, in a form approved by the Company (or the designated broker), designate a third party who, on the
death of the Participant, will thereafter be entitled to exercise the Option or SAR and receive the Common Stock or other consideration resulting from such exercise. In the absence of such a designation, the executor or administrator of the
Participant’s estate will be entitled to exercise the Option or SAR and receive the Common Stock or other consideration resulting from such exercise. However, the Company may prohibit designation of a beneficiary at any time, including due to
any conclusion by the Company that such designation would be inconsistent with the provisions of applicable laws. 
 (f) Vesting
Generally. The total number of shares of Common Stock subject to an Option or SAR may vest and therefore become exercisable in periodic installments that may or may not be equal. The Option or SAR may be subject to such other terms and
conditions on the time or times when it may or may not be exercised (which may be based on the satisfaction of Performance Goals or other criteria) as the Board may deem appropriate. The vesting provisions of individual Options or SARs may vary. The
provisions of this Section 5(f) are subject to any Option or SAR provisions governing the minimum number of shares of Common Stock as to which an Option or SAR may be exercised. 

(g) Termination of Continuous Service. Except as otherwise provided in the applicable Award Agreement or other agreement between the
Participant and the Company, if a Participant’s Continuous Service terminates (other than for Cause and other than upon the Participant’s death or Disability), the Participant may exercise his or her Option or SAR (to the extent that the
Participant was entitled to exercise such Award as of the date of termination of Continuous Service) within the period of time ending on the earlier of (i) the date 90 days following the termination

  
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of the Participant’s Continuous Service and (ii) the expiration of the term of the Option or SAR as set forth in the Award Agreement. If, after termination of Continuous Service, the
Participant does not exercise his or her Option or SAR within the applicable time frame, the Option or SAR will terminate. 
 (h)
Extension of Termination Date. If the exercise of an Option or SAR following the termination of the Participant’s Continuous Service (other than for Cause and other than upon the Participant’s death or Disability) would be prohibited
at any time solely because the issuance of shares of Common Stock would violate the registration requirements under the Securities Act, then the Option or SAR will terminate on the earlier of (i) the expiration of a total period of 90 days
(that need not be consecutive) after the termination of the Participant’s Continuous Service during which the exercise of the Option or SAR would not be in violation of such registration requirements, and (ii) the expiration of the term of
the Option or SAR as set forth in the applicable Award Agreement. In addition, unless otherwise provided in a Participant’s Award Agreement, if the sale of any Common Stock received on exercise of an Option or SAR following the termination of
the Participant’s Continuous Service (other than for Cause) would violate the Company’s insider trading policy, then the Option or SAR will terminate on the earlier of (i) the expiration of a period of months (that need not be
consecutive) equal to the applicable post-termination exercise period after the termination of the Participant’s Continuous Service during which the sale of the Common Stock received upon exercise of the Option or SAR would not be in violation
of the Company’s insider trading policy, or (ii) the expiration of the term of the Option or SAR as set forth in the applicable Award Agreement. 

(i) Disability of Participant. Except as otherwise provided in the applicable Award Agreement or other agreement between the
Participant and the Company, if a Participant’s Continuous Service terminates as a result of the Participant’s Disability, the Participant may exercise his or her Option or SAR (to the extent that the Participant was entitled to exercise
such Option or SAR as of the date of termination of Continuous Service), but only within such period of time ending on the earlier of (i) the date 12 months following such termination of Continuous Service and (ii) the expiration of the
term of the Option or SAR as set forth in the Award Agreement. If, after termination of Continuous Service, the Participant does not exercise his or her Option or SAR within the applicable time frame, the Option or SAR (as applicable) will
terminate. 
 (j) Death of Participant. Except as otherwise provided in the applicable Award Agreement or other agreement between the
Participant and the Company, if (i) a Participant’s Continuous Service terminates as a result of the Participant’s death, or (ii) the Participant dies within the period (if any) specified in the Award Agreement for exercisability
after the termination of the Participant’s Continuous Service for a reason other than death, then the Option or SAR may be exercised (to the extent the Participant was entitled to exercise such Option or SAR as of the date of death) by the
Participant’s estate, by a person who acquired the right to exercise the Option or SAR by bequest or inheritance or by a person designated to exercise the Option or SAR upon the Participant’s death, but only within the period ending on the
earlier of (i) the date 18 months following the date of death and (ii) the expiration of the term of such Option or SAR as set forth in the Award Agreement. If, after the Participant’s death, the Option or SAR is not exercised within
the applicable time frame, the Option or SAR will terminate. 
 (k) Termination for Cause. Except as explicitly provided otherwise in
a Participant’s Award Agreement, if a Participant’s Continuous Service is terminated for Cause, the Option or SAR will terminate upon the date on which the event giving rise to the termination for Cause first occurred, and the Participant
will be prohibited from exercising his or her Option or SAR from and after the date on which the event giving rise to the termination for Cause first occurred (or, if required by law, the date of termination of Continuous Service). 

(l) Non-Exempt Employees. If an Option or SAR is granted to an Employee who is a non-exempt employee for purposes of the Fair
Labor Standards Act of 1938, as amended, the Option or SAR will not be first exercisable for any shares of Common Stock until at least six (6) months following the date of grant of the Option or SAR (although the Award may vest prior to such
date). Consistent with the provisions of the Worker Economic Opportunity Act, (i) if such non-exempt Employee dies or suffers a Disability, (ii) upon a Corporate Transaction in which such Option or SAR is not assumed, continued, or
substituted, (iii) upon a Change in Control, or (iv) upon the Participant’s retirement (as such term may be defined in the Participant’s Award Agreement in another agreement between the Participant and the Company, or, if no such
definition, in accordance with the Company’s then current employment policies and guidelines), the vested portion of any Options and SARs may be exercised earlier than six months following the date of grant. The foregoing provision is intended
to operate so that any income derived by a non-exempt employee in connection with the exercise or vesting of an Option or SAR will be exempt from his or her regular rate of pay. To the extent permitted and/or required for compliance with the Worker
Economic 

  
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Opportunity Act to ensure that any income derived by a non-exempt employee in connection with the exercise, vesting or issuance of any shares under any other Stock Award will be exempt from the
employee’s regular rate of pay, the provisions of this Section 5(l) will apply to all Stock Awards and are hereby incorporated by reference into such Stock Award Agreements. 

6. PROVISIONS OF STOCK AWARDS OTHER THAN OPTIONS
AND SARS. 
 (a) Restricted Stock Awards. Each Restricted Stock Award Agreement will be in such form
and will contain such terms and conditions as the Board will deem appropriate. To the extent consistent with the Company’s bylaws, at the Board’s election, shares of Common Stock may be (x) held in book entry form subject to the
Company’s instructions until any restrictions relating to the Restricted Stock Award lapse; or (y) evidenced by a certificate, which certificate will be held in such form and manner as determined by the Board. The terms and conditions of
Restricted Stock Award Agreements may change from time to time, and the terms and conditions of separate Restricted Stock Award Agreements need not be identical. Each Restricted Stock Award Agreement will conform to (through incorporation of the
provisions hereof by reference in the agreement or otherwise) the substance of each of the following provisions: 
 (i)
Consideration. A Restricted Stock Award may be awarded in consideration for (A) cash, check, bank draft or money order payable to the Company, (B) past services to the Company or an Affiliate, or (C) any other form of legal
consideration (including future services) that may be acceptable to the Board, in its sole discretion, and permissible under applicable law. 

(ii) Vesting. Shares of Common Stock awarded under the Restricted Stock Award Agreement may be subject to forfeiture to the Company in
accordance with a vesting schedule to be determined by the Board. 
 (iii) Termination of Participant’s Continuous Service. If a
Participant’s Continuous Service terminates, the Company may receive through a forfeiture condition or a repurchase right any or all of the shares of Common Stock held by the Participant that have not vested as of the date of termination of
Continuous Service under the terms of the Restricted Stock Award Agreement. 
 (iv) Transferability. Rights to acquire shares of
Common Stock under the Restricted Stock Award Agreement will be transferable by the Participant only upon such terms and conditions as are set forth in the Restricted Stock Award Agreement, as the Board will determine in its sole discretion, so long
as Common Stock awarded under the Restricted Stock Award Agreement remains subject to the terms of the Restricted Stock Award Agreement. 

(v) Dividends. A Restricted Stock Award Agreement may provide that any dividends paid on Restricted Stock will be subject to the same
vesting and forfeiture restrictions as apply to the shares subject to the Restricted Stock Award to which they relate. 
 (b) Restricted
Stock Unit Awards. Each Restricted Stock Unit Award Agreement will be in such form and will contain such terms and conditions as the Board will deem appropriate. The terms and conditions of Restricted Stock Unit Award Agreements may change from
time to time, and the terms and conditions of separate Restricted Stock Unit Award Agreements need not be identical. Each Restricted Stock Unit Award Agreement will conform to (through incorporation of the provisions hereof by reference in the
Agreement or otherwise) the substance of each of the following provisions: 
 (i) Consideration. At the time of grant of a Restricted
Stock Unit Award, the Board will determine the consideration, if any, to be paid by the Participant upon delivery of each share of Common Stock subject to the Restricted Stock Unit Award. The consideration to be paid (if any) by the Participant for
each share of Common Stock subject to a Restricted Stock Unit Award may be paid in any form of legal consideration that may be acceptable to the Board, in its sole discretion, and permissible under applicable law. 

(ii) Vesting. At the time of the grant of a Restricted Stock Unit Award, the Board may impose such restrictions on or conditions to the
vesting of the Restricted Stock Unit Award as it, in its sole discretion, deems appropriate. 
 (iii) Payment. A Restricted
Stock Unit Award may be settled by the delivery of shares of Common Stock, their cash equivalent, any combination thereof or in any other form of consideration, as determined by the Board and contained in the Restricted Stock Unit Award Agreement.

  
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 (iv) Additional Restrictions. At the time of the grant of a Restricted Stock Unit Award,
the Board, as it deems appropriate, may impose such restrictions or conditions that delay the delivery of the shares of Common Stock (or their cash equivalent) subject to a Restricted Stock Unit Award to a time after the vesting of such Restricted
Stock Unit Award. 
 (v) Dividend Equivalents. Dividend equivalents may be credited in respect of shares of Common Stock covered by a
Restricted Stock Unit Award, as determined by the Board and contained in the Restricted Stock Unit Award Agreement. At the sole discretion of the Board, such dividend equivalents may be converted into additional shares of Common Stock covered by the
Restricted Stock Unit Award in such manner as determined by the Board. Any additional shares covered by the Restricted Stock Unit Award credited by reason of such dividend equivalents will be subject to all of the same terms and conditions of the
underlying Restricted Stock Unit Award Agreement to which they relate. 
 (vi) Termination of Participant’s Continuous Service.
Except as otherwise provided in the applicable Restricted Stock Unit Award Agreement, such portion of the Restricted Stock Unit Award that has not vested will be forfeited upon the Participant’s termination of Continuous Service. 

(c) Performance Awards.  

(i) Performance Stock Awards. A Performance Stock Award is a Stock Award (covering a number of shares not in excess of that set
forth in Section 3(d) above) that is payable (including that may be granted, vested or exercised) contingent upon the attainment during a Performance Period of certain Performance Goals. A Performance Stock Award may, but need not, require the
completion of a specified period of Continuous Service. The length of any Performance Period, the Performance Goals to be achieved during the Performance Period, and the measure of whether and to what degree such Performance Goals have been attained
will be conclusively determined by the Committee (or, if not required for compliance with Section 162(m) of the Code, the Board), in its sole discretion. In addition, to the extent permitted by applicable law and the applicable Award Agreement,
the Board may determine that cash may be used in payment of Performance Stock Awards. 
 (ii) Performance Cash Awards. A
Performance Cash Award is a cash award (for a dollar value not in excess of that set forth in Section 3(d) above) that is payable contingent upon the attainment during a Performance Period of certain Performance Goals. A Performance Cash Award
may also require the completion of a specified period of Continuous Service. At the time of grant of a Performance Cash Award, the length of any Performance Period, the Performance Goals to be achieved during the Performance Period, and the measure
of whether and to what degree such Performance Goals have been attained will be conclusively determined by the Committee (or, if not required for compliance with Section 162(m) of the Code, the Board), in its sole discretion. The Board may
specify the form of payment of Performance Cash Awards, which may be cash or other property, or may provide for a Participant to have the option for his or her Performance Cash Award, or such portion thereof as the Board may specify, to be paid in
whole or in part in cash or other property. 
 (iii) Section 162(m) Compliance. Unless otherwise permitted in compliance
with the requirements of Section 162(m) of the Code with respect to an Award intended to qualify as “performance-based compensation” thereunder, the Committee will establish the Performance Goals applicable to, and the formula for
calculating the amount payable under, the Award no later than the earlier of (a) the date 90 days after the commencement of the applicable Performance Period, and (b) the date on which 25% of the Performance Period has elapsed, and in any
event at a time when the achievement of the applicable Performance Goals remains substantially uncertain. Prior to the payment of any compensation under an Award intended to qualify as “performance-based compensation” under
Section 162(m) of the Code, the Committee will certify the extent to which any Performance Goals and any other material terms under such Award have been satisfied (other than in cases where such relate solely to the increase in the value of the
Common Stock). Notwithstanding satisfaction of any completion of any Performance Goals, the number of shares of Common Stock, Options, cash or other benefits granted, issued, retainable and/or vested under an Award on account of satisfaction of such
Performance Goals may be reduced by the Committee on the basis of such further considerations as the Committee, in its sole discretion, will determine. 

(d) Other Stock Awards. Other forms of Stock Awards valued in whole or in part by reference to, or otherwise based on, Common
Stock, including the appreciation in value thereof (e.g., options or stock rights with an exercise price or strike price less than 100% of the Fair Market Value of the Common Stock at the time of grant) may be granted either alone or in addition to
Stock Awards provided for under Section 5 and the preceding provisions of this Section 6. Subject to the provisions of the Plan, the Board will have sole and complete authority to 

  
 8 

 
determine the persons to whom and the time or times at which such Other Stock Awards will be granted, the number of shares of Common Stock (or the cash equivalent thereof) to be granted pursuant
to such Other Stock Awards and all other terms and conditions of such Other Stock Awards. 
 7. COVENANTS OF
THE COMPANY. 
 (a) Availability of Shares. The Company will keep available at all times the number
of shares of Common Stock reasonably required to satisfy then-outstanding Awards. 
 (b) Securities Law Compliance. The Company will
seek to obtain from each regulatory commission or agency having jurisdiction over the Plan such authority as may be required to grant Stock Awards and to issue and sell shares of Common Stock upon exercise of the Stock Awards; provided,
however, that this undertaking will not require the Company to register under the Securities Act the Plan, any Stock Award or any Common Stock issued or issuable pursuant to any such Stock Award. If, after reasonable efforts and at a reasonable
cost, the Company is unable to obtain from any such regulatory commission or agency the authority that counsel for the Company deems necessary for the lawful issuance and sale of Common Stock under the Plan, the Company will be relieved from any
liability for failure to issue and sell Common Stock upon exercise of such Stock Awards unless and until such authority is obtained. A Participant will not be eligible for the grant of an Award or the subsequent issuance of cash or Common Stock
pursuant to the Award if such grant or issuance would be in violation of any applicable securities law. 
 (c) No Obligation to Notify or
Minimize Taxes. The Company will have no duty or obligation to any Participant to advise such holder as to the time or manner of exercising such Stock Award. Furthermore, the Company will have no duty or obligation to warn or otherwise advise
such holder of a pending termination or expiration of an Award or a possible period in which the Award may not be exercised. The Company has no duty or obligation to minimize the tax consequences of an Award to the holder of such Award. 

8. MISCELLANEOUS. 
 (a)
Use of Proceeds from Sales of Common Stock. Proceeds from the sale of shares of Common Stock pursuant to Awards will constitute general funds of the Company. 

(b) Corporate Action Constituting Grant of Stock Awards. Corporate action constituting a grant by the Company of an Award to any
Participant will be deemed completed as of the date of such corporate action, unless otherwise determined by the Board, regardless of when the instrument, certificate, or letter evidencing the Award is communicated to, or actually received or
accepted by, the Participant. In the event that the corporate records (e.g., Board consents, resolutions or minutes) documenting the corporate action constituting the grant contain terms (e.g., exercise price, vesting schedule or number of shares)
that are inconsistent with those in the Award Agreement as a result of a clerical error in the papering of the Award Agreement, the corporate records will control and the Participant will have no legally binding right to the incorrect term in the
Award Agreement. 
 (c) Stockholder Rights. No Participant will be deemed to be the holder of, or to have any of the rights of a
holder with respect to, any shares of Common Stock subject to an Award unless and until (i) such Participant has satisfied all requirements for exercise of, or the issuance of shares under, the Award pursuant to its terms, and (ii) the
issuance of the Common Stock subject to such Award has been entered into the books and records of the Company. 
 (d) No Employment or
Other Service Rights. Nothing in the Plan, any Award Agreement or any other instrument executed thereunder or in connection with any Award granted pursuant thereto will confer upon any Participant any right to continue to serve the Company or an
Affiliate in the capacity in effect at the time the Award was granted or will affect the right of the Company or an Affiliate to terminate (i) the employment of an Employee with or without notice and with or without cause, (ii) the service
of a Consultant pursuant to the terms of such Consultant’s agreement with the Company or an Affiliate, or (iii) the service of a Director pursuant to the bylaws of the Company or an Affiliate, and any applicable provisions of the corporate
law of the state in which the Company or the Affiliate is incorporated, as the case may be. 
 (e) Change in Time Commitment. In the
event a Participant’s regular level of time commitment in the performance of his or her services for the Company and any Affiliates is reduced (for example, and without limitation, if the Participant is an Employee of the Company and the
Employee has a change in status from a full-time Employee to a part-time Employee) after the date of grant of any Award to the Participant, the Board has the right in its sole discretion to (x) make a corresponding reduction in the number of
shares or cash amount subject to 

  
 9 

 
any portion of such Award that is scheduled to vest or become payable after the date of such change in time commitment, and (y) in lieu of or in combination with such a reduction, extend the
vesting or payment schedule applicable to such Award. In the event of any such reduction, the Participant will have no right with respect to any portion of the Award that is so reduced. 

(f) Incentive Stock Option Limitations. To the extent that the aggregate Fair Market Value (determined at the time of grant) of Common
Stock with respect to which Incentive Stock Options are exercisable for the first time by any Optionholder during any calendar year (under all plans of the Company and any Affiliates) exceeds $100,000 (or such other limit established in the Code) or
otherwise does not comply with the rules governing Incentive Stock Options, the Options or portions thereof that exceed such limit (according to the order in which they were granted) or otherwise do not comply with the rules will be treated as
Nonstatutory Stock Options, notwithstanding any contrary provision of the applicable Option Agreement(s). 
 (g) Investment
Assurances. The Company may require a Participant, as a condition of exercising or acquiring Common Stock under any Award, (i) to give written assurances satisfactory to the Company as to the Participant’s knowledge and experience in
financial and business matters and/or to employ a purchaser representative reasonably satisfactory to the Company who is knowledgeable and experienced in financial and business matters and that he or she is capable of evaluating, alone or together
with the purchaser representative, the merits and risks of exercising the Award; and (ii) to give written assurances satisfactory to the Company stating that the Participant is acquiring Common Stock subject to the Award for the
Participant’s own account and not with any present intention of selling or otherwise distributing the Common Stock. The foregoing requirements, and any assurances given pursuant to such requirements, will be inoperative if (A) the issuance
of the shares upon the exercise or acquisition of Common Stock under the Award has been registered under a then currently effective registration statement under the Securities Act, or (B) as to any particular requirement, a determination is
made by counsel for the Company that such requirement need not be met in the circumstances under the then applicable securities laws. The Company may, upon advice of counsel to the Company, place legends on stock certificates issued under the Plan
as such counsel deems necessary or appropriate in order to comply with applicable securities laws, including, but not limited to, legends restricting the transfer of the Common Stock. 

