Document:

EX-10.1

 Exhibit 10.1 

Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Exchange Act of
1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 
  

 
 STATE OF TEXAS 
 COUNTY OF
TRAVIS 
 This CANCER RESEARCH GRANT CONTRACT (“Contract”) is by and between the Cancer Prevention and Research Institute of
Texas (“CPRIT”), hereinafter referred to as the “INSTITUTE”, acting through its Chief Executive Officer, and Ruga Corporation, hereinafter referred to as the “RECIPIENT”,
acting through its authorized signing official. 
 RECITALS 

WHEREAS, pursuant to TEX. HEALTH & SAFETY CODE, Ch. 102, the INSTITUTE may make grants to public and private persons in this state for research into
the causes and cures for all types of cancer in humans; facilities for use in research into the causes and cures for cancer; research to develop therapies, protocols, medical pharmaceuticals, or procedures for the cure or substantial mitigation of
all types of cancer; and cancer prevention and control programs. 
 WHEREAS, Article III, Section 67 of the Texas Constitution expressly authorizes the
State of Texas to sell general obligation bonds on behalf of the INSTITUTE and for the INSTITUTE to use the proceeds from the sale of the bonds for the purposes of cancer research and prevention programs in this state. 

WHEREAS, the INSTITUTE issued a request for applications for RFA P-15-NEWCO-4: New Company Product Development Awards on or about January 2015. 
 WHEREAS, pursuant to TEX.
HEALTH & SAFETY CODE § 102.251, and after a review by the INSTITUTE’s scientific research and prevention program committees, the INSTITUTE has approved a Grant (defined below) to be awarded to the RECIPIENT. 

WHEREAS, to ensure that the Grant provided to the RECIPIENT pursuant to this Contract is utilized in a manner consistent with Tex. Const. Article III,
Section 67 and other laws, and in exchange for receiving such Grant, the RECIPIENT agrees to comply with certain conditions and deliver certain performance. 

WHEREAS, the RECIPIENT and the INSTITUTE desire to set forth herein the provisions relating to the awarding of such monies and the disbursement thereof to the
RECIPIENT. 
 IN CONSIDERATION of the Grant and the premises, covenants, agreements, and provisions contained in this Contract, the parties agree to
the following terms and conditions: 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Article I 

DEFINITIONS 
 The following terms shall
have the following meaning throughout this Contract and any Attachments and amendments. Other terms may be defined elsewhere in this Contract. 
 (1)
Collaborator-any entity other than the RECIPIENT having one or more personnel participating in the Project and (a) designated as a collaborator in the application submitted by the RECIPIENT requesting the Grant funds awarded by
the INSTITUTE, or (b) otherwise approved in writing as a collaborator by the INSTITUTE. 
 (2) Contractor-any person or entity, other than
a Collaborator or the RECIPIENT (or their respective personnel), who is contracted by the RECIPIENT to perform activities for the Project. 
 (3)
Equipment-an article of tangible, nonexpendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. 

(4) Grant-the funding assistance authorized by TEX. HEALTH & SAFETY CODE, Ch. 102 in the amount specified in Section 2.01 and
awarded by the INSTITUTE to the RECIPIENT to carry out the Project pursuant to the terms and conditions of this Contract. 
 (5) Indirect
Costs-the expenses of doing business that are not readily identified with a particular grant, contract, project, function or activity, but are necessary for the general operation of the organization or the performance of the
organization’s activities. 
 (6) Institute-Funded Activity-all aspects of work conducted on or as part of the Project. 

(7) Non-Profit Organization-a university or other institution of higher education or an organization of
the type described in 501(c)(3) of the Internal Revenue Code of 1986, as amended (26 U.S.C. 501 (c)(3)) and exempt from taxation under 501 (a) of the Internal Revenue Code (26 U.S.C. 501 (a)) or any nonprofit scientific or educational organization
qualified under a state nonprofit organization statute. 
 (8) Principal Investigator/Program Director-the individual designated by the
RECIPIENT to direct the Project who is principally responsible and accountable to the RECIPIENT and the INSTITUTE for the proper conduct of the Project. References herein to “Principal Investigator/Program Director” include Co-Principal
Investigators or Co-Program Directors as well. The Principal Investigator/Program Director and Co-Principal Investigators or
Co-Program Directors are set forth on Attachment A. 
 (9) Project-the activities specified or
generally described in the Scope of Work or otherwise in this Contract (including without limitation any of the Attachments to the Contract) that are approved by the INSTITUTE for funding, regardless of whether the INSTITUTE funding constitutes all
or only a portion of the financial support necessary to carry them out. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 (10) Recipient Personnel-The RECIPIENT ’s Principal Investigator/Program Director and
RECIPIENT’s employees and consultants working on the Project. 
 Article II 