(h) Withholding Obligations. Unless prohibited by the terms of an Award Agreement, the Company may, in its sole discretion, satisfy any
federal, state or local tax withholding obligation relating to an Award by any of the following means or by a combination of such means: (i) causing the Participant to tender a cash payment; (ii) withholding shares of Common Stock from the
shares of Common Stock issued or otherwise issuable to the Participant in connection with the Award; provided, however, that no shares of Common Stock are withheld with a value exceeding the minimum amount of tax required to be withheld by
law (or such lesser amount as may be necessary to avoid classification of the Stock Award as a liability for financial accounting purposes); (iii) withholding cash from an Award settled in cash; (iv) withholding payment from any amounts
otherwise payable to the Participant; or (v) by such other method as may be set forth in the Award Agreement. 
 (i) Electronic
Delivery. Any reference herein to a “written” agreement or document will include any agreement or document delivered electronically, filed publicly at www.sec.gov (or any successor website thereto) or posted on the
Company’s intranet. 
 (j) Deferrals. To the extent permitted by applicable law, the Board, in its sole discretion, may
determine that the delivery of Common Stock or the payment of cash, upon the exercise, vesting or settlement of all or a portion of any Award may be deferred and may establish programs and procedures for deferral elections to be made by
Participants. Deferrals by Participants will be made in accordance with Section 409A of the Code. Consistent with Section 409A of the Code, the Board may provide for distributions while a Participant is still an employee or otherwise
providing services to the Company. The Board is authorized to make deferrals of Awards and determine when, and in what annual percentages, Participants may receive payments, including lump sum payments, following the Participant’s termination
of Continuous Service, and implement such other terms and conditions consistent with the provisions of the Plan and in accordance with applicable law. 

(k) Compliance with Section 409A. Unless otherwise expressly provided for in an Award Agreement, the Plan and Award Agreements
will be interpreted to the greatest extent possible in a manner that makes the Plan and the Awards granted hereunder exempt from Section 409A of the Code, and, to the extent not so exempt, in compliance with Section 409A of the Code. If
the Board determines that any Award granted hereunder is not exempt from and is therefore subject to Section 409A of the Code, the Award Agreement evidencing such Award will incorporate the terms and conditions necessary to avoid the
consequences specified in Section 409A(a)(1) of the 

  
 10 

 
Code, and to the extent an Award Agreement is silent on terms necessary for compliance, such terms are hereby incorporated by reference into the Award Agreement. Notwithstanding anything to the
contrary in this Plan (and unless the Award Agreement specifically provides otherwise), if the shares of Common Stock are publicly traded, and if a Participant holding an Award that constitutes “deferred compensation” under
Section 409A of the Code is a “specified employee” for purposes of Section 409A of the Code, no distribution or payment of any amount that is due because of a “separation from service” (as defined in Section 409A
of the Code without regard to alternative definitions thereunder) will be issued or paid before the date that is six (6) months following the date of such Participant’s “separation from service” or, if earlier, the date of the
Participant’s death, unless such distribution or payment can be made in a manner that complies with Section 409A of the Code, and any amounts so deferred will be paid in a lump sum on the day after such six (6) month period elapses,
with the balance paid thereafter on the original schedule. 
 (l) Clawback/Recovery. All Awards granted under the Plan will be
subject to recoupment in accordance with any clawback policy that the Company is required to adopt pursuant to the listing standards of any national securities exchange or association on which the Company’s securities are listed or as is
otherwise required by the Dodd-Frank Wall Street Reform and Consumer Protection Act or other applicable law. In addition, the Board may impose such other clawback, recovery or recoupment provisions in an Award Agreement as the Board determines
necessary or appropriate, including but not limited to a reacquisition right in respect of previously acquired shares of Common Stock or other cash or property upon the occurrence of Cause. 

9. ADJUSTMENTS UPON CHANGES IN COMMON STOCK; OTHER
CORPORATE EVENTS. 
 (a) Capitalization Adjustments. In the event of a Capitalization
Adjustment, the Board will appropriately and proportionately adjust: (i) the class(es) and maximum number of securities subject to the Plan pursuant to Section 3(a), (ii) the class(es) and maximum number of securities that may be
issued pursuant to the exercise of Incentive Stock Options pursuant to Section 3(c), (iii) the class(es) and maximum number of securities that may be awarded to any person pursuant to Sections 3(d), and (iv) the class(es) and number
of securities and price per share of stock subject to outstanding Stock Awards. The Board will make such adjustments, and its determination will be final, binding and conclusive. 

(b) Dissolution or Liquidation. Except as otherwise provided in the Stock Award Agreement, in the event of a dissolution or
liquidation of the Company, all outstanding Stock Awards (other than Stock Awards consisting of vested and outstanding shares of Common Stock not subject to a forfeiture condition or the Company’s right of repurchase) will terminate immediately
prior to the completion of such dissolution or liquidation, and the shares of Common Stock subject to the Company’s repurchase rights or subject to a forfeiture condition may be repurchased or reacquired by the Company notwithstanding the fact
that the holder of such Stock Award is providing Continuous Service; provided, however, that the Board may, in its sole discretion, cause some or all Stock Awards to become fully vested, exercisable and/or no longer subject to repurchase or
forfeiture (to the extent such Stock Awards have not previously expired or terminated) before the dissolution or liquidation is completed but contingent on its completion. 

(c) Corporate Transaction. The following provisions will apply to Stock Awards in the event of a Corporate Transaction unless otherwise
provided in the instrument evidencing the Stock Award or any other written agreement between the Company or any Affiliate and the Participant or unless otherwise expressly provided by the Board at the time of grant of a Stock Award. In the event of
a Corporate Transaction, then, notwithstanding any other provision of the Plan, the Board will take one or more of the following actions with respect to Stock Awards, contingent upon the closing or completion of the Corporate Transaction: 

(i) arrange for the surviving corporation or acquiring corporation (or the surviving or acquiring corporation’s parent company) to
assume or continue the Stock Award or to substitute a similar stock award for the Stock Award (including, but not limited to, an award to acquire the same consideration paid to the stockholders of the Company pursuant to the Corporate Transaction);

 (ii) arrange for the assignment of any reacquisition or repurchase rights held by the Company in respect of Common Stock issued
pursuant to the Stock Award to the surviving corporation or acquiring corporation (or the surviving or acquiring corporation’s parent company); 

(iii) accelerate the vesting, in whole or in part, of the Stock Award (and, if applicable, the time at which the Stock Award may be
exercised) to a date prior to the effective time of such Corporate Transaction as the Board will determine (or, if the Board will not determine such a date, to the date that is five (5) days prior to the effective date of the Corporate Transaction),
with such Stock Award terminating if not exercised (if applicable) at or prior to the effective time of the Corporate Transaction; 

  
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 (iv) arrange for the lapse, in whole or in part, of any reacquisition or repurchase rights
held by the Company with respect to the Stock Award; 
 (v) cancel or arrange for the cancellation of the Stock Award, to the extent
not vested or not exercised prior to the effective time of the Corporate Transaction, in exchange for such cash consideration, if any, as the Board, in its sole discretion, may consider appropriate; and 

(vi) make a payment, in such form as may be determined by the Board equal to the excess, if any, of (A) the value of the property
the Participant would have received upon the exercise of the Stock Award immediately prior to the effective time of the Corporate Transaction, over (B) any exercise price payable by such holder in connection with such exercise. 

The Board need not take the same action or actions with respect to all Stock Awards or portions thereof or with respect to all Participants.

 (d) Change in Control. A Stock Award may be subject to additional acceleration of vesting and exercisability upon or after a
Change in Control as may be provided in the Stock Award Agreement for such Stock Award or as may be provided in any other written agreement between the Company or any Affiliate and the Participant, but in the absence of such provision, no such
acceleration will occur. 
 10. PLAN TERM; EARLIER TERMINATION OR
SUSPENSION OF THE PLAN. 
 The Board may suspend or terminate the Plan at any
time. No Incentive Stock Options may be granted after the tenth anniversary of the earlier of (i) the date the Plan is adopted by the Board (the “Adoption Date”), or (ii) the date the Plan is approved by the
stockholders of the Company. No Awards may be granted under the Plan while the Plan is suspended or after it is terminated. 
 11.
EXISTENCE OF THE PLAN; TIMING OF FIRST GRANT OR EXERCISE. 

The Plan will come into existence on the Adoption Date; provided, however, no Award may be granted prior to the IPO Date (that is, the
Effective Date). In addition, no Stock Award will be exercised (or, in the case of a Restricted Stock Award, Restricted Stock Unit Award, Performance Stock Award, or Other Stock Award, will be granted) and no Performance Cash Award will be settled
unless and until the Plan has been approved by the stockholders of the Company, which approval will be within twelve (12) months after the date the Plan is adopted by the Board. 

12. CHOICE OF LAW. 

The law of the State of Delaware will govern all questions concerning the construction, validity and interpretation of this Plan, without
regard to that state’s conflict of laws rules. 
 13. DEFINITIONS. As used in the Plan, the following definitions will apply to
the capitalized terms indicated below: 
 (a) “Affiliate” means, at the time of determination, any
“parent” or “subsidiary” of the Company as such terms are defined in Rule 405 of the Securities Act. The Board will have the authority to determine the time or times at which “parent” or “subsidiary” status is
determined within the foregoing definition. 
 (b) “Award” means a Stock Award or a Performance Cash Award.

 (c) “Award Agreement” means a written agreement between the Company and a Participant evidencing the terms
and conditions of an Award. 
 (d) “Board” means the Board of Directors of the Company. 

(e) “Capitalization Adjustment” means any change that is made in, or other events that occur with respect to,
the Common Stock subject to the Plan or subject to any Stock Award after the Adoption Date without the receipt of consideration by the Company through merger, consolidation, reorganization, recapitalization, reincorporation, stock dividend, dividend
in property other than cash, stock split, liquidating dividend, combination of shares, exchange of shares, change in corporate structure or any similar equity restructuring transaction, as that term is used in Financial Accounting Standards Board
Accounting Standards Codification Topic 718 (or any successor thereto). Notwithstanding the foregoing, the conversion of any convertible securities of the Company will not be treated as a Capitalization Adjustment. 

  
 12 

 (f) “Cause” means the occurrence of any one or more of the
following: (i) the Participant’s commission of any crime involving fraud, dishonesty or moral turpitude; (ii) the Participant’s attempted commission of or participation in a fraud or act of dishonesty against the Company that
results in (or might have reasonably resulted in) material harm to the business of the Company; (iii) the Participant’s intentional, material violation of any contract or agreement between the Participant and the Company or any statutory
duty that the Participant owes to the Company; or (iv) the Participant’s conduct that constitutes gross insubordination, incompetence or habitual neglect of duties and that results in (or might have reasonably resulted in) material harm to
the business of the Company; provided, however, that the action or conduct described in clauses (iii) and (iv) above will constitute “Cause” only if such action or conduct continues after the Company has
provided the Participant with written notice thereof and thirty (30) days to cure the same. 
 (g) “Change in
Control” means the occurrence, in a single transaction or in a series of related transactions, of any one or more of the following events: 

(i) any Exchange Act Person becomes the Owner, directly or indirectly, of securities of the Company representing more than 50% of the
combined voting power of the Company’s then outstanding securities other than by virtue of a merger, consolidation or similar transaction. Notwithstanding the foregoing, a Change in Control will not be deemed to occur (A) on account of the
acquisition of securities of the Company directly from the Company; (B) on account of the acquisition of securities of the Company by an investor, any affiliate thereof or any other Exchange Act Person that acquires the Company’s
securities in a transaction or series of related transactions the primary purpose of which is to obtain financing for the Company through the issuance of equity securities; or (C) solely because the level of Ownership held by any Exchange Act
Person (the “Subject Person”) exceeds the designated percentage threshold of the outstanding voting securities as a result of a repurchase or other acquisition of voting securities by the Company reducing the number of shares
outstanding, provided that if a Change in Control would occur (but for the operation of this sentence) as a result of the acquisition of voting securities by the Company, and after such share acquisition, the Subject Person becomes the Owner of any
additional voting securities that, assuming the repurchase or other acquisition had not occurred, increases the percentage of the then outstanding voting securities Owned by the Subject Person over the designated percentage threshold, then a Change
in Control will be deemed to occur; 
 (ii) there is consummated a merger, consolidation or similar transaction involving (directly
or indirectly) the Company and, immediately after the consummation of such merger, consolidation or similar transaction, the stockholders of the Company immediately prior thereto do not Own, directly or indirectly, either (A) outstanding voting
securities representing more than 50% of the combined outstanding voting power of the surviving Entity in such merger, consolidation or similar transaction or (B) more than 50% of the combined outstanding voting power of the parent of the
surviving Entity in such merger, consolidation or similar transaction, in each case in substantially the same proportions as their Ownership of the outstanding voting securities of the Company immediately prior to such transaction; 

(iii) there is consummated a sale, lease, exclusive license or other disposition of all or substantially all of the consolidated assets
of the Company and its Subsidiaries, other than a sale, lease, license or other disposition of all or substantially all of the consolidated assets of the Company and its Subsidiaries to an Entity, more than fifty percent (50%) of the combined
voting power of the voting securities of which are Owned by stockholders of the Company in substantially the same proportions as their Ownership of the outstanding voting securities of the Company immediately prior to such sale, lease, license or
other disposition; or 
 (iv) individuals who, on the date the Plan is adopted by the Board, are members of the Board (the
“Incumbent Board”) cease for any reason to constitute at least a majority of the members of the Board; provided, however, that if the appointment or election (or nomination for election) of any new Board member was
approved or recommended by a majority vote of the members of the Incumbent Board then still in office, such new member will, for purposes of this Plan, be considered as a member of the Incumbent Board. 

For purposes of determining voting power under the term Change in Control, voting power shall be calculated by assuming the conversion of all
equity securities convertible (immediately or at some future time) into shares entitled to vote, but not assuming the exercise of any warrant or right to subscribe to or purchase those shares. In addition, (A) the term Change in Control will
not include a sale of assets, merger or other transaction effected 

  
 13 

 
exclusively for the purpose of changing the domicile of the Company, (B) the term Change in Control will not include a change in the voting power of any one or more stockholders as a result
of the conversion of any class of the Company’s securities into another class of the Company’s securities having a different number of votes per share pursuant to the conversion provisions set forth in the Company’s certificate of
incorporation, and (C) the definition of Change in Control (or any analogous term) in an individual written agreement between the Company or any Affiliate and the Participant will supersede the foregoing definition with respect to Awards
subject to such agreement; provided, however, that if no definition of Change in Control or any analogous term is set forth in such an individual written agreement, the foregoing definition will apply. If required for compliance with
Section 409A of the Code, in no event will a Change in Control be deemed to have occurred if such transaction is not also a “change in the ownership or effective control of” the Company or “a change in the ownership of a
substantial portion of the assets of” the Company as determined under Treasury Regulation Section 1.409A-3(i)(5) (without regard to any alternative definition thereunder). The Board may, in its sole discretion and without a
Participant’s consent, amend the definition of “Change in Control” to conform to the definition of “Change in Control” under Section 409A of the Code, and the regulations thereunder. 

(h) “Code” means the Internal Revenue Code of 1986, as amended, including any applicable regulations and
guidance thereunder. 
 (i) “Committee” means a committee of one or more Directors to whom authority has been
delegated by the Board in accordance with Section 2(c). 
 (j) “Common Stock” means, as of the IPO Date,
the common stock of the Company, having one vote per share. 
 (k) “Company” means ContraFect Corporation, a
Delaware corporation. 
 (l) “Consultant” means any person, including an advisor, who is (i) engaged by
the Company or an Affiliate to render consulting or advisory services and is compensated for such services, or (ii) serving as a member of the board of directors of an Affiliate and is compensated for such services. However, service solely as a
Director, or payment of a fee for such service, will not cause a Director to be considered a “Consultant” for purposes of the Plan. Notwithstanding the foregoing, a person is treated as a Consultant under this Plan only if a Form S-8
Registration Statement under the Securities Act is available to register either the offer or the sale of the Company’s securities to such person. 

(m) “Continuous Service” means that the Participant’s service with the Company or an Affiliate, whether as
an Employee, Director or Consultant, is not interrupted or terminated. A change in the capacity in which the Participant renders service to the Company or an Affiliate as an Employee, Consultant or Director or a change in the entity for which the
Participant renders such service, provided that there is no interruption or termination of the Participant’s service with the Company or an Affiliate, will not terminate a Participant’s Continuous Service ; provided, however, that
if the Entity for which a Participant is rendering services ceases to qualify as an Affiliate, as determined by the Board, in its sole discretion, such Participant’s Continuous Service will be considered to have terminated on the date such
Entity ceases to qualify as an Affiliate. To the extent permitted by law, the Board or the chief executive officer of the Company, in that party’s sole discretion, may determine whether Continuous Service will be considered interrupted in the
case of (i) any leave of absence approved by the Board or chief executive officer, including sick leave, military leave or any other personal leave, or (ii) transfers between the Company, an Affiliate, or their successors. Notwithstanding
the foregoing, a leave of absence will be treated as Continuous Service for purposes of vesting in an Award only to such extent as may be provided in the Company’s leave of absence policy, in the written terms of any leave of absence agreement
or policy applicable to the Participant, or as otherwise required by law. In addition, to the extent required for exemption from or compliance with Section 409A of the Code, the determination of whether there has been a termination of
Continuous Service will be made, and such term will be construed, in a manner that is consistent with the definition of “separation from service” as defined under Treasury Regulation Section 1.409A-1(h) (without regard to any
alternative definition thereunder). 
 (n) “Corporate Transaction” means the occurrence, in a single
transaction or in a series of related transactions, of any one or more of the following events: 
 (i) the consummation of a sale or
other disposition of all or substantially all, as determined by the Board, in its sole discretion, of the consolidated assets of the Company and its Subsidiaries; 

  
 14 

 (ii) the consummation of a sale or other disposition of at least 50% of the outstanding
securities of the Company; 
 (iii) the consummation of a merger, consolidation or similar transaction following which the Company is
not the surviving corporation; or 
 (iv) the consummation of a merger, consolidation or similar transaction following which the
Company is the surviving corporation but the shares of Common Stock outstanding immediately preceding the merger, consolidation or similar transaction are converted or exchanged by virtue of the merger, consolidation or similar transaction into
other property, whether in the form of securities, cash or otherwise. 
 To the extent required for compliance with Section 409A of the
Code, in no event will an event be deemed a Corporate Transaction if such transaction is not also a “change in the ownership or effective control of” the Company or “a change in the ownership of a substantial portion of the assets
of” the Company as determined under Treasury Regulation Section 1.409A-3(i)(5) (without regard to any alternative definition thereunder). 

(o) “Covered Employee” will have the meaning provided in Section 162(m)(3) of the Code. 

(p) “Director” means a member of the Board, including a Non-Employee Director. 

(q) “Disability” means, with respect to a Participant, the inability of such Participant to engage in any
substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or that has lasted or can be expected to last for a continuous period of not less than 12 months, as provided
in Sections 22(e)(3) and 409A(a)(2)(c)(i) of the Code, and will be determined by the Board on the basis of such medical evidence as the Board deems warranted under the circumstances. 

(r) “Effective Date” means the IPO Date. 

(s) “Employee” means any person employed by the Company or an Affiliate. However, service solely as a Director,
or payment of a fee for such services, will not cause a Director to be considered an “Employee” for purposes of the Plan. 

(t) “Entity” means a corporation, partnership, limited liability company or other entity. 

(u) “Exchange Act” means the Securities Exchange Act of 1934, as amended, and the rules and regulations
promulgated thereunder. 
 (v) “Exchange Act Person” means any natural person, Entity or “group”
(within the meaning of Section 13(d) or 14(d) of the Exchange Act), except that “Exchange Act Person” will not include (i) the Company or any Subsidiary of the Company, (ii) any employee benefit plan of the Company or any
Subsidiary of the Company or any trustee or other fiduciary holding securities under an employee benefit plan of the Company or any Subsidiary of the Company, (iii) an underwriter temporarily holding securities pursuant to a registered public
offering of such securities, (iv) an Entity Owned, directly or indirectly, by the stockholders of the Company in substantially the same proportions as their Ownership of stock of the Company; or (v) any natural person, Entity or
“group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act) that, as of the Effective Date, is the Owner, directly or indirectly, of securities of the Company representing more than 50% of the combined voting power of
the Company’s then outstanding securities. 
 (w) “Fair Market Value” means, as of any date, the value
of the Common Stock determined as follows: 
 (i) If the Common Stock is listed on any established stock exchange or traded on any
established market, the Fair Market Value of a share of Common Stock will be, unless otherwise determined by the Board, the closing sales price for such stock as quoted on such exchange or market (or the exchange or market with the
greatest volume of trading in the Common Stock) on the date of determination, as reported in a source the Board deems reliable. 

(ii) Unless otherwise provided by the Board, if there is no closing sales price for the Common Stock on the date of determination, then
the Fair Market Value will be the closing selling price on the last preceding date for which such quotation exists. 
 (iii) In the
absence of such markets for the Common Stock, the Fair Market Value will be determined by the Board in good faith and in a manner that complies with Sections 409A and 422 of the Code. 

  
 15 

 (x) “Incentive Stock Option” means an option granted pursuant to
Section 5 of the Plan that is intended to be, and qualifies as, an “incentive stock option” within the meaning of Section 422 of the Code. 

(y) “IPO Date” means the date of the underwriting agreement between the Company and the underwriter(s) managing
the initial public offering of the Common Stock, pursuant to which the Common Stock is priced for the initial public offering. 
 (z)
“Non-Employee Director” means a Director who either (i) is not a current employee or officer of the Company or an Affiliate, does not receive compensation, either directly or indirectly, from the Company or an
Affiliate for services rendered as a consultant or in any capacity other than as a Director (except for an amount as to which disclosure would not be required under Item 404(a) of Regulation S-K promulgated pursuant to the Securities Act
(“Regulation S-K”)), does not possess an interest in any other transaction for which disclosure would be required under Item 404(a) of Regulation S-K, and is not engaged in a business relationship for which disclosure
would be required pursuant to Item 404(b) of Regulation S-K; or (ii) is otherwise considered a “non-employee director” for purposes of Rule 16b-3. 

(aa) “Nonstatutory Stock Option” means any option granted pursuant to Section 5 of the Plan that does not
qualify as an Incentive Stock Option. 
 (bb) “Officer” means a person who is an officer of the Company
within the meaning of Section 16 of the Exchange Act. 
 (cc) “Option” means an Incentive Stock Option
or a Nonstatutory Stock Option to purchase shares of Common Stock granted pursuant to the Plan. 
 (dd) “Option
Agreement” means a written agreement between the Company and an Optionholder evidencing the terms and conditions of an Option grant. Each Option Agreement will be subject to the terms and conditions of the Plan. 

(ee) “Optionholder” means a person to whom an Option is granted pursuant to the Plan or, if applicable, such
other person who holds an outstanding Option. 
 (ff) “Other Stock Award” means an award based in whole or in
part by reference to the Common Stock which is granted pursuant to the terms and conditions of Section 6(d). 
 (gg)
“Other Stock Award Agreement” means a written agreement between the Company and a holder of an Other Stock Award evidencing the terms and conditions of an Other Stock Award grant. Each Other Stock Award Agreement will be
subject to the terms and conditions of the Plan. 
 (hh) “Outside Director” means a Director who either
(i) is not a current employee of the Company or an “affiliated corporation” (within the meaning of Treasury Regulations promulgated under Section 162(m) of the Code), is not a former employee of the Company or an “affiliated
corporation” who receives compensation for prior services (other than benefits under a tax-qualified retirement plan) during the taxable year, has not been an officer of the Company or an “affiliated corporation,” and does not receive
remuneration from the Company or an “affiliated corporation,” either directly or indirectly, in any capacity other than as a Director, or (ii) is otherwise considered an “outside director” for purposes of Section 162(m)
of the Code. 
 (ii) “Own,” “Owned,” “Owner,”
“Ownership” A person or Entity will be deemed to “Own,” to have “Owned,” to be the “Owner” of, or to have acquired “Ownership” of securities if such person or Entity, directly or
indirectly, through any contract, arrangement, understanding, relationship or otherwise, has or shares voting power, which includes the power to vote or to direct the voting, with respect to such securities. 

(jj) “Participant” means a person to whom an Award is granted pursuant to the Plan or, if applicable, such
other person who holds an outstanding Stock Award. 
 (kk) “Performance Cash Award” means an award of cash
granted pursuant to the terms and conditions of Section 6(c)(ii). 
 (ll) “Performance Criteria” means
the one or more criteria that the Board will select for purposes of establishing the Performance Goals for a Performance Period. The Performance Criteria that will be used to establish such Performance Goals may be based on any one of, or
combination of, the following as determined by the Board: (i) initiation or completion of phases of clinical trials and/or studies by specified dates; (ii) patient enrollment rates, (iii) budget management; (iv) regulatory body
approval with respect to products, studies and/or 

  
 16 

 
trials; (v) achievement of other specified regulatory milestones; (vi) completion of research projects resulting in clinical candidates; (vii) completion of patent applications or
patent issuances; (viii) achievement of specified research project or intellectual property milestones; (ix) implementation or completion of corporate projects or processes; (x) stock price or stock price performance;
(xi) earnings (including earnings per share and net earnings); (xii) other specified earnings-related measurements: (xiii) total stockholder return; (xiv) return on equity or average stockholder’s equity; (xv) return on
assets, investment, or capital employed; (xvi) margin (including gross margin); (xvii) operating income or other specified profit measurements; (xviii) operating cash flow or cash flow per share; (xix) sales or revenue targets;
(xx) increases in revenue or product revenue; (xxi) expenses and cost reduction goals; (xxii) improvement in or attainment of working capital levels; (xxiii) capital expenditures; (xxiv) economic value added (or an
equivalent metric); (xxv) market share; (xxvi) debt reduction or debt levels; (xxvii) employee retention; (xxviii) workforce diversity; and (xxix) to the extent that an Award is not intended to comply with
Section 162(m) of the Code, other measures of performance selected by the Board. 
 (mm) “Performance
Goals” means, for a Performance Period, the one or more goals established by the Board for the Performance Period based upon the Performance Criteria. Performance Goals may be based on a Company-wide basis, with respect to one or more
business units, divisions, Affiliates, or business segments, and in either absolute terms or relative to the performance of one or more comparable companies or the performance of one or more relevant indices. Unless specified otherwise by the Board
(i) in the Award Agreement at the time the Award is granted or (ii) in such other document setting forth the Performance Goals at the time the Performance Goals are established, the Board will appropriately make adjustments in the method
of calculating the attainment of Performance Goals for a Performance Period as follows: (1) to exclude restructuring and/or other nonrecurring charges; (2) to exclude exchange rate effects; (3) to exclude the effects of changes to
generally accepted accounting principles; (4) to exclude the effects of any statutory adjustments to corporate tax rates; (5) to exclude the effects of any “extraordinary items” as determined under generally accepted accounting
principles; (6) to exclude the dilutive effects of acquisitions or joint ventures; (7) to assume that any business divested by the Company achieved performance objectives at targeted levels during the balance of a Performance Period
following such divestiture; (8) to exclude the effect of any change in the outstanding shares of common stock of the Company by reason of any stock dividend or split, stock repurchase, reorganization, recapitalization, merger, consolidation,
spin-off, combination or exchange of shares or other similar corporate change, or any distributions to common stockholders other than regular cash dividends; (9) to exclude the effects of stock based compensation and the award of bonuses under
the Company’s bonus plans; (10) to exclude costs incurred in connection with potential acquisitions or divestitures that are required to be expensed under generally accepted accounting principles; (11) to exclude the goodwill and
intangible asset impairment charges that are required to be recorded under generally accepted accounting principles; (12) to exclude the effect of any other unusual, non-recurring gain or loss or other extraordinary item; (13) to exclude
the effects of the timing of acceptance for review and/or approval of submissions to the Food and Drug Administration or any other regulatory body and (14) to exclude the effects of entering into or achieving milestones involved in licensing
joint ventures. In addition, the Board retains the discretion to reduce or eliminate the compensation or economic benefit due upon attainment of Performance Goals and to define the manner of calculating the Performance Criteria it selects to use for
such Performance Period. Partial achievement of the specified criteria may result in the payment or vesting corresponding to the degree of achievement as specified in the Stock Award Agreement or the written terms of a Performance Cash Award. 

(nn) “Performance Period” means the period of time selected by the Board over which the attainment of one or
more Performance Goals will be measured for the purpose of determining a Participant’s right to and the payment of a Stock Award or a Performance Cash Award. Performance Periods may be of varying and overlapping duration, at the sole discretion
of the Board. 
 (oo) “Performance Stock Award” means a Stock Award granted under the terms and conditions of
Section 6(c)(i). 
 (pp) “Plan” means this ContraFect Corporation 2014 Omnibus Incentive Plan. 

(qq) “Restricted Stock Award” means an award of shares of Common Stock which is granted pursuant to the terms
and conditions of Section 6(a). 
 (rr) “Restricted Stock Award Agreement” means a written agreement
between the Company and a holder of a Restricted Stock Award evidencing the terms and conditions of a Restricted Stock Award grant. Each Restricted Stock Award Agreement will be subject to the terms and conditions of the Plan. 

  
 17 

 (ss) “Restricted Stock Unit Award” means a right to receive shares
of Common Stock which is granted pursuant to the terms and conditions of Section 6(b). 
 (tt) “Restricted Stock Unit
Award Agreement” means a written agreement between the Company and a holder of a Restricted Stock Unit Award evidencing the terms and conditions of a Restricted Stock Unit Award grant. Each Restricted Stock Unit Award Agreement will be
subject to the terms and conditions of the Plan. 
 (uu) “Rule 16b-3” means Rule 16b-3 promulgated under the
Exchange Act or any successor to Rule 16b-3, as in effect from time to time. 
 (vv) “Securities Act” means
the Securities Act of 1933, as amended. 
 (ww) “Stock Appreciation Right” or “SAR”
means a right to receive the appreciation on Common Stock that is granted pursuant to the terms and conditions of Section 5. 
 (xx)
“Stock Appreciation Right Agreement” means a written agreement between the Company and a holder of a Stock Appreciation Right evidencing the terms and conditions of a Stock Appreciation Right grant. Each Stock
Appreciation Right Agreement will be subject to the terms and conditions of the Plan. 
 (yy) “Stock Award”
means any right to receive Common Stock granted under the Plan, including an Incentive Stock Option, a Nonstatutory Stock Option, a Restricted Stock Award, a Restricted Stock Unit Award, a Stock Appreciation Right, a Performance Stock Award or any
Other Stock Award. 
 (zz) “Stock Award Agreement” means a written agreement between the Company and a
Participant evidencing the terms and conditions of a Stock Award grant. Each Stock Award Agreement will be subject to the terms and conditions of the Plan. 

(aaa) “Subsidiary” means, with respect to the Company, (i) any corporation of which more than 50% of the
outstanding capital stock having ordinary voting power to elect a majority of the board of directors of such corporation (irrespective of whether, at the time, stock of any other class or classes of such corporation will have or might have voting
power by reason of the happening of any contingency) is at the time, directly or indirectly, Owned by the Company, and (ii) any partnership, limited liability company or other entity in which the Company has a direct or indirect interest
(whether in the form of voting or participation in profits or capital contribution) of more than 50%. 
 (bbb) “Ten
Percent Stockholder” means a person who Owns (or is deemed to Own pursuant to Section 424(d) of the Code) stock possessing more than ten percent of the total combined voting power of all classes of stock of the Company or any
Affiliate. 

  
 18EX-10.15

 Exhibit 10.15 

Execution Copy 
 LICENSE
AGREEMENT 
 THIS LICENSE AGREEMENT (the “Agreement”) is made and
entered into effective as of January 29, 2014, (the “Effective Date”) by and between TRELLIS BIOSCIENCE LLC, a Delaware limited liability company having a place of business at 2-B Corporate
Drive, South San Francisco, CA 94080 (“Trellis”) and CONTRAFECT CORP., a Delaware corporation having its principal place of business at 28 Wells Avenue, 3rd Floor, Yonkers, NY 10701 (“ContraFect”). Trellis and ContraFect are sometimes referred to herein individually as a “Party” and collectively as the
“Parties”. 
 RECITALS 

Whereas, ContraFect is a biotechnology company engaged in the research, development, manufacture and commercialization of human
therapeutic products. 
 Whereas, Trellis is a drug discovery company that has technology and expertise relating to discovering,
isolating and generating therapeutic grade antibodies. 
 Whereas, ContraFect and Trellis desire to enter into an exclusive license
agreement in the Field (as defined below) for the development and, if successful, regulatory approval and commercialization of products containing such antibodies and/or derivatives thereof, all in accordance with the terms and conditions set forth
herein below. 
 Now Therefore, in consideration of the foregoing premises and the mutual promises, covenants and conditions
contained in this Agreement, the Parties agree as follows. 
 1. DEFINITIONS 

As used in this Agreement, the terms with initial letters capitalized, whether used in the singular or plural form, shall have the meanings
set forth in this Article 1 or, if not listed below, the meaning designated in places throughout this Agreement. 
 1.1
“Adverse Event” means any untoward medical occurrence in a patient or human clinical investigation subject administered any Trellis Antibody or Product, including occurrences which do not necessarily have a causal relationship with
any Trellis Antibody or Product. 
 1.2 “Affiliate” means, with respect to a particular Party, a person,
corporation, partnership, or other entity that controls, is controlled by or is under common control with such Party. For the purposes of this definition, the word “control” (including, with correlative meaning, the terms “controlled
by” or “under the common control with”) means the actual power, either directly or indirectly through one or more intermediaries, to direct or cause the direction of the management and policies of such entity, whether by the ownership
of more than fifty percent (50%) of the voting stock of such entity, or by contract or otherwise. 
 1.3
“Antibody” means any antibody or protein comprising at least one CDR portion thereof (including multi-specific antibodies, single chain antibodies, antibody fragments, domain antibodies and conjugated antibodies) and/or similar
binding protein (such as an adnectin), whether human, humanized, chimeric, murine, synthetic or from any other source. 

 1.4 “Applicable Law” means any applicable 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. 

1.5 “Background Trellis Patents” means those Trellis Patents that are not Product Specific patents. 

1.6 “BLA” means a Biologics License Application, for which Regulatory Approval by the FDA is required to market a
Product in the U.S. 
 1.7 “BLA Approval” shall be achieved upon receiving Regulatory Approval of a BLA by the FDA
for the applicable Product in the U.S. 
 1.8 “BLA Filing” means the acceptance by the FDA of the filing of a BLA
for the applicable Product in the U.S. 
 1.9 “Business Day” means a day that is not a Saturday, Sunday or a day on
which banking institutions in New York, New York are required by Applicable Law to remain closed. 
 1.10 “Calendar
Year” means the one (1) year period beginning on January 1 and ending on December 31. 
 1.11 “Change
of Control” means the occurrence of any of the following: (a) a Party enters into a merger, consolidation, stock sale or sale or transfer of all or substantially all of its assets to which this Agreement relates, or other similar
transaction or series of transactions with a Third Party; or (b) any transaction or series of related transactions in which any Third Party or group of Third Parties acquires beneficial ownership of securities of a Party representing more than
fifty percent (50%) of the combined voting power of the then outstanding securities of such Party; or (c) any transaction or series of related transactions in which any Third Party or group of Third Parties acquires all or substantially
all of a Party’s assets relating to this Agreement. Notwithstanding the foregoing, a stock sale by a Party to Third Parties (including any underwriters of a public offering of a Party’s capital stock) whether in a public or private
transaction solely for the purpose of financing or a transaction solely to change the domicile of a Party shall not constitute a Change of Control. 

1.12 “Claim” has the meaning set forth in Section 11.3. 

1.13 “Clinical Trial” means any human clinical trial of a Product. 

1.14 “Combination Product” means a Product that includes at least one additional active ingredient (whether
coformulated or copackaged) that is not a Trellis Antibody. Pharmaceutical dosage form vehicles, adjuvants, and excipients shall not be deemed to be “active ingredients”, except in the case where such vehicle, adjuvant, or excipient is
recognized by the FDA as an active ingredient in accordance with 21 CFR 210.3(b)(7). 

  
 - 2 - 

 1.15 “Commercialize” or “Commercialization” means the
marketing, promotion, sale (and offer for sale or contract to sell), distribution, importation or other commercial exploitation (including pricing and reimbursement activities) for a Product in the Field in the Territory. Commercialization shall
include commercial activities conducted in preparation for Product launch. 
 1.16 “Commercially Reasonable Efforts”
means the carrying out of obligations or tasks with a level of efforts and resources that are consistent with the efforts and resources normally used in an active and ongoing program by a biopharmaceutical company of similar size and resources to
such Party at a similar stage of development or commercialization and with similar market potential as such Product, taking into consideration the safety, efficacy, competitive marketplace and intellectual property position of the compound.
Commercially Reasonable Efforts requires that a Party, at a minimum, set annual reasonable goals and objectives for development and/or commercialization. 

1.17 “Completion” means, when used in connection with a Clinical Trial, the earlier of (a) the date on which
(i) all Information contemplated by the protocol from such Clinical Trial has been collected, (ii) the compilation, review, and analysis of such Information has been completed, and (iii) a report documenting such compilation, review,
and analysis has been prepared and finalized; or (b) ninety (90) days after the last patient visit of the last subject in such Clinical Trial that was required for inclusion in the statistical analysis. “Complete” has a
correlative meaning 
 1.18 “Confidential Information” means, with respect to a Party, and subject to Section 9.1,
all non-public Information of such Party that is disclosed to the other Party under this Agreement, which may include specifications, know-how, trade secrets, technical information, models, business information, inventions, discoveries, methods,
procedures, formulae, protocols, techniques, data, and unpublished patent applications, whether disclosed in oral, written, graphic, or electronic form. All Information disclosed by a Party pursuant to the Prior MTA shall be deemed to be the
Confidential Information of such Party pursuant to this Agreement (with the mutual understanding and agreement that any use or disclosure thereof that is authorized under Article 9 shall not be restricted by, or be deemed a violation of, such Prior
MTA). 
 1.19 “ContraFect Claims” has the meaning set forth in Section 11.1. 

1.20 “ContraFect Damages” has the meaning set forth in Section 11.1. 

1.21 “ContraFect Indemnitees” has the meaning set forth in Section 11.1. 

1.22 “ContraFect Patent” means any Patent that claims a Sole Invention owned by ContraFect. 

1.23 “Control” means, with respect to any material, Information, or intellectual property right, that a Party
(a) owns such material, Information, or intellectual property right, or (b) has a license or right to use to such material, Information, or intellectual property right, in each case (a) or (b) with the ability to grant to the
other Party access, a right to use, or a license, or a sublicense (as applicable) to such material, Information, or intellectual property right on the 

  
 - 3 - 

 
terms and conditions set forth herein, without violating the terms of any agreement or other arrangement with any Third Party in existence as of the time such Party or its Affiliates would first
be required hereunder to grant the other Party such access, right to use or (sub)license. 
 1.24 “Cover”,
“Covered” or “Covering” means, with respect to Product (and/or Trellis Antibody) and a Patent, that, in the absence of a (sub)license under, or ownership of, such Patent, the making, using, offering for sale,
selling or importing of such Product (and/or Trellis Antibody) would infringe a Valid Claim of such Patent. 
 1.25
“Develop” or “Development” means all activities that relate to obtaining, maintaining or expanding Regulatory Approval of a Product and to supporting appropriate usage for such Product in the Field. This includes:
(i) preclinical/nonclinical research and testing, toxicology, and Clinical Trials; and (ii) preparation, submission, review, and development of data or information and Regulatory Materials for the purpose of submission to a governmental
authority to obtain, maintain and/or expand Regulatory Approval of a Product (including contacts with Regulatory Authorities), and outside counsel regulatory legal services related thereto;  provided, however, that Development
shall exclude Commercialization and manufacturing activities (including manufacturing activities related to Development). For clarity, Development shall include Phase 4 Clinical Trials that are required or requested in writing by a Regulatory
Authority as a condition of, or in connection with, obtaining or maintaining Regulatory Approval (whether the trial is commenced prior to or after receipt of such Regulatory Approval). 

1.26 “Disclosing Party” has the meaning set forth in Section 9.1. 

1.27 “Dollar” or “$” means the lawful currency of the United States. 

1.28 “Effective Date” means the date specified in the initial paragraph of this Agreement. 

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

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

1.31 “FD&C Act” or “Act” means the United States Federal Food, Drug and Cosmetic Act, as amended.

 1.32 “Field” means all uses for the diagnosis, treatment or prevention of influenza. 

1.33 “First Commercial Sale” means, with respect to a Product and country, the first sale to a Third Party of such
Product in such country after Regulatory Approval has been obtained in such country. For clarity, compassionate use sales shall not be considered First Commercial Sale. 

1.34 “GAAP” means generally accepted accounting principles of the U.S. consistently applied. 

  
 - 4 - 

 1.35 “Governmental Authority” means any multi-national, federal, state,
local, municipal or other government authority of any nature (including any governmental division, subdivision, department, agency, bureau, branch, office, commission, council, court, tribunal or other entity). 

1.36 “IND” means (a) an Investigational New Drug Application as defined in the FD&C Act and applicable
regulations promulgated thereunder by the FDA, or (b) the equivalent application to the applicable Regulatory Authority in any other regulatory jurisdiction, the filing of which is necessary to initiate or conduct clinical testing of a
pharmaceutical product in humans in such jurisdiction. 
 1.37 “Indemnified Party” has the meaning set forth in
Section 11.3. 
 1.38 “Indemnifying Party” has the meaning set forth in Section 11.3. 

1.39 “Information” means any data, results, and information of any type whatsoever, in any tangible or intangible
form, including know-how, trade secrets, practices, techniques, methods, processes, inventions, developments, specifications, formulations, formulae, materials or compositions of matter of any type or kind (patentable or otherwise), software,
algorithms, marketing reports, expertise, stability, technology, test data including pharmacological, biological, chemical, biochemical, toxicological, and clinical test data, analytical and quality control data, stability data, studies and
procedures. 
 1.40 “Infringement” has the meaning set forth in Section 8.4(a). 

1.41 “Infringement Action” has the meaning set forth in Section 8.4(b). 

1.42 “Insolvency Event” has the meaning set forth in Section 12.4. 

1.43 “Joint Invention” has the meaning set forth in Section 8.1. 

1.44 “Joint Patent” means a Patent that claims a Joint Invention. 

1.45 “Liens” means any lien, pledge, encumbrance, mortgage, security interest, purchase option, call or similar right,
conditional and installment sale agreements, charges or claims of any kind. 
 1.46 “Net Sales” means the gross
amount invoiced in arms-length transactions by ContraFect, its Affiliates and their respective sublicensees from or on account of the sale of Products in the Territory to a Third Party, less the sum of the following to the extent actually incurred
and taken and reasonably allocable to the sale of Products: 
 (a) credits or allowances, if any are actually allowed, on account of
price adjustments, recalls, claims, damaged goods, rejections or returns of items previously sold (including Product returned in connection with recalls or withdrawals); 

(b) import taxes, export taxes, excise taxes, sales taxes, value-added taxes, consumption taxes, duties or other taxes levied on,
absorbed, determined and/or imposed with respect to such sales (excluding income or net profit taxes or franchise taxes of any kind), to the extent not reimbursed by a Third Party; 

  
 - 5 - 

 (c) insurance, customs charges, freight, shipping and other transportation costs incurred
in shipping Product to such Third Party, to the extent not reimbursed by a Third Party; and 
 (d) reasonable and customary credits
or allowances actually granted for damaged, outdated, spoiled, returned or rejected Licensed Products, including, without limitation, in connection with recalls. 

Notwithstanding the foregoing, amounts billed by ContraFect, its Affiliates, or their respective Sublicensees for the sale of Products among
ContraFect, its Affiliates or their respective Sublicensees for resale shall not be included in the computation of Net Sales hereunder unless such purchaser is an end-user of such Product. 

For purposes of determining Net Sales, the Products shall be deemed to be sold when invoiced and only if not invoiced, then shipped. Each of
the deductions set forth above shall be reasonable and customary, and in accordance with GAAP consistently applied throughout the selling organization 

Net Sales of any Combination Product for the purpose of calculating milestones or royalties due under this Agreement shall be determined on a
country-by-country basis for a given accounting period as follows: first, ContraFect, its Affiliates, and their respective Sublicensees shall determine the actual Net Sales of such Combination Product (using the above provisions), and then: such Net
Sales amount for the Combination Product shall be multiplied by the fraction A/(A+B), where A is the net selling price in such country of a Product containing only the applicable Trellis Antibodies, if sold separately for the same dosage as
contained in the Combination Product, and B is the net selling price in such country of any other active ingredients (or delivery device) in the combination if sold separately for the same dosage (or form) as contained in the Combination Product.
All net selling prices of the elements of such end-user product or service shall be calculated as the average net selling price of the said elements during the applicable accounting period for which the Net Sales are being calculated. In the event
that, in any country, no separate sale of either such above-designated Product (containing only the applicable Trellis Antibodies and no other active ingredients) or any one or more of the active ingredients or delivery device included in such
Product are made during the accounting period in which the sale was made or if the net selling price for an active ingredient cannot be determined for an accounting period, Net Sales allocable to the Product in each such country shall be determined
by mutual agreement reached in good faith by the Parties prior to the end of the accounting period in question based on an equitable method of determining same that takes into account, on a country-by-country basis, all relevant factors (including
variations in potency, the relative contribution of each active ingredient in the combination, and relative value to the end user of each active ingredient or delivery device). 

1.47 “Patent” means (a) all patents and patent applications, including provisional patent applications,
(b) all patent applications filed either from such patents, patent applications or provisional applications or from an application claiming priority from any of these, including divisionals, continuations, continuations-in-part, converted
provisionals, and continued prosecution applications, (c) any and all patents that have issued or in the future issue from the 

  
 - 6 - 

 
foregoing patent applications in (a) and (b), including utility models, petty patents and design patents and certificates of invention, (d) any and all extensions or restorations by
existing or future extension or restoration mechanisms, including adjustments, revalidations, reissues, re-examinations and extensions (including any supplementary protection certificates and the like) of the foregoing patents or patent applications
in (a), (b) and (c), and (e) any similar rights, including foreign counterparts thereto, so-called pipeline protection, or any importation, revalidation, confirmation or introduction patent or registration patent or patents of addition to
any of such foregoing patent applications and patents. 
 1.48 “Patent Challenge” has the meaning set forth in
Section 8.6(a). 
 1.49 “Patent Prosecution Costs” means the direct out-of-pocket costs (including the
reasonable fees and expenses incurred to outside counsel and other Third Parties, including filing, prosecution and maintenance fees incurred to Governmental Authorities) recorded as an expense by a Party or any of its Affiliates (in accordance with
GAAP and its customary accounting practices) after the Effective Date and during the Term and pursuant to this Agreement, in connection with the preparation, filing, prosecution, maintenance and extension of Patents, including costs of Patent
interference, appeal, opposition, reissue, reexamination, revocation, petitions or other administrative proceedings with respect to Patents and filing and registration fees. 

1.50 “Person” means any individual, firm, corporation, partnership, limited liability company, trust, business trust,
joint venture company, governmental authority, association or other entity. 
 1.51 “Phase 1 Clinical Trial” means a
Clinical Trial of a Product on sufficient numbers of normal volunteers and/or patients that is designed to establish that such Product is safe for its intended use and to support its continued testing in Phase 2 Clinical Trials. For purposes of this
Agreement, ‘initiation’ of a Phase 1 Clinical Trial for a Product means the first dosing of such Product in a human subject in a Phase 1 Clinical Trial. 

1.52 “Phase 2 Clinical Trial” means a Clinical Trial of a Product that utilizes the pharmacokinetic and
pharmacodynamic information obtained from one or more previously conducted Phase 1 Clinical Trial(s) that is designed to provide a preliminary determination of safety and efficacy of such Product in the target patient population over a range of
doses and dose regimens. For purposes of this Agreement, ‘initiation’ of a Phase 2 Clinical Trial for a Product means the first dosing of such Product in a human subject in a Phase 2 Clinical Trial. 

1.53 “Phase 3 Clinical Trial” means a Clinical Trial of a Product on sufficient numbers of patients that is designed
to establish that such Product is safe and efficacious for its intended use, and to define warnings, precautions and adverse reactions that are associated with such Product in the dosage range to be prescribed, and to support Regulatory Approval of
such Product or label expansion of such Product. For purposes of this Agreement, ‘initiation’ of a Phase 3 Clinical Trial for a Product means the first dosing of such Product in a human subject in a Phase 3 Clinical Trial. 

  
 - 7 - 

 1.54 “Phase 4 Clinical Trial” means a Clinical Trial of a Product that
(a) is not required for receipt of Regulatory Approval for a country but that may be useful in providing additional drug profile data in support of such Regulatory Approval (whether the trial is commenced prior to or after receipt of such
Regulatory Approval), or (b) is required, requested or advised by a Regulatory Authority as a condition of, or in connection with, obtaining or maintaining Regulatory Approval (whether the trial is commenced prior to or after receipt of such
Regulatory Approval). Phase 4 Clinical Trials may include trials or studies conducted in support of pricing/reimbursement approval, epidemiological studies, modeling and pharmacoeconomic studies, post-marketing surveillance studies, investigator
sponsored Clinical Trials and health economics studies. 
 1.55 “Potential Type B Antibodies” means an Antibody that
is Controlled by Trellis within twelve (12) months of the Effective Date and that has been demonstrated to neutralize influenza virus B, including variations and subtypes of influenza virus B. 

1.56 “Prior MTA” means the Material Transfer Agreement entered into by ContraFect and Trellis effective May 23,
2013, as amended. 
 1.57 “Product” means any product containing a Trellis Antibody that is either a Type A Group 1
Antibody, a Type A Group 2 Antibody or a Type B Antibody (in each case, alone or as a Combination Product), in all forms, presentations, formulations and dosage forms. 

1.58 “Product Specific Patent” means a Patent Controlled by Trellis (or any Trellis Affiliate) that Covers the
composition, method of use and/or method of manufacture of any Trellis Antibody, either alone or as part of the Product, but does not Cover the composition, method of use and/or method of manufacture of any product containing a compound other than a
Trellis Antibody. 
 1.59 “Prosecute” or “Prosecution” has the meaning set forth in
Section 8.2(a). 
 1.60 “Prosecuting Party” has the meaning set forth in Section 8.4(c). 

1.61 “Publication” has the meaning set forth in Section 9.4. 

1.62 “Receiving Party” has the meaning set forth in Section 9.1. 

1.63 “Regulatory Approval” means with respect to a country, extra-national territory, province, state, or other
regulatory jurisdiction, any and all approvals, licenses, registrations or authorizations of any Regulatory Authority necessary in order to commercially distribute, sell, manufacture, import, export or market a product in such country, state,
province, or some or all of such extra-national territory or regulatory jurisdiction, but which shall exclude any pricing and reimbursement approvals. 

1.64 “Regulatory Authority” means, with respect to a particular country, extra-national territory, province, state, or
other regulatory jurisdiction, any applicable Governmental Authority involved in granting Regulatory Approval and/or, to the extent required for such country, extra-national territory, province, state, or other or regulatory jurisdiction, pricing or
reimbursement approval of a Product in such country or regulatory jurisdiction, including the FDA and the EMA, and in each case including any successor thereto. 

  
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 1.65 “Regulatory Materials” means regulatory applications, submissions,
dossiers, notifications, registrations, Regulatory Approvals and/or other filings made to or with, or other approvals granted by, a Regulatory Authority that are necessary or reasonably desirable in order to Develop, manufacture or Commercialize a
Product in a particular country or regulatory jurisdiction. Regulatory Materials include INDs, MAAs and BLAs. 
 1.66
“Royalty Term” has the meaning set forth in Section 6.5(c). 
 1.67 “Safety Reason” means it
is ContraFect’ or any of its Affiliates’ or Sublicensees’ reasonable belief that based upon additional information that becomes available or an analysis of the existing information at any time, that the medical risk/benefit of such
Trellis Antibody or Product is sufficiently unfavorable as to be incompatible with the welfare of patients to Develop or Commercialize or to continue to Develop or Commercialize such Trellis Antibody or Product. 

1.68 “SEC” means the U.S. Securities and Exchange Commission. 

1.69 “Sole Inventions” has the meaning set forth in Section 8.1. 

1.70 “Sublicensee” means any Third Party granted a sublicense by ContraFect under Section 6.2 hereof to the
rights licensed to ContraFect hereunder, but shall not include any wholesaler or distributor based on a wholesaler or distributor arrangement for the sale of Product (even if such wholesaler or distributor is granted a right or license to sell a
Product). 
 1.71 “Term” has the meaning set forth in Section 12.1. 

1.72 “Termination Notice” has the meaning set forth in Section 12.3(a). 

1.73 “Territory” means all countries of the world. 

1.74 “Third Party” means any Person other than Trellis or ContraFect or an Affiliate of either of Trellis or
ContraFect. 
 1.75 “Trellis Antibody” means any Type A Group 1 Antibody, Type A Group 2 Antibody, Type B Antibody
or Potential Type B Antibody existing as of the Effective Date, or any fragment, derivative, variant or conjugate thereof and/or any nucleotide sequence expressing the foregoing. 

1.76 “Trellis Claims” has the meaning set forth in Section 11.2. 

1.77 “Trellis Damages” has the meaning set forth in Section 11.2. 

1.78 “Trellis Indemnitees” has the meaning set forth in Section 11.2. 

1.79 “Trellis Know-How” means all Information Controlled as of the Effective Date or thereafter during the Term by
Trellis and/or its Affiliate(s) and that is necessary or reasonably 

  
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useful for the Development, manufacture, use and/or Commercialization of Trellis Antibodies and/or Products in the Field and that is Confidential Information at the time of its use. Trellis
Know-How includes all chemical, structural, biological, pharmacological, toxicological, clinical, assay and other methods of screening, structure activity relationship information or other information that relates to Trellis Antibodies or Products
(including its composition, formulation, or method of use, manufacture, preparation or administration). Trellis Know-How shall exclude Information in any Trellis Patents or in any Joint Patents. For clarity, the use of “Affiliate” in this
definition shall exclude any Third Party that becomes an Affiliate of Trellis (or any of its Affiliates) after the Effective Date. 

1.80 “Trellis Materials” means all tangible materials in the possession and Control of Trellis and/or its Affiliate(s)
as of the Effective Date or thereafter during the Term that (a) are necessary for the evaluation, Development, manufacture and/or Commercialization of Trellis Antibodies and/or Products in the Field or (b) otherwise embody Trellis
Know-How. Trellis Materials shall include cell lines (including strains for the expression of Trellis Antibodies, and corresponding host or control strains, and cell banks thereof), DNA constructs and other materials necessary for the expression of
Trellis Antibodies, and tangible materials for use in assays necessary or reasonably useful for the characterization of Trellis Antibodies, to the extent Controlled by Trellis and/or its Affiliate(s). For clarity, the use of “Affiliate” in
this definition shall exclude any Third Party that becomes an Affiliate or Trellis (or any of its Affiliates) after the Effective Date. 

1.81 “Trellis Patents” means all Patents that are Controlled as of the Effective Date or thereafter during the Term by
Trellis and/or its Affiliate(s) and that Cover any Trellis Antibody and/or Product (including in each case its composition, formulation, combination (other than with another proprietary Antibody, material or technology of Trellis that is not a
Trellis Antibody or Product), product by process, or method of use, manufacture, preparation or administration) or that would be necessary or reasonably useful for the discovery, Development, manufacture, use and/or Commercialization of Trellis
Antibodies and/or Products in the Field. Trellis Patents shall include Trellis’s interest in Joint Patents and Product Specific Patents. For clarity, the use of “Affiliate” in this definition shall exclude any Third Party that becomes
an Affiliate of Trellis (or any of its Affiliates) after the Effective Date. Trellis Patents shall consist of Product Specific Patents and Background Trellis Patents. As of the Effective Date, the Product Specific Patents are listed in Exhibit C.

 1.82 “Trellis Platform Technology” shall mean all Information and Patents Controlled as of the Effective Date or
thereafter during the Term by Trellis and/or its Affiliate(s)s related to the screening or development of antibodies, including its proprietary antibody screening technology CellSpotTM. 

1.83 “Trellis Technology” means the Trellis Patents, Trellis Know-How and Trellis Materials. 

1.84 “Type A Group 1 Antibody” means an Antibody that is Controlled by Trellis as of the Effective Date and that
neutralizes representative strains of at least the H1N1 and H5N1 clades of Influenza A, or any fragment, derivative, variant or conjugate thereof and/or any nucleotide sequence expressing the foregoing. 

  
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 1.85 “Type A Group 2 Antibody” means an Antibody that is Controlled by
Trellis as of the Effective Date and that neutralizes representative strains of at least the H3N2 and H7N7 clades of Influenza A, or any fragment, derivative, variant or conjugate thereof and/or any nucleotide sequence expressing the foregoing. 

1.86 “Type B Antibody” means an Antibody that is Controlled by Trellis as of the Effective Date and that neutralizes
representative strains of both Victoria and Yamagata lineage of Influenza B, or any fragment, derivative, variant or conjugate thereof and/or any nucleotide sequence expressing the foregoing. 

1.87 “U.S.” means the United States of America and its territories, districts and possessions. 

1.88 “Valid Claim” means either (a) a claim of an issued and unexpired patent which has not been held permanently
revoked, unenforceable or invalid by a decision of a court or other governmental agency of competent jurisdiction, unappealable or unappealed within the time allowed for appeal and that is not admitted to be invalid or unenforceable through reissue,
disclaimer or otherwise (i.e., only to the extent the subject matter is disclaimed or is sought to be deleted or amended through reissue), or (b) a claim of a pending patent application that has not been abandoned, finally rejected or expired
without the possibility of appeal or refiling, provided, however, that Valid Claim will exclude any such pending claim in an application that has not been granted within the later of (A) ten (10) years following the earliest
non-provisional priority filing date for such application and (B) five (5) years after receipt of the first office action in response to such application unless and until such claim is granted. 

2. ANTIBODIES; MATERIALS 

2.1 Delivery of Trellis Antibodies. Within thirty (30) days of the Effective Date, Trellis will provide ContraFect with all
existing Trellis Antibodies for Development and Commercialization by ContraFect in the form and as identified on Exhibit A; including any and all data (eg BioForte, biacore, neutralization, in vivo) associated thereto. In
accordance with Section 1.55, Trellis shall continue to diligently screen, on a best efforts basis, Potential Type B Antibodies for selection by ContraFect. 

2.2 Materials Transfer. Either Party may provide to the other Party certain materials for use by the other Party in furtherance of the
Development and Commercialization of Trellis Antibodies and Products. All such materials (including, as applicable, any progeny, expression products, mutants, replicates, derivatives and modifications thereof) shall be used by the receiving Party in
accordance with the terms and conditions of this Agreement solely for purposes of performing its rights and obligations under this Agreement, and the receiving Party shall not transfer such materials (including, as applicable, any progeny,
expression products, mutants, replicates, derivatives and modifications thereof) to any Third Party except to any third party manufacturer, research organization, collaborator or other contractor for purposes contemplated by this Agreement or upon
the written consent of the supplying Party. Any materials provided by a Party to the other Party shall be Confidential Information of the delivering Party. ContraFect shall use any materials provided by Trellis to ContraFect (including any Trellis
Materials or Trellis Know-How and, as applicable, any progeny, expression products, 

  
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mutants, replicates, derivatives and modifications thereof) solely for purposes of exercising its rights and performing its obligations under this Agreement. All such ContraFect materials and
Trellis Materials must be used with prudence and appropriate caution in any experimental work, since all of their characteristics may not be known. 

2.3 Trellis Platform Technology. For clarity, nothing in this Article 2 or anywhere in this Agreement shall be construed as requiring
Trellis to disclose to ContraFect any Trellis Platform Technology or as a license to Trellis Platform Technology except to the extent specifically related to the Trellis Antibodies and Products in accordance with this Agreement. 

3. DEVELOPMENT; REGULATORY MATTERS 

3.1 Development of Trellis Antibodies and Products. ContraFect (by itself or through its Affiliates, Sublicensees, contractors or
agents, as applicable) shall use Commercially Reasonable Efforts to Develop at least one Product for the purpose of obtaining a Regulatory Approval in each of United States, France, Germany, Italy, Spain, the United Kingdom, China or Japan, it being
understood that (a) Commercially Reasonable Efforts in the Development of Trellis Antibodies and Products may not result in Developing a Product in each of the countries listed above and that in any event, such Development in the various
countries may be sequential and (b) Sublicensing in any such country shall be deemed to satisfy the obligation to use Commercially Reasonable Efforts in such country. Without limiting the generality of the foregoing ContraFect (by itself or
through its Affiliates, Sublicensees, contractors or agents, as applicable) shall use Commercially Reasonable Efforts to determine whether one or more Product(s) is suitable to progress into clinical studies. For clarity, it is understood and
acknowledged that Commercially Reasonable Efforts in the Development of Trellis Antibodies and Products may include sequential implementation of Clinical Trials and/or intervals between Clinical Trials for data interpretation and clinical program
planning and approval. 
 3.2 Development Report. For each Calendar Year following the Effective Date and continuing until such time
as Regulatory Approval of all Products under Development, ContraFect shall provide to Trellis annually within sixty (60) days after the end of such Calendar Year a reasonably detailed written report of the status of its efforts to Develop
Products by country hereunder. 
 3.3 Regulatory Matters for Product. ContraFect shall own and have sole responsibility for preparing
and submitting all Regulatory Materials for Products in the Field in the Territory, including preparing, submitting and holding all INDs for Products. Trellis shall reasonably cooperate with ContraFect and provide to ContraFect all Information
Controlled by Trellis with respect to Products, in each case as may be reasonably requested by ContraFect, in order to support any Regulatory Materials for Products in the Field in the Territory and interactions with any Regulatory Authority in
connection with Development and/or Regulatory Approval of Products. ContraFect will own all Regulatory Materials for Products and all such Regulatory Materials shall be submitted in the name of ContraFect (or its Affiliate or Sublicensee, as
applicable). ContraFect shall have sole decision-making authority with respect to regulatory matters with respect to Trellis Antibodies and/or Products (including the content of any regulatory filing or dossier, pharmacovigilance reporting,
labeling, safety, and the decision to file or withdraw any IND or to cease or suspend any Clinical Trial). 

  
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 3.4 Adverse Event Reporting. ContraFect shall be responsible for the reporting to the
appropriate Regulatory Authorities of all Adverse Events and any other information concerning the safety of Products, in each case, in accordance with Applicable Law of the relevant countries. 

3.5 No Use of Debarred Person. During the Term, ContraFect agrees that it will not use any employee or consultant that is debarred by
any Regulatory Authority or, to the best of such its knowledge, is the subject of debarment proceedings by any Regulatory Authority. 
 4.
MANUFACTURING; COMMERCIALIZATION 
 4.1 Manufacturing. ContraFect shall have sole responsibility for the manufacture (including
having a Third Party manufacture on its behalf) of all Trellis Antibody and Product, including all such manufacturing for use in Clinical Trials and for commercial sale. ContraFect shall perform such manufacturing activities in compliance with all
Applicable Laws. 
 4.2 Commercialization of Products. ContraFect shall have sole responsibility, including without limitation sole
responsibility for all funding, resourcing and decision-making, for all Commercialization activities with respect to the Trellis Antibodies and Products. ContraFect (by itself or through its Affiliates, Sublicensees, contractors or agents, as
applicable) shall use Commercially Reasonable Efforts to Commercialize a Product for which ContraFect receives Regulatory Approval for such Product. ContraFect shall perform such Commercialization activities in compliance with all Applicable Laws.

 5. GRANT OF RIGHTS AND LICENSES 

5.1 License. 
 (a)
Subject to the terms and conditions of this Agreement, Trellis hereby grants to ContraFect an exclusive license, with the right to grant sublicenses, subject to Section 5.2, under Trellis Technology to research, develop, make, have made, use,
sell, offer for sale, export and import (including without limitation the exclusive right to Develop, have Developed, Commercialize and have Commercialized) Trellis Antibodies and Products in the Field in the Territory. 

(b) Notwithstanding anything to the contrary in this Section 5.1, the license granted to ContraFect under this Section 5.1
shall not include the right for ContraFect to practice any Trellis Platform Technology, either by itself or in collaboration with or through the enabling of any of its Affiliates or any Third Party. 

(c) For avoidance of doubt, notwithstanding the inclusion of Combination Products in the scope of Products, the licenses granted to
ContraFect under this Section 5.1 shall not include any rights for ContraFect to make, have made, use, sell, offer for sale, otherwise commercialize or import any proprietary compound, material or technology of Trellis that is not a Trellis
Antibody or Product. 
 5.2 Sublicensing by ContraFect. ContraFect shall ensure that each of its Sublicensees is bound by a written
agreement that is consistent with, and subject to the terms and conditions of, this Agreement. In addition, ContraFect shall be responsible for the performance 

  
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of any of its Sublicensees that are exercising rights under a sublicense of the rights granted by Trellis to ContraFect under this Agreement, and the grant of any such sublicense shall not
relieve ContraFect of its obligations under this Agreement. Promptly following the execution of each sublicense as provided in this Section 5.2, ContraFect shall provide Trellis with a copy of such sublicense agreement; provided that the
financial terms of any such sublicense agreement may be redacted. For clarity, prior to Completion of the first Phase 2 Clinical Trial, ContraFect may not sublicense any or all of its commercial rights except as set forth in subsections (a) -
(d) above, nor may it sublicense all of its rights under this Agreement without the prior written consent of Trellis, which may be withheld in its sole discretion. 

5.3 Exclusivity. Trellis hereby agrees and covenants that it will not (a) directly or indirectly (with a third party) engage in
any research, development or commercialization using Trellis Platform Technology within the Field, including without limitation the research, development, commercialization, production of antibodies in the Field or (b) without the prior written
consent of Contrafect, provide the Trellis Antibodies to any third party except pursuant to the terms of that certain Material Transfer Agreement dated October 30, 2013 (a true and correct copy of which has been provided to Contrafect as of the
Effective Date). 
 5.4 No Other Rights. Except for the rights expressly granted under this Agreement, no right, title, or interest
of any nature whatsoever is granted whether by implication, estoppel, reliance, or otherwise, by a Party to the other Party. All rights with respect to Information, Patent or other intellectual property rights that are not specifically granted
herein are reserved to the owner thereof. 
 6. PAYMENTS 

6.1 Upfront Payment. In partial consideration of this Agreement, ContraFect shall pay Trellis an upfront payment of two hundred
thousand Dollars ($200,000) within five (5) days after the Effective Date. 
 6.2 Stock. (a) Within five (5) days
after the Effective Date, ContraFect shall issue to Trellis five hundred thousand Dollars ($500,000) of ContraFect’s Series C1 preferred stock pursuant to the stock purchase agreement and related investor agreements for the Series C1 preferred
stock at the lowest price per share paid for the Series C1 preferred stock (including any warrants or discounts afforded such purchasers; and (b) within six (6) months after the Effective Date, an additional five hundred thousand Dollars
($500,000) of ContraFect’s Series C1 preferred stock or the preferred stock of its most recent financing round led by a non-affiliate third party at the lowest price per share paid by its investors in such round; in each case, pursuant to a
stock purchase agreement and related agreements of the Series C1 or other preferred stock, as the case may be, on a pari passu basis with the existing investors in such financing. 

6.3 Development Milestone Payments for Product. 

(a) ContraFect shall pay to Trellis the milestone payments set forth in Table 1 within sixty (60) days after the first achievement
of the specified milestone event by ContraFect, its Affiliates or its Sublicensees for the first Product in the Field. ContraFect shall provide 

  
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written notice to Trellis within ten (10) Business Days after the first achievement of the specified milestone event by ContraFect or its Affiliates and within twenty (20) days after
the first achievement of the specified milestone event by its Sublicensees. 
 Table 1 

 

			
	 Milestone Event for Product
	  	 Milestone Payment

	 IND Approval
	  	$150,000
	 Completion of a Phase I Clinical Trial
	  	$250,000
	 Completion of a Phase II Clinical Trial
	  	$375,000
	 BLA Approval or Sublicensee Upfront Payment
	  	 $500,000 or 10% of

Sublicense Upfront Payment
 up to
$500,000*

  

	*	ContraFect shall pay Trellis ten percent (10%) of any upfront cash payment received from a Sublicensee up to a maximum of $500,000; which payment shall be deducted from the Milestone Payment due upon BLA Approval.
By way of example, if ContraFect receives $3,000,000 as an upfront payment from a Sublicensee, ContraFect shall pay Trellis $300,000 upon such receipt and $200,000 upon BLA Approval; if ContraFect receives $5,000,000 as an upfront payment from a
Sublicensee, ContraFect shall pay Trellis $500,000 upon such receipt and $0 upon BLA Approval; and if ContraFect receives $10,000,000 as an upfront payment from a Sublicensee, ContraFect shall pay Trellis $500,000 upon such receipt and $0 upon BLA
Approval. 

 6.4 Sales Milestone Payment. The sales milestone payment indicated below shall be payable by ContraFect to
Trellis when the cumulative Net Sales for all Products in the Territory by ContraFect, its Affiliates and Sublicensees first reach or exceed the Net Sales threshold amounts set forth below. 

 

					
	 Milestone Event
	  	Milestone Payment	 
	 Cumulative Net Sales of Products in Territory first reach $100 million
	  	$	2 million	  

 The above milestone payment is payable only once, such that the maximum amount payable under this
Section 6.4 is two million Dollars ($2 million). The payments payable by ContraFect to Trellis under this Section 6.4 shall be paid within sixty (60) days following the end of the applicable Calendar Year. 

  
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 6.5 Royalty Payments to Trellis. 

(a) Royalty on Products. Subject to the other provisions of this Article 6 and other provisions of this Agreement and in consideration
of the licenses granted by Trellis to ContraFect hereunder to the Trellis Technology, in countries where the sale of the Product is covered by a Valid Claim, ContraFect shall pay to Trellis a four percent (4%) royalty on the Net Sales of each
Product covered by a Valid Claim during the Royalty Term for such Product. 
 (b) Third Party Payments. If ContraFect, in its good
faith judgment, believes that it is necessary to obtain a license from any Third Party under any Third Party Patent that Covers any Trellis Antibody or Product in the form transferred by Trellis to ContraFect, ContraFect’ royalty obligations
set forth above shall be reduced by fifty percent (50%) of the amount of the royalties made by ContraFect to such Third Party on account of such license, provided that the royalties paid shall not be reduced in any such event below fifty
percent (50%) of the amount that would otherwise be due pursuant to Section 6.5(a) with respect to any calendar quarter. If, but for the proviso in the preceding sentence, the deduction under this Section 6.5(b)) would have reduced a
royalty payment made by ContraFect by more than fifty percent (50%), then the amount of such deduction that exceeds fifty percent (50%) will be carried over to subsequent royalty payments until the fall amount that ContraFect would have been
entitled to deduct (absent the above limitation) is deducted. 
 (c) Royalty Term. Royalties payable by ContraFect to Trellis under
Section 6.5 shall be paid on a Product-by-Product and country-by-country basis commencing upon the First Commercial Sale of the Product until the expiration in such country of the last Valid Claim of the last to expire Trellis Patent that would
be infringed by the manufacture, use or sale of such Product in such country absent a license with respect to such Trellis Patent (the “Royalty Term”). 

6.6 Royalty Payments and Reports. All amounts payable to Trellis pursuant to Section 6.5 shall be paid in Dollars within sixty
(60) days after the end of the calendar quarter in which the applicable Net Sales were received by ContraFect. Each payment of royalties shall be accompanied by a royalty report providing a statement, on a Product-by-Product and country-by-
country basis, of: (a) the amount of Net Sales of Products in the Territory during the applicable calendar quarter, (b) a calculation of the amount of royalty payment due in Dollars on such Net Sales for such calendar quarter, and
(c) the amount of withholding taxes, if any, required by Applicable Law to be deducted with respect to such royalties. 
 6.7
Payment Method. All payments due under this Agreement to Trellis shall be made by bank wire transfer in immediately available funds to an account designated by Trellis. All payments hereunder shall be made in Dollars. 

6.8 Taxes. Trellis will pay any and all taxes levied on account of all payments it receives under this Agreement. If laws or
regulations require that taxes be withheld with respect to any royalty payments by ContraFect to Trellis under this Agreement, ContraFect will: (i) deduct those taxes from the remittable payment, (ii) pay the taxes to the proper taxing
authority, and (iii) send evidence of the obligation together with proof of tax payment to Trellis on a timely basis following that tax payment. Each Party agrees to cooperate with the other Party in

  
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claiming refunds or exemptions from such deductions or withholdings under any relevant agreement or treaty which is in effect. The Parties shall discuss applicable mechanisms for minimizing such
taxes to the extent possible in compliance with Applicable Law. In addition, the Parties shall cooperate in accordance with Applicable Law to minimize indirect taxes (such as value added tax, sales tax, consumption tax and other similar taxes) in
connection with this Agreement. 
 6.9 Foreign Exchange. Conversion of sales recorded in local currencies to Dollars shall be
performed in a manner consistent with ContraFect’s normal practices used to prepare its audited financial statements for internal and external reporting purposes. 

6.10 Records. During the Royalty Term and for a period of three (3) years thereafter, ContraFect shall retain, and shall cause its
Affiliates and Sublicensees to retain, complete, true and accurate books of accounts and records, including gross sales and any deductions thereto in connection with the calculation of Net Sales, sufficient to determine and establish the amounts
payable incurred under this Agreement, and compliance with the other terms and conditions of this Agreement. Such books and records shall be kept reasonably accessible and shall be made available for inspection for a three (3) year period in
accordance with Section 6.11 below. 
 6.11 Audit of ContraFect Records. During the Royalty Term and upon reasonable prior
notice, ContraFect shall permit an independent nationally recognized certified public accounting firm (subject to obligations of confidentiality to ContraFect), appointed by Trellis and reasonably acceptable to ContraFect, to audit the financial
records of ContraFect solely to the extent relating to royalty payments and reports to Trellis under Sections 6.5, 6.6 and 6.10; provided that such audit shall not occur more often than once per Calendar Year, unless a material error is
discovered in such audit, in which case Trellis shall have the right to conduct a second audit in such Calendar Year. Any inspection conducted under this Section 6.11 shall be at the expense of Trellis, unless such inspection reveals any
underpayment of the royalties due hereunder for the audited period by at least ten percent (10%), in which case the full costs of such inspection for such period shall be borne by ContraFect. Any underpayment shall be paid by ContraFect to Trellis
within forty-five (45) days with interest on the underpayment at the rate specified in Section 6.12 from the date such payment was originally due, and any overpayment shall be credited against future amounts due by ContraFect to Trellis.

 6.12 Late Payments. Any payments or portions thereof due hereunder that are not paid on the date such payments are due under this
Agreement shall bear interest at a rate equal to the lesser of: (a) two (2) percentage point above the 1 month LIBOR, or any successor thereto, on the first day of each calendar quarter in which such payments are overdue or (b) the
maximum rate permitted by Applicable Law; in each case calculated on the number of days such payment is delinquent, compounded monthly. 

6.13 Payments to or Reports by Affiliates. Any payment required under any provision of this Agreement to be made to either Party or any
report required to be made by any Party shall be made to or by an Affiliate of that Party if designated in writing by that Party as the appropriate recipient or reporting entity. 

  
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 7. OWNERSHIP OF AND RIGHTS TO INTELLECTUAL PROPERTY 

7.1 Ownership of Information and Inventions. Each Party will own all inventions (and Patents that claim such inventions) solely
invented by or on behalf of it and/or its Affiliates and/or their respective employees, agents and independent contractors pursuant to this Agreement (collectively, “Sole Inventions”). All inventions invented jointly by employees,
Affiliates, agents, or independent contractors of each Party during the term of this Agreement (collectively, “Joint Inventions”) and Joint Patents will be owned jointly by the Parties. The Parties agree to discuss in good faith and
implement a mutually agreeable patent strategy with respect to all Joint Inventions that may be patentable. With respect to all Joint Inventions for which the Parties agree patent protection should be sought, the Parties shall cooperate in the
preparation, filing and Prosecution of Joint Patents, and shall discuss and agree on the content, form and payment of relevant patent applications and any other relevant matters before such applications are made. If the Parties are unable to agree
on such matters, such disagreement shall be resolved pursuant to Article 13 (Dispute Resolution). Subject to a Party’s obligations under applicable terms of this Agreement (e.g., licenses granted hereunder, confidentiality obligations, etc.)
with respect to same, any Information generated during or resulting from a Party’s activities under this Agreement may only be used by such Party in furtherance of the objectives of the Agreement. 

7.2 Disclosure of Inventions. Each Party will promptly disclose to the other Party all invention disclosures submitted to such Party by
its or its Affiliates’ employees describing Joint Inventions related to Trellis Antibodies and Products. Each Party will also respond promptly to reasonable requests from the other Party for more Information relating to such inventions. 

8. PATENT PROSECUTION AND EXPENSES 

8.1 Prosecution of Product Specific Patents. 

(a) ContraFect will have the first right, but not the obligation, to draft, file, prosecute and maintain (including any oppositions,
interferences, reissue proceedings, reexaminations and post-grant proceedings) in all jurisdictions in the Territory the Product Specific Patents (such activities with respect to Patents being the “Prosecution”, with the term
“Prosecute” having the corresponding meaning). Such Prosecution of the Product Specific Patents shall be conducted in good faith by ContraFect, using commercially reasonable efforts, and handled by outside counsel mutually agreed
upon by the Parties that will jointly represent the Parties (the “Patent Firm”). Subject to this Section 8.1(a) and Section 8.1(d), ContraFect shall bear one hundred percent (100%) of the Patent Prosecution Costs for
the Product Specific Patents, and shall have lead responsibility and decision-making control for such Prosecution of the Product Specific Patents. For clarity, each Party will bear its own internal costs (i.e., those costs that are not Patent
Prosecution Costs) with respect to its Prosecution activities for the Product Specific Patents. 
 (b) In the event a Product
Specific Patent is a PCT filing and enters the national/regional phase during the Term, ContraFect hereby agrees that it will file national/regional patent applications or otherwise seek patent protection in at least the following
countries/territories: England, France Germany, Italy, Spain, China and Japan. 

  
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 (c) The Parties will cooperate in the Prosecution of the Product Specific Patents in all
respects. Trellis will provide ContraFect all reasonable assistance and cooperation in its Prosecution efforts with respect to the Product Specific Patents, including providing any necessary powers of attorney and executing any other required
documents or instruments for such Prosecution, as necessary to Prosecute the Product Specific Patents. 
 (d) In the event that
ContraFect elects not to Prosecute in any country any Patent within the Product Specific Patents, ContraFect will give Trellis at least thirty (30) days notice before any relevant deadline and provide to Trellis information it reasonably
requests relating to the Product Specific Patent. Trellis will then have the right to assume responsibility, using patent counsel of its choice, for the Prosecution of such Product Specific Patent. If Trellis assumes responsibility for the
Prosecution for any such Product Specific Patents as set forth above, then the Patent Prosecution Costs incurred by Trellis in the course of such Prosecution will thereafter be borne by Trellis, and the license rights with respect to such Product
Specific Patent under Section 5.1 shall remain exclusive. The Parties will cooperate in such Prosecution in all respects. Each Party will provide the other Party all reasonable assistance and cooperation in such Prosecution efforts, including
providing any necessary powers of attorney and executing any other required documents or instruments for such Prosecution. Each Party will provide the other Party with copies of any documents it receives or prepares in connection with such
Prosecution and will inform the other Party of the progress of it. Before filing in connection with such Prosecution any document with a patent office, each Party will provide a copy of the document to the other Party sufficiently in advance to
enable the other Party to comment on it, and the first Party will give due consideration to such comments. 
 (e) Patent Term Adjustments
or Extensions. The Parties will confer regarding the desirability of seeking in any country any patent term adjustment, patent term extension, supplemental patent protection or related extension of rights with respect to the Product Specific
Patents. ContraFect shall have the sole right, but not the obligation, to apply for any such adjustment, extension or protection. Neither Party will proceed with such an extension until the Parties have consulted with one another and agreed to a
strategy therefor, provided that in the case where the Parties are unable to reach consensus, ContraFect will have the final decision-making authority with respect to such decision; provided further that such decision will be made in
accordance with Applicable Law so as to maximize marketing exclusivity for the Product in the Field. Without limiting the foregoing, Trellis covenants that it will not seek patent term extensions, supplemental protection certificates, or similar
rights or extensions for the Product Specific Patents without the prior written consent of ContraFect, not to be unreasonably withheld. Each Party will cooperate fully with and provide all reasonable assistance to the other Party and use all
commercially reasonable efforts consistent with its obligations under Applicable Law (including any applicable consent order or decree) in connection with obtaining any such adjustments or extensions for the Product Specific Patents consistent with
such strategy. To the extent reasonably and legally required in order to obtain any such adjustment or extension in a particular country, each Party will make available to the other a copy of the necessary documentation to enable such other Party to
use the same for the purpose of obtaining the adjustment or extension in such country. 

  
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 8.2 Data Exclusivity. As applicable, ContraFect will have the sole right and authority for
securing, maintaining and enforcing exclusivity rights that may be available under Applicable Law in a country for a Product, such as any data, market, pediatric, orphan drug or other regulatory exclusivity periods. Trellis will cooperate fully with
and provide all reasonable assistance to ContraFect and use all commercially reasonable efforts consistent with its obligations under Applicable Law (including any applicable consent order or decree) to seek, maintain and enforce all data
exclusivity periods available for the Products. 
 8.3 Ownership 

(a) ContraFect Patents. ContraFect will have the sole right and authority with respect to ContraFect Patents in any jurisdiction,
including Prosecution and enforcement. ContraFect will be responsible for all costs incurred by it (including all Patent Prosecution Costs) in the course of Prosecuting and enforcing such ContraFect Patents. 

(b) Background Trellis Patents. Trellis will have the sole right and authority with respect to enforcement and Prosecution of all
Background Trellis Patents in any jurisdiction. Trellis will be responsible for all costs incurred by it (including all Patent Prosecution Costs) in the course of Prosecuting and enforcing such Background Trellis Patents. 

(c) Trellis Platform Technology. Trellis will have the sole right and authority with respect to enforcement and Prosecution of all
Patents claiming the Trellis Platform Technology in any jurisdiction. Trellis will be responsible for all costs incurred by it (including all Patent Prosecution Costs) in the course of Prosecuting and enforcing such Patents claiming the Trellis
Platform Technology. 
 8.4 Infringement of Trellis Patents by Third Parties. 

(a) Notification. The Parties will promptly notify each other of any actual, threatened, alleged or suspected infringement by a Third
Party (an “Infringement”) of the Trellis Patents. A notice under 42 U.S.C. 262(1) (however such section may be amended from time to time during the Term) with respect to a Product will be deemed to describe an act of Infringement,
regardless of its content. As permitted by Applicable Law, each Party will promptly notify the other Party in writing of any such Infringement of which it becomes aware, and will provide evidence in such Party’s possession demonstrating such
Infringement. In particular, each Party will notify and provide the other Party with copies of any allegations of patent invalidity, unenforceability or non-infringement of any Trellis Patents Covering a Trellis Antibody or Product (including
methods of use or manufacture thereof). Such notification and copies will be provided by the Party receiving such certification to the other Party as soon as practicable and, unless prohibited by Applicable Law, at least within five (5) days
after the receiving Party receives such certification. Such notification and copies will be sent by facsimile and overnight courier to ContraFect at the address specified in Section 14.4, and to Trellis at the address specified in
Section 14.4. 
 (b) ContraFect will have the first right, but not the obligation, to bring and control, at its expense, an
appropriate suit or other action before any government or private tribunal against any person or entity allegedly engaged in any Infringement (an “Infringement 

  
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Action”) of any Product Specific Patent to remedy the Infringement (or to settle or otherwise secure the abatement of such Infringement). The foregoing right of ContraFect shall
include the right to perform all actions of a reference product sponsor set forth in 42 USC 262(1). Trellis will have the right, at its own expense and by counsel of its choice, to be represented in any Infringement Action with respect to a Product
Specific Patent (“Product Specific Infringement Action”). At ContraFect’ request, Trellis will join any Product Specific Infringement Action as a party and will use commercially reasonable efforts to cause any applicable
Existing Third Party Licensor to join such Product Specific Infringement Action as a party (all at ContraFect’ expense) if doing so is necessary for the purposes of establishing standing or is otherwise required by Applicable Law to pursue such
action. ContraFect will have a period of one hundred and eighty (180) days after its receipt or delivery of notice and evidence pursuant to Section 8.4(a) to elect to so enforce such Product Specific Patents in the applicable jurisdiction
(or to settle or otherwise secure the abatement of such Infringement), provided, however, that such period will be more than one hundred and eighty (180) days to the extent Applicable Law prevents earlier enforcement of such
Product Specific Patents (such as the enforcement process set forth in 42 USC 262(1)) and such period will be less than one hundred and eighty (180) days to the extent that a delay in bringing an action to enforce the applicable Product
Specific Patents against such alleged Third Party infringer would limit or compromise the remedies (including monetary and injunctive relief) available against such alleged Third Party infringer. In the event ContraFect does not so elect (or settle
or otherwise secure the abatement of such Infringement) within the aforementioned period of time or twenty (20) days before the time limit, if any, for the filing of a Product Specific Infringement Action, whichever is sooner, it will so notify
Trellis in writing and in the case where Trellis then desires to commence a suit or take action to enforce the applicable Product Specific Patents with respect to such Infringement in the applicable jurisdiction, the Parties will confer and upon
ContraFect’ prior written consent (such consent not to be unreasonably withheld, conditioned or delayed), Trellis will have the right to commence such a suit or take such action to enforce the applicable Product Specific Patents, at
Trellis’s expense. Each Party will provide to the Party enforcing any such rights under this Section 8.4(b) reasonable assistance in such enforcement, at such enforcing Party’s request and expense, including joining such action as a
party plaintiff if required by Applicable Law to pursue such action. The enforcing Party will keep the other Party regularly informed of the status and progress of such enforcement efforts, and will reasonably consider the other Party’s
comments on any such efforts. 
 (c) Settlement. Without the prior written consent of the other Party (not to be unreasonably
withheld, conditioned or delayed), neither Party will settle any Product Specific Infringement Action in any manner that would adversely affect a Product Specific Patent or that would limit or restrict the ability of ContraFect (or its Affiliates or
Sublicensees, as applicable) to sell Products anywhere in the Territory. 
 (d) Expenses and Recoveries. A Party bringing a Product
Specific Infringement Action under this Section 8.4 against any Third Party engaged in Infringement of the Product Specific Patents will be solely responsible for any expenses incurred by such Party as a result of such Product Specific
Infringement Action. If such Party recovers monetary damages from such Third Party in such Product Specific Infringement Action, such recovery will first be applied to all out-of-pocket costs and expenses incurred by the Parties in connection
therewith, including attorneys’ fees. If such recovery is insufficient to cover all such costs and 

  
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expenses of both Parties, it will be shared pro-rata in proportion to the relative amount of such costs and expenses incurred by each Party. If after such reimbursement any funds remain from such
damages, such funds will be shared as follows: (i) if ContraFect is the Party bringing such Product Specific Infringement Action, such remaining funds will be retained by ContraFect and treated as Net Sales of Product, and (iii) if Trellis
is the Party bringing such Product Specific Infringement Action, such remaining funds will be retained as ninety percent (90%) by Trellis and ten percent (10%) by ContraFect. 

8.5 Reexaminations, Oppositions and Related Actions. 

(a) The Parties will promptly notify each other in the event that any Third Party files, or threatens to file, any paper in a court,
patent office or other government entity, seeking to invalidate, reexamine, oppose or compel the licensing of any Product Specific Patent (any such Third Party action being a “Patent Challenge”). 

(b) ContraFect will have the first right to bring and control, at its expense, any effort in defense of such a Patent Challenge against
a Product Specific Patent, except in the case where such Patent Challenge is made in connection with an Infringement Action, in which case the enforcing Party in the Infringement Action will have the first right to bring and control the defense of
such Patent Challenge and such Patent Challenge will be considered part of the Infringement Action under this Article 8. In the case where ContraFect controls the defense of such Patent Challenge, Trellis will have the right, at its own expense and
by counsel of its choice, to be represented in any such effort. If ContraFect fails to take action to defend such Patent Challenge within thirty (30) days of the time limit for bringing such defense (or within such shorter period to the extent
that a delay in bringing such defense would limit or compromise the outcome of such defense of such Patent Challenge), then Trellis will have the right, but not the obligation, to bring and control any effort in defense of such Patent Challenge at
its own expense. 
 (c) Trellis will have the first right to bring and control, at its expense, any effort in defense of such a
Patent Challenge Related to any Background Trellis Patent or any Patents claiming any Trellis Platform Technology, except in the case where such Patent Challenge is made in connection with an Infringement Action, in which case the enforcing Party in
the Infringement Action will have the first right to bring and control the defense of such Patent Challenge and such Patent Challenge will be considered part of the Infringement Action under this Article 8. In the case where Trellis controls the
defense of such Patent Challenge, ContraFect will have the right, at its own expense and by counsel of its choice, to be represented in any such effort. If Trellis fails to take action to defend such Patent Challenge within thirty (30) days of
the time limit for bringing such defense (or within such shorter period to the extent that a delay in bringing such defense would limit or compromise the outcome of such defense of such Patent Challenge), then ContraFect will have the right, but not
the obligation, to bring and control any effort in defense of such Patent Challenge at its own expense. 
 9. CONFIDENTIALITY 

9.1 Confidentiality. Except to the extent expressly authorized by this Agreement or otherwise agreed in writing by the Parties, each
Party (the “Receiving Party”) agrees that, for 

  
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the Term and for five (5) years thereafter, it shall keep confidential and shall not publish or otherwise disclose and shall not use for any purpose other than as provided for in this
Agreement (which includes the exercise of any rights or the performance of any obligations hereunder) any Confidential Information furnished to it by the other Party (the “Disclosing Party”) pursuant to this Agreement except for
that portion of such Information that the Receiving Party can demonstrate by competent written proof: 
 (a) was already known to the
Receiving Party or any of its Affiliates, other than under an obligation of confidentiality to the Disclosing Party, at the time of disclosure by the Disclosing Party; 

(b) was generally available to the public or otherwise part of the public domain at the time of its disclosure to the Receiving Party;

 (c) became generally available to the public or otherwise part of the public domain after its disclosure and other than through
any act or omission of the Receiving Party in breach of this Agreement; 
 (d) is subsequently disclosed to the Receiving Party or
any of its Affiliates by a Third Party without obligations of confidentiality to the Disclosing Party with respect thereto; or 
 (e)
is subsequently independently discovered or developed by the Receiving Party or its Affiliate without the aid, application, or use of Confidential Information of the Disclosing Party. 

9.2 Authorized Disclosure. Each Party may disclose Confidential Information belonging to the other Party to the extent such disclosure
is reasonably necessary in the following situations: 
 (a) subject to Section 9.3, regulatory filings and other filings with
Governmental Authorities (including Regulatory Authorities), including filings with the FDA, as necessary for the Development or Commercialization of a Product, as required in connection with any filing, application or request for Regulatory
Approval; provided, however, that reasonable measures will be taken to assure confidential treatment of such information; 

(b) prosecuting or defending litigation; 

(c) subject to Section 9.3, complying with Applicable Law, including regulations promulgated by securities exchanges; 

(d) disclosure to its Affiliates, employees, agents, independent contractors, licensors and any Sublicensees of the Trellis Technology
only on a need-to-know basis and solely in connection with the performance of this Agreement, provided that each disclosee must be bound by obligations of confidentiality and non-use at least as equivalent in scope as and no less restrictive
than those set forth in this Article 9 prior to any such disclosure; 
 (e) disclosure of the material terms of this Agreement (or a
redacted copy of this Agreement) to any bona fide potential or actual investor, stockholder, investment banker, 

  
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acquirer, merger partner or other potential or actual financial partner or their agents; provided that each disclosee must be bound by obligations of confidentiality and non-use at least
as equivalent in scope as and no less restrictive than those set forth in this Article 9 prior to any such disclosure; 
 (f)
disclosure of the target and stage of Development of Products under this Agreement to any bona fide potential or actual investor, stockholder, investment banker, acquirer, merger partner or other potential or actual financial partner;
provided that each disclosee must be bound by obligations of confidentiality and non-use at least as equivalent in scope as and no less restrictive than those set forth in this Article 9 prior to any such disclosure. 

Notwithstanding the foregoing, in the event a Party is required to make a disclosure of the other Party’s Confidential Information
pursuant to Sections 12.2(c) or 12.2(d), it will, except where impracticable, give reasonable advance notice to the other Party of such disclosure and use reasonable efforts to secure confidential treatment of such information. In any event, the
Parties agree to take all reasonable action to avoid disclosure of Confidential Information hereunder. 
 Nothing in Sections 9.1 or 9.2
shall limit either Party in any way from disclosing to any Third Party such Party’s U.S. or foreign income tax treatment and the U.S. or foreign income tax structure of the transactions relating to such Party that are based on or derived from
this Agreement, as well as all materials of any kind (including opinions or other tax analyses) relating to such tax treatment or tax structure, except to the extent that nondisclosure of such matters is reasonably necessary in order to comply with
applicable securities laws. 
 9.3 Publicity; Terms of Agreement. 

(a) The Parties agree that the terms and contents of this Agreement (including the Exhibits hereto) shall be treated as Confidential
Information of both Parties, subject to the special authorized disclosure provisions set forth in Section 9.2 and this Section 9.3. Subject to Section 9.3(c), neither Party shall make any public announcement regarding the execution or
terms of this Agreement without the consent of the other Party in accordance with Section 9.3(b). 
 (b) On March 31, 2014,
the Parties shall issue a joint press release in the form attached hereto as Exhibit B. 
 (c) Except for the joint
press release issued pursuant to Section 9.3(b) above, neither Party shall make a public announcement concerning the existence, terms and/or contents of this Agreement, except that in the case of a press release or governmental filing required
by Applicable Law (where reasonably advised by the disclosing Party’s counsel), the disclosing Party shall provide the other Party with such advance notice as it reasonably can and shall not be required to obtain approval therefor. A Party
commenting on such a proposed press release shall provide its comments, if any, within five (5) Business Days (or within three (3) Business Days in the event that Trellis (or its Affiliate) is a public reporting company) after receiving
the press release for review and the other Party shall give good faith consideration to same. Trellis may not make a press release announcing the achievement of each milestone under this Agreement as it is achieved, and the achievements of
Regulatory Approvals as they occur, without the prior 

  
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written consent of ContraFect which consent shall not be unreasonably withheld or delayed. For purposes of clarification, neither Party shall be required to seek the permission of the other Party
to repeat any information regarding the terms of this Agreement that have previously been publicly disclosed by such Party, or by the other Party, in accordance with this Section 9.3. For clarity, neither Party shall disclose the financial
terms of this Agreement without the prior written approval of the other Party, except as and to the extent otherwise expressly permitted under this Agreement. 

(d) The Parties acknowledge that either or both Parties may be obligated to file under Applicable Law a copy of this Agreement with the
SEC or other Government Authorities. Each Party shall be entitled to make such a required filing, provided that it requests confidential treatment of at least the financial terms and sensitive technical terms hereof and thereof to the extent
such confidential treatment is reasonably available to such Party. In the event of any such filing, each Party will provide the other Party with a copy of this Agreement marked to show provisions for which such Party intends to seek confidential
treatment not less than five (5) Business Days prior to such filing (and any revisions to such portions of the proposed filing a reasonable time prior to the filing thereof), and shall reasonably consider the other Party’s comments thereon
to the extent consistent with the legal requirements, with respect to the filing Party, governing disclosure of material agreements and material information that must be publicly filed, and shall only disclose Confidential Information which it is
advised by counsel or the applicable Governmental Authority is legally required to be disclosed. No such notice shall be required under this Section 9.3(d) if the substance of the description of or reference to this Agreement contained in the
proposed filing has been included in any previous filing made by either Party hereunder or otherwise approved by the other Party. 

(e) Each Party shall require each of its Affiliates and private investors to which Confidential Information of the other Party is
disclosed as permitted hereunder to comply with the covenants and restrictions set forth in Sections 9.1 through 9.3 as if each such Affiliate and each such investor were a Party to this Agreement and shall be fully responsible for any breach of
such covenants and restrictions by any such Affiliate or investor. 
 9.4 Publications. Trellis shall not publicly present or publish
results of studies performed under this Agreement, nor publicly present or publish results of prior or future studies involving the Trellis Antibodies or in the Field. 

9.5 Termination of Prior MTA. This Agreement terminates, as of the Effective Date, the Prior MTA. All Confidential Information (as
defined in the Prior MTA) exchanged between the Parties under the Prior MTA shall be deemed Confidential Information of the corresponding Party under this Agreement and shall be subject to the terms of this Article 9. 

9.6 Use of Name. Neither Party shall, without the other Party’s prior written consent, use any trademarks or other marks of the
other Party (including the other Party’s corporate name), trademarks, advertising taglines or slogans confusingly similar thereto, in connection with such Party’s marketing or promotion of Products under this Agreement or for any other
purpose (except in reference to the existence of this Agreement), except as may be expressly authorized in writing in connection with activities under this Agreement and except to the extent required to comply with Applicable Law. 

  
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 10. REPRESENTATIONS AND WARRANTIES AND COVENANTS 

10.1 Mutual Representations and Warranties. Each Party hereby represents, warrants, and covenants (as applicable) to the other Party as
of the Effective Date as follows: 
 (a) Corporate Existence. It is a company or corporation duly organized, validly existing, and in
good standing under the laws of the jurisdiction in which it is incorporated, and has full corporate power and authority and the legal right to own and operate its property and assets and to carry on its business as it is now being conducted and as
contemplated in this Agreement, including the right to grant the licenses granted by it hereunder. 
 (b) Power. It has the full
corporate power and authority and the legal right to enter into this Agreement and perform its obligations hereunder. It has taken all necessary corporate action on its part required to authorize the execution and delivery of this Agreement and the
performance of its obligations hereunder. This Agreement has been duly executed and delivered on behalf of such Party, and constitutes a legal, valid, and binding obligation of such Party that is enforceable against it in accordance with its terms.

 (c) No Debarment. In the course of the Development of Products, such Party has not used prior to the Effective Date and shall not
use, during the Term, any employee, agent or independent contractor who has been debarred by any Regulatory Authority, or, to the best of such Party’s knowledge, is the subject of debarment proceedings by a Regulatory Authority. 

(d) No Conflict. It is not a party to any agreement, outstanding order, judgment or decree of any court or Governmental Authority that
would prevent it from granting the rights granted to the other Party under this Agreement or performing its obligations under this Agreement. It has not, and will not, after the Effective Date and during the Term, grant any right to any Third Party
that would conflict with the rights granted to the other Party hereunder. 
 10.2 Representations and Warranties by Trellis. Trellis
hereby represents and warrants as of the Effective Date and, where denoted below, covenants to ContraFect as follows: 
 (a) Right to
Grant License. Trellis has the right under the Trellis Technology to grant the licenses to ContraFect as purported to be granted pursuant to this Agreement. 

(b) Patent Rights. Trellis has sufficient legal and/or beneficial title, ownership or license under its Patents and Information
necessary for the purposes contemplated by this Agreement. The Trellis Technology existing as of the Effective Date is free and clear from any Liens, and Trellis has sufficient legal and/or beneficial title, ownership or license thereunder to grant
the licenses to ContraFect as purported to be granted pursuant to this Agreement. As of the Effective Date, Trellis is the sole owner of all right, title and interest in and to (free and clear from any Liens of any kind) the Trellis Patents listed
on Exhibit C. All fees required to maintain such issued Patent rights have been paid to date. To Trellis’s knowledge, the Trellis Patents listed on Exhibit C constitute all Patents Controlled by Trellis
that would be infringed by the manufacture (as currently conducted), use or sale of Trellis Antibodies and/or Products (but for the license granted by Trellis to ContraFect under Section 5.1) 

  
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 (c) No Conflict. There is no agreement in effect, either oral or written, between Trellis
and any Third Party, relating to the Development, Commercialization or manufacture of the Trellis Antibodies or Products except as otherwise disclosed to ContraFect’ patent counsel prior to the Effective Date 

(d) Non-Infringement of Third Party Rights. Trellis has not received any written notice from any Third Party asserting or alleging that
the discovery, research and/or Development of Trellis Antibodies or Products by Trellis prior to the Effective Date infringes the intellectual property rights of such Third Party. The Trellis Technology existing as of the Effective Date was not
obtained in violation of any contractual or fiduciary obligation owed by Trellis or its employees or agents to any Third Party or through the misappropriation of the intellectual property rights (including any trade secrets) from any Third Party.

 (e) Non-Action or Claim. There are no pending, and to Trellis’s knowledge no threatened, actions, suits or proceedings
against Trellis involving the Trellis Technology. To Trellis’s actual knowledge, with no duty of inquiry, there are no activities by Third Parties that would constitute infringement or misappropriation of the Trellis Technology as it relates to
Trellis Antibodies or Products (in the case of pending claims, evaluating them as if issued as of the Effective Date). 
 10.3 No Other
Representations or Warranties. EXCEPT AS EXPRESSLY STATED IN THIS ARTICLE 10 OR ELSEWHERE IN THIS AGREEMENT, NO REPRESENTATIONS OR WARRANTIES WHATSOEVER, WHETHER EXPRESS OR IMPLIED, INCLUDING WARRANTIES OF MERCHANTABILITY, FITNESS FOR A
PARTICULAR PURPOSE, NON-INFRINGEMENT, OR NON-MISAPPROPRIATION OF THIRD PARTY INTELLECTUAL PROPERTY RIGHTS, OR THAT ANY OF THE DEVELOPMENT AND/OR COMMERCIALIZATION EFFORTS WITH REGARD TO ANY COMPOUND OR PRODUCT WILL BE SUCCESSFUL, IS MADE OR GIVEN BY
OR ON BEHALF OF A PARTY. EXCEPT AS EXPRESSLY STATED IN THIS AGREEMENT, ALL REPRESENTATIONS AND WARRANTIES, WHETHER ARISING BY OPERATION OF LAW OR OTHERWISE, ARE HEREBY EXPRESSLY EXCLUDED. 

11. INDEMNIFICATION AND LIMITATION OF LIABILITY 

11.1 Indemnification by Trellis for Third Party Claims. Trellis shall defend, indemnify, and hold ContraFect, its Affiliates, and their
respective officers, directors, employees, and agents (the “ContraFect Indemnitees”) harmless from and against any and all damages or other amounts payable to a Third Party claimant, as well as any reasonable attorneys’ fees
and costs of litigation incurred by such ContraFect Indemnitees (collectively, “ContraFect Damages”), all to the extent resulting from any claims, suits, proceedings or causes of action brought by such Third Party (collectively,
“ContraFect Claims”) against such ContraFect Indemnitee that arise out of or result from (or are alleged to arise out of or result from): (a) a breach of any of Trellis’s representations, warranties, covenants and
obligations under this Agreement; (b) the gross negligence or willful misconduct of Trellis, its Affiliates, or the officers, directors, employees, or agents of Trellis or its Affiliates; or (c) the research and development of Trellis
Antibodies before the Effective Date. The foregoing indemnity obligation shall not apply if the ContraFect Indemnitees materially fail to comply with the 

  
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indemnification procedures set forth in Section 11.3, or to the extent that any ContraFect Claim is subject to indemnity pursuant to Section 11.2 and/or is based on or alleges a breach
by ContraFect or its Affiliates of an obligation under an agreement between ContraFect or its Affiliates and a Third Party. 
 11.2
Indemnification by ContraFect for Third Party Claims. ContraFect shall defend, indemnify, and hold Trellis, its Affiliates, and each of their respective officers, directors, employees, and agents, (the “Trellis Indemnitees”)
harmless from and against any and all damages or other amounts payable to a Third Party claimant, as well as any reasonable attorneys’ fees and costs of litigation incurred by such Trellis Indemnitees (collectively, “Trellis
Damages”), all to the extent resulting from any claims, suits, proceedings or causes of action brought by such Third Party (collectively, “Trellis Claims”) against such Trellis Indemnitee that arise out of or result from
(or are alleged to arise out of or result from): (a) the Development, manufacture, storage, handling, use, sale, offer for sale, and importation of Products by ContraFect or its Affiliates, or Sublicensees; (b) a breach of any of
ContraFect’ representations, warranties, covenants and obligations under this Agreement; or (c) the gross negligence or willful misconduct of ContraFect or its Affiliates, or the officers, directors, employees, or agents of ContraFect or
its Affiliates. The foregoing indemnity obligation shall not apply if the Trellis Indemnitees materially fail to comply with the indemnification procedures set forth in Section 11.3, or to the extent that any Trellis Claim is subject to
indemnity pursuant to Section 11.1 and/or is based on or alleges a breach by Trellis or its Affiliates of an obligation under an agreement between Trellis or its Affiliates and a Third Party. 

11.3 Indemnification Procedures. The Party claiming indemnity under this Article 11 (the “Indemnified Party”) shall
give written notice to the Party from whom indemnity is being sought (the “Indemnifying Party”) promptly after learning of the claim, suit, proceeding or cause of action for which indemnity is being sought
(“Claim”), and, provided that the Indemnifying Party is not contesting the indemnity obligation, shall permit the Indemnifying Party to control and assume the defense of any litigation relating to such claim and disposition of any
such Claim unless the Indemnifying Party is also a party (or likely to be named a party) to the proceeding in which such claim is made and the Indemnified Party gives notice to the Indemnifying Party that it may have defenses to such claim or
proceeding that are in conflict with the interests of the Indemnifying Party, in which case the Indemnifying Party shall not be so entitled to assume the defense of the case. If the Indemnifying Party does assume the defense of any Claim, it
(i) shall act diligently and in good faith with respect to all matters relating to the settlement or disposition of any Claim as the settlement or disposition relates to Parties being indemnified under this Article 11, (ii) shall cause
such defense to be conducted by counsel reasonably acceptable to the Indemnified Party and (iii) shall not settle or otherwise resolve any Claim without prior notice to the Indemnified Party and the consent of the Indemnified Party if such
settlement involves anything other than the payment of money by the Indemnifying Party. The Indemnified Party shall reasonably cooperate with the Indemnifying Party in its defense of any claim for which the Indemnifying Party has assumed the defense
in accordance with this Section 11.3, and shall have the right (at its own expense) to be present in person or through counsel at all legal proceedings giving rise to the right of indemnification. So long as the Indemnifying Party is diligently
defending the Claim in good faith, the Indemnified Party shall not settle any such Claim without the prior written consent of the Indemnifying Party. If the Indemnifying Party does not assume and conduct the defense of the Claim as provided above,
(a) 

  
 - 28 - 

 
the Indemnified Party may defend against, and consent to the entry of any judgment or enter into any settlement with respect to the Claim in any manner the Indemnified Party may deem reasonably
appropriate (and the Indemnified Party need not consult with, or obtain any consent from, the Indemnifying Party in connection therewith), and (b) the Indemnifying Party will remain responsible to indemnify the Indemnified Party as provided in
this Article 11. 
 11.4 Limitation of Liability. EXCEPT FOR (A) INDIRECT, INCIDENTAL, SPECIAL, PUNITIVE, EXEMPLARY OR
CONSEQUENTIAL DAMAGES PAID OR PAYABLE TO A THIRD PARTY BY AN INDEMNIFYING PARTY FOR WHICH THE INDEMNIFIED PARTY IS ENTITLED TO INDEMNIFICATION HEREUNDER, (B) ANY BREACH OF ANY OF ARTICLE 9 AND SECTIONS 11.1 AND 11.2 OF THIS AGREEMENT BY A PARTY
OR ITS AFFILIATES AND/OR (C) DAMAGES THAT ARE DUE TO THE GROSS NEGLIGENCE OR WILLFUL MISCONDUCT OF THE LIABLE PARTY (INCLUDING GROSS NEGLIGENCE OR WILLFUL BREACH WITH RESPECT TO THE MAKING OF A PARTY’S REPRESENTATIONS AND WARRANTIES IN
ARTICLE 10), IN NO EVENT SHALL EITHER PARTY, ITS DIRECTORS, OFFICERS, EMPLOYEES, AGENTS OR AFFILIATES BE LIABLE TO THE OTHER PARTY FOR ANY INDIRECT, INCIDENTAL, SPECIAL, PUNITIVE, EXEMPLARY OR CONSEQUENTIAL DAMAGES, WHETHER BASED UPON A CLAIM OR
ACTION OF CONTRACT, WARRANTY, NEGLIGENCE, STRICT LIABILITY OR OTHER TORT, OR OTHERWISE, ARISING OUT OF THIS AGREEMENT. 
 12. TERM AND
TERMINATION 
 12.1 Term. This Agreement shall become effective on the Effective Date and, unless earlier terminated pursuant to
this Article 12, shall continue on a Product-by-Product and country-by-country basis until expiration of the Royalty Term (the “Term”). 

12.2 Termination by ContraFect at Will or for Safety Reasons. 

(a) Termination by ContraFect at Will. ContraFect may terminate this Agreement in its entirety effective upon
three (3) months prior written notice to Trellis. 
 (b) Termination by ContraFect for Safety Reasons. ContraFect may
terminate this Agreement on a Product-by-Product and/or country-by-country basis upon written notice to Trellis based on Safety Reasons. If Trellis does not agree with ContraFect’s opinion that ContraFect’s termination was due to Safety
Reasons, such dispute shall be handled in accordance with Section 13.1. If such dispute is resolved pursuant to Section 13.1 in Trellis’s favor, in such case such termination shall be treated as a termination by ContraFect at will
under Section 12.2(a). 
 12.3 Termination by Either Party for Breach. 

(a) Either Party may terminate this Agreement with respect to any Product (on a Product-by-Product basis) as to the entire Territory or
with respect to any country (on a country-by-country basis), in the event the other Party (the “Breaching Party”) materially breaches this Agreement and the Breaching Party fails to cure such breach within ninety (90) days after
receiving written notice of such breach from the non-breaching Party (a “Termination Notice”). 

  
 - 29 - 

 (b) If the alleged breaching Party disputes the existence or materiality of a breach
specified in a Termination Notice provided by the other Party in accordance with Section 12.3(a), and such alleged breaching Party provides the other Party notice of such dispute within said ninety (90) day period after receiving such
Termination Notice, then the other Party shall not have the right to terminate this Agreement under Section 12.3(a) with respect to such country or countries unless and until arbitrators, in accordance with Article 14, have determined that the
alleged breaching Party has materially breached this Agreement with respect to such country or countries and such Party fails to cure such breach within ninety (90) days following such arbitrators’ decision (except to the extent such
breach involves the failure to make a payment when due, which breach must be cured within ten (10) Business Days following such arbitrators’ decision). It is understood and agreed that during the pendency of such dispute, all of the terms
and conditions of this Agreement shall remain in effect and the Parties shall continue to perform all of their respective obligations hereunder. 

12.4 Termination by Either Party for Insolvency. A Party shall have the right to terminate this Agreement upon written notice if the
other Party incurs an Insolvency Event; provided, however, in the case of any involuntary bankruptcy proceeding, such right to terminate shall only become effective if the Party that incurs the Insolvency Event consents to the involuntary
bankruptcy or if such proceeding is not dismissed or stayed within forty-five (45) days after the filing thereof. “Insolvency Event” means circumstances under which a Party (i) has a receiver or similar officer appointed
over all or a material part of its assets or business; (ii) passes a resolution for winding-up of all or a material part of its assets or business (other than a winding-up for the purpose of, or in connection with, any solvent amalgamation or
reconstruction) or a court enters an order to that effect; (iii) has entered against it an order for relief recognizing it as a debtor under any insolvency or bankruptcy laws (or any equivalent order in any jurisdiction); or (iv) enters
into any composition or arrangement with its creditors with respect to all or a material part of its assets or business (other than relating to a solvent restructuring). 

12.5 Effects of Termination of this Agreement by ContraFect under Section 12.2(a) or by Trellis under 12.4. Upon termination of
this Agreement by ContraFect under Section 12.2(a) or by Trellis under Section 12.4, the following shall apply with respect to the terminated Trellis Antibody(s)/Product(s) (in addition to any other rights and obligations under this
Agreement with respect to such termination). 
 (a) Licenses. The licenses granted to ContraFect in Section 5.1 shall terminate. To
the extent such obligations existed prior to such termination, ContraFect shall not have any Commercially Reasonable Efforts obligations thereafter with respect to the Development and Commercialization of the terminated Trellis
Antibody(s)/Product(s). Effective only in such event and subject to the payment of fair and reasonable consideration (which shall be mutually agreed by the Parties), ContraFect will (a) grant to Trellis a non-exclusive, royalty-free, fully paid up
license, with the right to grant sublicenses through multiple tiers, to make, have made, use, sell, offer for sale and import the terminated Trellis Antibody/Products under those Patents, materials, know-how and Information Controlled by ContraFect
and its Affiliates that, at the 

  
 - 30 - 

 
time of such termination, are then practiced or used by ContraFect to make, have made, use, sell, offer for sale and import the terminated Trellis Antibody/Product’ and (b) agrees to
cooperate with Trellis and its designee(s), at Trellis’s sole expense, to facilitate an orderly and prompt transition of the terminated Product(s) Trellis and/or its designee(s) following such termination. If the Parties are unable to agree
what is fair and reasonable consideration for such license, the Parties shall resolve such dispute pursuant to Article 13 (Dispute Resolution). 

(b) Return of Confidential Information. Within thirty (30) days after the termination of the entire Agreement, the Receiving Party
shall destroy all tangible items comprising, bearing or containing any Confidential Information of the Disclosing Party that are in Receiving Party’ or its Affiliates’ possession or control, and provide written certification of such
destruction, or prepare such tangible items of Confidential Information for shipment to the Disclosing Party, as the Disclosing Party may direct, at Trellis’s expense; provided that the Receiving Party may retain one copy of such
Confidential Information for its legal archives, and provided further that the Receiving Party shall not be required to destroy electronic files containing Confidential Information that are made in the ordinary course of its business
information back-up procedures pursuant to its electronic record retention and destruction practices that apply to its own general electronic files and information. 

12.6 Effects of Termination of Agreement by ContraFect under Section 12.3. Upon termination of this Agreement by ContraFect under
Section 12.3 the following shall apply: 
 (a) all licenses granted to ContraFect under this Agreement shall survive but shall
become perpetual, provided that ContraFect continues to fulfill its payment obligations under Article 6; and 
 (b) ContraFect
shall have no further Commercially Reasonable Efforts obligations under Sections 3.1 or 4.2. 
 12.7 Trellis Bankruptcy Events. All
rights and licenses granted under or pursuant to this Agreement by Trellis are, and shall otherwise be deemed to be, for purposes of Section 365(n) of the U.S. Bankruptcy Code, licenses of right to “intellectual property” as defined
under Section 101 of the U.S. Bankruptcy Code. The Parties agree that ContraFect, as the licensee of such rights under this Agreement, shall, subject to ContraFect’s continuing performance under this Agreement, retain and may fully
exercise all of its rights and elections under the U.S. Bankruptcy Code. 
 12.8 Effects of Expiration of Agreement. Upon the
expiration of the Royalty Term (i.e., in the case where there is no earlier termination pursuant to this Article 12), on a Trellis Antibody-by-Trellis Antibody, Product-by-Product and country-by-country basis, the licenses granted to ContraFect
under Article 6 with respect to Trellis Technology shall convert to a worldwide, exclusive, perpetual, irrevocable, fully paid-up, non-royalty-bearing, sublicensable license. 

12.9 Other Remedies. Termination or expiration of this Agreement for any reason shall not release either Party from any liability or
obligation that already has accrued prior to such expiration or termination, nor affect the survival of any provision hereof to the extent it is 

  
 - 31 - 

 
expressly stated to survive such termination. Subject to and without limiting the terms and conditions of this Agreement, expiration or termination of this Agreement shall not preclude any Party
from (a) claiming any other damages, compensation or relief that it may be entitled to upon such expiration or termination, (b) any right to receive any amounts accrued under this Agreement prior to the expiration or termination date but
which are unpaid or become payable thereafter and (c) any right to obtain performance of any obligation provided for in this Agreement which shall survive expiration or termination. 

12.10 Survival. Termination or expiration of this Agreement shall not affect rights or obligations of the Parties under this Agreement
that have accrued prior to the date of termination or expiration of this Agreement. Notwithstanding anything to the contrary, the following provisions shall survive and apply after expiration or termination of this Agreement: Articles 1, 9, 13 and
14 and Sections 6.10 and 6.11 (solely for the three (3)-year period following the last royalty payment received, as well as Sections 7.1, 8.3, 10.3, 11.4, 12.8, 12.9 and 12.10. All provisions not surviving in accordance with the foregoing shall
terminate upon expiration or termination of this Agreement and be of no further force and effect. 
 13. DISPUTE RESOLUTION 

13.1 Disputes. The Parties recognize that disputes as to certain matters may from time to time arise during the Term which relate to
either Party’s rights and/or obligations hereunder. It is the objective of the Parties to establish procedures to facilitate the resolution of disputes arising under this Agreement in an expedient manner by mutual cooperation and without resort
to litigation. To accomplish this objective, the Parties agree to follow the procedures set forth in this Article 13 to resolve any controversy or claim arising out of, relating to or in connection with any provision of this Agreement, if and when a
dispute arises under this Agreement. 
 13.2 Internal Resolution. With respect to all disputes arising between the Parties under this
Agreement, including, without limitation, any alleged breach under this Agreement or any issue relating to the interpretation or application of this Agreement, if the Parties are unable to resolve such dispute within thirty (30) days after such
dispute is first identified by either Party in writing to the other, the Parties shall refer such dispute to the Chief Executive Officers of the Parties (or any senior executive reporting directly to either Party’s Chief Executive Officer) for
attempted resolution by good faith negotiations within thirty (30) days after such notice is received. 
 13.3 Binding
Arbitration. If the Chief Executive Officers of the Parties are not able to resolve such disputed matter within thirty (30) days and either Party wishes to pursue the matter, each such dispute, controversy or claim that is not an Excluded
Claim (defined in Section 13.4 below) shall be finally resolved by binding arbitration administered by American Arbitration Association (“AAA”) pursuant to its Commercial Arbitration Rules and Procedures then in effect (the
“AAA Rules”), and judgment on the arbitration award may be entered in any court having jurisdiction thereof. The Parties agree that: 

(a) The arbitration shall be conducted by a panel of three persons experienced in the pharmaceutical business: within thirty (30) days
after initiation of arbitration, each Party shall select one person to act as arbitrator and the two Party-selected arbitrators shall select a 

  
 - 32 - 

 
third arbitrator within thirty (30) days of their appointment. If the arbitrators selected by the Parties are unable or fail to agree upon the third arbitrator, the third arbitrator shall be
appointed by AAA. The place of arbitration shall be New York, New York, and all proceedings and communications shall be in English. 

(b) Either Party may apply to the arbitrators for interim injunctive relief until the arbitration award is rendered or the controversy
is otherwise resolved. Either Party also may, without waiving any remedy under this Agreement, seek from any court having jurisdiction any injunctive or provisional relief necessary to protect the rights or property of that Party pending the
arbitration award. The arbitrators shall have no authority to award punitive or any other type of damages not measured by a Party’s compensatory damage. Each Party shall bear its own costs and expenses and attorneys’ fees and an equal
share of the arbitrators’ fees and any administrative fees of arbitration regardless of the outcome of such arbitration. 
 (c)
Except to the extent necessary to confirm an award or as may be required by applicable Law, neither a Party nor an arbitrator may disclose the existence, content, or results of an arbitration without the prior written consent of both Parties. In no
event shall an arbitration be initiated after the date when commencement of a legal or equitable proceeding based on the dispute, controversy or claim would be barred by the applicable statute of limitations. 

13.4 Excluded Claim. As used in Section 13.3, the term “Excluded Claim” shall mean a dispute, controversy or
claim that concerns (a) the scope, validity, enforceability, inventorship or infringement of a Patent, trademark or copyright; or (b) any antitrust, anti-monopoly or competition law or regulation, whether or not statutory. 

14. MISCELLANEOUS 

14.1 Entire Agreement; Amendments. This Agreement, including the Exhibits hereto (which are incorporated into and made a part of this
Agreement), sets forth the complete, final and exclusive agreement and all the covenants, promises, agreements, warranties, representations, conditions and understandings between the Parties hereto with respect to the subject matter hereof and
supersedes, as of the Effective Date, all prior agreements and understandings between the Parties with respect to the subject matter hereof, including the Prior MTA. There are no covenants, promises, agreements, warranties, representations,
conditions or understandings, either oral or written, between the Parties other than as are set forth herein and therein. No subsequent alteration, amendment, change or addition to this Agreement shall be binding upon the Parties unless reduced to
writing and signed by an authorized representative of each Party. 
 14.2 Export Control. This Agreement is made subject to any
restrictions concerning the export of products or technical information from the U.S. or other countries which may be imposed upon or related to Trellis or ContraFect from time to time. Each Party agrees that it shall not export, directly or
indirectly, any technical information acquired from the other Party under this Agreement or any products using such technical information to a location or in a manner that at the time of export requires an export license or other governmental
approval, without first obtaining the written consent to do so from the appropriate agency or other governmental entity. 

  
 - 33 - 

 14.3 Force Majeure. Each Party shall be excused from the performance of its obligations
under this Agreement to the extent that such performance is prevented by force majeure (defined below) and the nonperforming Party promptly provides notice of such prevention to the other Party. Such excuse shall be continued so long as the
condition constituting force majeure continues. The Party affected by such force majeure also shall notify the other Party of the anticipated duration of such force majeure, any actions being taken to avoid or minimize its effect after such
occurrence, and shall take reasonable efforts to remove the condition constituting such force majeure. For purposes of this Agreement, “force majeure” shall include conditions beyond the control of the Parties, including an act of
God, acts of terrorism, voluntary or involuntary compliance with any regulation, law or order of any government, war, acts of war (whether war be declared or not), labor strike or lock-out, civil commotion, epidemic, failure or default of public
utilities or common carriers, destruction of production facilities or materials by fire, earthquake, storm or like catastrophe. The payment of invoices due and owing hereunder shall in no event be delayed by the payer because of a force majeure
affecting the payer. 
 14.4 Notices. Any notice required or permitted to be given under this Agreement shall be in writing, shall
specifically refer to this Agreement, and shall be addressed to the appropriate Party at the address specified below or such other address as may be specified by such Party in writing in accordance with this Section, and shall be deemed to have been
given for all purposes (a) when received, if hand-delivered or sent by a reputable international expedited delivery service, or (b) five (5) Business Days after mailing, if mailed by first class certified or registered mail, postage
prepaid, return receipt requested. 
  

			
	For Trellis:	  	Trellis Bioscience
		  	2-B Corporate Center Drive
		  	South San Francisco, CA 94080
		  	(650) 656-1121
		  	Attention: Chief Executive Officer
		
	With a copy to:	  	Cooley LLP
		  	3175 Hanover St.
		  	Palo Alto, CA 94304
		  	Attention: Glen Sato, Esq.
		  	Email: gsato@cooley.com
		
	For ContraFect:	  	ContraFect Corp.
		  	28 Wells Avenue, 3rd Floor
		  	Yonkers, NY 10701
		  	(914) 207-2300
		  	Attention: Chief Executive Officer
		
	With a copy to:	  	Shearman & Sterling LLP
		  	Five Palo Alto Square, Suite 600
		  	Palo Alto, CA 94306
		  	Attention: Richard C. Hsu, Esq.

  
 - 34 - 

 14.5 No Strict Construction; Headings. This Agreement has been prepared jointly and shall
not be strictly construed against either Party. Ambiguities, if any, in this Agreement shall not be construed against any Party, irrespective of which Party may be deemed to have authored the ambiguous provision. The headings of each Article and
Section in this Agreement have been inserted for convenience of reference only and are not intended to limit or expand on the meaning of the language contained in the particular Article or Section. 

14.6 Independent Contractors. Each Party shall act solely as an independent contractor, and nothing in this Agreement shall be
construed to give either Party the power or authority to act for, bind, or commit the other Party in any way. Nothing herein shall be construed to create the relationship of partners, principal and agent, or joint-venture partners between the
Parties. 
 14.7 Assignment. Neither Party may assign this Agreement or assign or transfer any rights or obligations hereunder
without the prior written consent of the other, except that a Party may make such an assignment or transfer without the other Party’s consent (i) to any Affiliate of such Party, or (ii) to any Third Party successor-in-interest or
purchaser of all or substantially all of the business or assets of such Party to which this Agreement relates, whether in a merger, combination, reorganization, sale of stock, sale of assets or other transaction. In addition, either Party may assign
its right to receive proceeds under this Agreement or grant a security interest in such right to receive proceeds under this Agreement to one or more Third Parties providing financing to such Party pursuant to the terms of a security or other
agreement related to such financing (i.e., for purposes of a royalty financing arrangement). Any permitted assignment shall be binding on the successors of the assigning Party. Any assignment or attempted assignment by either Party in violation of
the terms of this Section 14.7 shall be null, void and of no legal effect. For clarity, the provisions of this Section 14.7 shall not apply to or encompass sublicensing of the rights licensed to a Party under this Agreement. 

14.8 Governing Law. This Agreement shall be governed by and construed and enforced under the substantive laws of the State of New York,
excluding any conflicts or choice of law rule or principle that might otherwise make this Agreement subject to the substantive law of another jurisdiction. For clarification, any dispute relating to the inventorship, scope, validity, enforceability
or infringement of any patent right shall be governed by and construed and enforced in accordance with the patent laws of the applicable jurisdiction. 

14.9 Further Actions. Each Party agrees to execute, acknowledge and deliver such further instruments, and to do all such other acts, as
may be necessary or appropriate in order to carry out the purposes and intent of this Agreement. 
 14.10 Compliance with Applicable
Law. Each Party shall comply with Applicable Law in the course of performing its obligations or exercising its rights pursuant to this Agreement. Neither Party (nor any of their Affiliates) shall be required under this Agreement to take any
action or to omit to take any action otherwise required to be taken or omitted by it under this Agreement if the taking or omitting of such action, as the case may be, could in its opinion violate any settlement, consent order or decree, corporate
integrity agreement, or judgment to which it may be subject from time to time during the Term. Notwithstanding anything to the contrary in this Agreement, neither Party nor any of its Affiliates shall be required to take, or shall be penalized for
not taking, any action that such Party reasonably believes is not in compliance with Applicable Law. 

  
 - 35 - 

 14.11 Severability. If any one or more of the provisions of this Agreement are held to be
invalid or unenforceable by an arbitrator or any court of competent jurisdiction from which no appeal can be or is taken, the provision shall be considered severed from this Agreement and shall not serve to invalidate any remaining provisions
hereof. The Parties shall make a good faith effort to replace any invalid or unenforceable provision with a valid and enforceable one such that the objectives contemplated by the Parties when entering this Agreement may be realized. 

14.12 No Waiver. Neither Party may waive or release any of its rights or interests in this Agreement except in writing. The failure of
either Party to assert a right hereunder or to insist upon compliance with any term or condition of this Agreement shall not constitute a waiver of that right or excuse a similar subsequent failure to perform any such term or condition. No waiver by
either Party of any condition or term in any one or more instances shall be construed as a continuing waiver of such condition or term or of another condition or term. 

14.13 Counterparts. This Agreement may be executed in counterparts with the same effect as if both Parties had signed the same
document, each of which shall be deemed an original, shall be construed together and shall constitute one and the same instrument. This Agreement may be executed and delivered through the email of pdf copies of the executed Agreement. 

[signature page follows] 

  
 - 36 - 

 IN WITNESS WHEREOF, the
Parties have caused this Agreement to be executed by their duly authorized representatives effective as of the Effective Date. 
  

									
	TRELLIS BIOSCIENCE LLC	 		 	CONTRAFECT CORP.
					
	By:	 	/s/ Stefan Ryser, Ph.D.	 		 	By:	 	/s/ Julia P. Gregory
		 	  
	 		 		 	  

					
	Name:	 	Stefan Ryser, Ph.D.	 		 	Name:	 	Julia P. Gregory
		 	  
	 		 		 	  

					
	Title:	 	President & CEO	 		 	Title:	 	Chief Executive Officer
		 	  
	 		 		 	  

 Exhibit A 

Trellis Antibodies 
  

											
	 Antibody

Designator *
	  	 Influenza

Type
	  	 Sequence
	  	 Bacterial

Stock
	  	 Plasmid

DNA
	  	 Protein

	INF 1	  	A, Group I	  	X	  	X	  		  	
	INF 8	  	A, Group I	  	X	  	X	  		  	
	INF 30	  	A, Group I	  	X	  	X	  		  	
	INF 42	  	A, Group I	  	X	  	X	  		  	
	INF 48	  	A, Group I	  	X	  		  	X	  	
	INF 49	  	A, Group I	  	X	  	X	  		  	
	INF 52	  	A, Group I	  	X	  	X	  		  	
	TRL053	  	A, Group I	  	X	  	X	  	X	  	D
	INF 82	  	A, Group I	  	X	  		  	X	  	
	INF 285	  	A, Group II	  	X	  	X	  		  	
	INF 322	  	A, Group II	  	X	  	X	  		  	
	INF 369	  	A, Group II	  	X	  		  		  	
	INF 375	  	A, Group II	  	X	  	X	  		  	
	INF 376	  	A, Group II	  	X	  	X	  		  	
	INF 377	  	A, Group II	  	X	  	X	  		  	
	INF 378	  	A, Group II	  	X	  	X	  		  	
	INF 383	  	A, Group II	  	X	  	X	  	X	  	
	INF 440	  	A, Group II	  	X	  	X	  		  	
	INF 442	  	A, Group II	  	X	  	X	  		  	
	INF 455	  	A, Group II	  	X	  	X	  	X	  	
	INF 457	  	A, Group II	  	X	  	X	  		  	
	INF 459	  	A, Group II	  	X	  	X	  		  	
	INF 460	  	A, Group II	  	X	  	X	  		  	
	INF 464	  	A, Group II	  	X	  	X	  		  	
	INF 473	  	A, Group II	  	X	  		  		  	
	INF 486	  	A, Group II	  	X	  	X	  	X	  	
	INF 518	  	A, Group II	  	X	  	X	  		  	
	INF 560	  	A, Group II	  	X	  	X	  		  	
	TRL579	  	A, Group II	  	X	  	X	  	X	  	D
	INF 595	  	A, Group II	  	X	  	X	  		  	
	INF 604	  	A, Group II	  	X	  	X	  		  	
	INF 619	  	A, Group II	  	X	  	X	  		  	
	INF 620	  	A, Group II	  	X	  	X	  		  	
	INF 629	  	A, Group II	  	X	  	X	  		  	
	INF 634	  	A, Group II	  	X	  	X	  		  	
	INF 635	  	A, Group II	  	X	  	X	  		  	
	INF 641	  	A, Group II	  	X	  	X	  		  	
	INF 642	  	A, Group II	  	X	  	X	  		  	

  

											
	 Antibody

Designator *
	  	 Influenza

Type
	  	 Sequence
	  	 Bacterial

Stock
	  	 Plasmid

DNA
	  	 Protein

	INF 646	  	A, Group II	  	X	  	X	  		  	
	INF 648	  	A, Group II	  	X	  	X	  		  	
	INF 655	  	A, Group II	  	X	  	X	  		  	
	INF 662	  	A, Group II	  	X	  	X	  		  	
	INF 663	  	A, Group II	  	X	  	X	  		  	
	INF 669	  	A, Group II	  	X	  	X	  		  	
	INF 670	  	A, Group II	  	X	  	X	  		  	
	INF 699	  	A, Group II	  	X	  	X	  		  	
	INF 700	  	A, Group II	  	X	  	X	  		  	
	INF 708	  	A, Group II	  	X	  	X	  		  	
	INF 710	  	A, Group II	  	X	  	X	  		  	
	INF 711	  	A, Group II	  	X	  	X	  		  	
	INF 723	  	A, Group II	  	X	  	X	  		  	
	INF 763	  	A, Group II	  	X	  	X	  		  	
	INF 778	  	A, Group II	  	X	  	X	  		  	
	TRL784	  	B	  	X	  		  	D	  	D
	TRL794	  	B	  	X	  		  	D	  	D
	TRL798	  	B	  	X	  		  	D	  	
	TRL799	  	B	  	X	  		  	D	  	D
	TRL809	  	B	  	X	  		  	D	  	D
	TRL811	  	B	  	X	  		  	D	  	D
	TRL812	  	B	  	X	  		  	D	  	D
	TRL813	  	B	  	X	  		  	D	  	D
	TRL823	  	B	  	X	  		  	D	  	
	TRL832	  	B	  	X	  		  	D	  	D
	TRL833	  	B	  	X	  		  	D	  	D
	TRL834	  	B	  	X	  		  	D	  	
	TRL835	  	B	  	X	  		  	D	  	D
	TRL837	  	B	  	X	  		  	D	  	D
	TRL839	  	B	  	X	  		  	D	  	D
	TRL841	  	B	  	X	  		  	D	  	
	TRL842	  	B	  	X	  		  	D	  	D
	TRL845	  	B	  	X	  		  	D	  	D
	TRL846	  	B	  	X	  		  	D	  	
	TRL847	  	B	  	X	  		  	D	  	D
	TRL848	  	B	  	X	  		  	D	  	D
	TRL849	  	B	  	X	  		  	D	  	D
	TRL851	  	B	  	X	  		  	D	  	
	INF579/53Bi.1	  	bi-specific A	  	X	  	X	  	D	  	

  

	*	INF prefix used interchangeably with “MAB” prefix in internal documentation 

	**	Formerly designated as MAB 53 and MAB 579 

  

			
	D = already delivered to ContraFect	  	X = to be delivered to ContraFect

  

 Exhibit B 

Joint Press Release 

  

 Exhibit C 

Trellis Patents 
 Status
Report for Trellis Bioscience, Inc. 
 Client Number:38851 

Friday, January 17, 2014 
  

																			
	 MoFo Docket#

Client Ref #
	  	 Country
	  	 Title
	  	 App # Filing
Date
	  	 Patent #

Grant

Date
	  	 Parent #
Filing Date
	  	 Category
	  	 Inventor(s)
	  	 Owner
	  	 Status

	38851-20128.00	  	 US
 United States
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	13/163,489
 06-17-2011
	  		  		  	Normal	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
 BO CHEN

YING-PING JIANG
 INC. TRELLIS BIOSCIENCE
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.40	  	 PCT
 International

(PCT)
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	PCT/US2011/
 040982
 06-17-2011
	  		  	61/443,103
 02-15-2011
	  	Normal	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.41	  	AU Australian	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	2011268072
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
LLC	  	Filed
	38851-20128.42	  	 BR
 Brazilian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	11201203218
 54
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.43	  	 CA
 Canadian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	PENDING
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed

  
 - 1 - 

																			
	 MoFo Docket#

Client Ref #
	  	 Country
	  	 Title
	  	 App # Filing
Date
	  	 Patent #

Grant

Date
	  	 Parent #
Filing Date
	  	 Category
	  	 Inventor(s)
	  	 Owner
	  	 Status

	38851-20128.44	  	 CN
 Chinese
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	20118003592
 35
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.45	  	 EP
 European
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	117965558
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.46	  	 IL
 Israeli
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	223666
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.47	  	 IN
 Indian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	232CHENP20
 13
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.48	  	 JP
 Japanese
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	2013515568
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.49	  	 KR
 South Korean
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	10201370012
 92
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.50	  	 RU
 Russian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	2013102073
 06-17-2011
	  		  	PCT/
 US2011/040982
 06-17-2011
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed
	38851-20128.51	  	 HK
 Hong Kong
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	131119591
 06-17-2011
	  		  	117965558
 06-17-2011
	  	Re-
registration
of Foreign
Registration	  	 LAWRENCE M. KAUVAR
 STOTE ELLSWORTH

WILLIAM USINGER
 KRISTA M. MCCUTCHEON

MINHA PARK
	  	Trellis
Bioscience,
Inc.	  	Filed

  
 - 2 - 

																			
	 MoFo Docket#

Client Ref #
	  	 Country
	  	 Title
	  	 App # Filing
Date
	  	 Patent #

Grant

Date
	  	 Parent #
Filing Date
	  	 Category
	  	 Inventor(s)
	  	 Owner
	  	 Status

	38851-20129.00	  	 US
 United States
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.40	  	 PCT
 International

(PCT)
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	PCT/
 US2012/068037
 12-06-2012
	  		  		  	Normal	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Filed
	38851-20129.41	  	 AU
 Australian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.42	  	 BR
 Brazilian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.43	  	 CA
 Canadian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.44	  	 CN
 Chinese
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.45	  	 EP
 European
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed

  
 - 3 - 

																			
	 MoFo Docket#

Client Ref #
	  	 Country
	  	 Title
	  	 App # Filing
Date
	  	 Patent #

Grant

Date
	  	 Parent #
Filing Date
	  	 Category
	  	 Inventor(s)
	  	 Owner
	  	 Status

	38851-20129.46	  	 IN
 Indian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.47	  	 IL
 Israeli
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.48	  	 JP
 Japanese
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.49	  	 KR
 South Korean
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-20129.50	  	 RU
 Russian
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  	12-06-2012	  		  	PCT/
 US2012/068037
 12-06-2012
	  	PCT
 National
 Phase
	  	 LAWRENCE M. KAUVAR
 STOTE
ELLSWORTH
 WILLIAM USINGER
 KRISTA MAUREEN

MCCUTCHEON
 MINHA PARK
	  		  	Docketed
	38851-30133.00	  	 US
 United States
	  	ANTIBODIES USEFUL IN PASSIVE INFLUENZA IMMUNIZATION	  		  		  		  	Provisional	  	LAWERENCE M. KAUVAR	  		  	Docketed

  
 - 4 -

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00232-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00232-of-00352.parquet"}]]