GRANT AWARD 

Section 2.01 Award of Monies. In accordance with the provisions of this Contract and any applicable agency administrative rules, the
INSTITUTE shall disburse the proceeds of the Grant to the RECIPIENT in an amount not to exceed $20,000,000 to be used solely for the Project. This award is subject to compliance with the Scope of Work and demonstration of progress towards
achievement of the milestones set forth in Section 2.02. This Grant is not intended to be a loan of money. 
 Section 2.02 Scope
of Work and Milestones. The RECIPIENT shall perform the Project in accordance with this Agreement and as outlined in Application DP150127 submitted by the RECIPIENT and approved by the INSTITUTE. The RECIPIENT shall conduct the Project
within the State of Texas with Texas-based employees, Contractors and/or Collaborators unless otherwise specified in the Scope of Work or the Approved Budget. The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment A in their entirety,
incorporate them as if fully set forth herein, and agree that the Project description, goals, timeline and milestones included as Attachment A accurately reflect the Scope of Work of the Project to be undertaken by the RECIPIENT (the
“Scope of Work”) and the milestones expected to be achieved. RECIPIENT and the INSTITUTE mutually agree that the outcome of scientific research is unpredictable and cannot be guaranteed. The RECIPIENT shall use commercially
reasonable efforts to complete the goals of the Project pursuant to the timeline reflected in Attachment A and shall timely notify the INSTITUTE if circumstances occur that materially and adversely affect completion thereof. Modifications, if any,
to the Scope of Work must be agreed to in writing by both parties as set forth in Section 2.06 “Amendments and Modifications” herein. Material changes to the Scope of Work include, but are not limited to, changes in key personnel
involved with the Project, the site of the Project, and the milestones expected to be achieved. 
 Section 2.03 Contract Term. The
Contract shall be effective as of June 01, 2016 (the “Effective Date”) and terminate on May 31, 2019 or in accordance with the Contract termination provisions set forth in Article VIII herein,
whichever shall occur first (the “Termination Date”). Unless otherwise approved by the INSTITUTE as evidenced by written communication from the INSTITUTE to the RECIPIENT and appended to the Contract, Grant funds distributed
pursuant to the Contract shall be expended no earlier than the Effective Date or subsequent to the Termination Date. If, as of the Termination Date, the RECIPIENT has not used Grant money awarded by the INSTITUTE for permissible services, expenses,
or costs related to the Project and has not received approval from the INSTITUTE for a no cost extension to the contract term pursuant to Section 3.11 “Carry Forward of Unspent Funds and No Cost Extension” herein, then the RECIPIENT
shall not be entitled to retain such unused Grant funds from the INSTITUTE. Certain obligations as set forth in Section 9.09 of this Contract shall extend beyond the Termination Date. 

Section 2.04 Contract Documentation. The Contract between the INSTITUTE and the RECIPIENT shall consist of this final, executed
Contract, including the following Attachments to the Contract, all of which are hereby incorporated by reference: 
  

	 	(a)	 Attachment A – Project Description, Goals and Timeline 

 

	 	(b)	 Attachment B – Approved Budget, including changes approved by the INSTITUTE subsequent to execution of the
Contract. 

  

	 	(c)	 Attachment C – Assurances and Certifications 

 

	 	(d)	 Attachment D – Intellectual Property and Revenue Sharing 

 

	 	(e)	 Attachment E – Reporting Requirements 

 

	 	(f)	 Attachment F – Approved Amendments to Contract, excluding budget amendments reflected in Attachment B.

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 2.05 Entire Agreement. All agreements, covenants, representations,
certifications and understandings between the parties hereto concerning this Contract have been merged into this written Contract. No prior contemporaneous representation, agreement or understanding, express or implied, oral or otherwise, of the
parties or their agents that may have related to the subject matter hereof in any way shall be valid or enforceable unless embodied in this Contract. 

Section 2.06 Amendments and Modifications. Requested amendments and modifications to the Contract must be submitted in writing to
the INSTITUTE for review and approval (such approval shall not be unreasonably withheld.) Amendments and modifications (including alterations, additions, deletions, assignments and extensions) to the terms of this Contract shall be made solely in
writing and shall be executed by both parties. The approved amendment shall be reflected in Attachment A if it is change to the Scope of Work, or as part of Attachment B if it is a budget amendment, or as part of Attachment F for all other changes.

 Section 2.07 Relationship of the Parties. The RECIPIENT shall be responsible for the conduct of the Project that is the subject
of this Contract and shall direct the activities and at all times be responsible for the performance of Recipient Personnel, Collaborators, Contractors and other agents. The INSTITUTE does not assume responsibility for the conduct of the Project or
any Institute-Funded Activity that is the subject of this Contract. The INSTITUTE and the RECIPIENT shall perform their respective obligations under this Contract as independent contractors and not as agents, employees, partners, joint venturers, or
representatives of the other party. Neither party is permitted to make representations or commitments that bind the other party. 

Section 2.08 Subcontracting. Any and all subcontracts entered into by the RECIPIENT in relation to the performance of activities
under the Project shall be in writing and shall be subject to the requirements of this Contract. Without in any way limiting the foregoing, the RECIPIENT shall enter into and maintain a written agreement with each such permitted Contractor with
terms and conditions sufficient to ensure the RECIPIENT fully complies with the terms of this Contract, including without limitation the terms set forth in Attachments C, D, and E. The RECIPIENT agrees that it shall be responsible to the INSTITUTE
for the performance of and payment to any Contractor. Any reimbursements made by the RECIPIENT to a Contractor shall be made in accordance with the applicable provisions of TEX. GOV’T. CODE, Ch. 2251. 

Section 2.09 Transfer or Assignment by the Recipient. This Contract is not transferable or otherwise assignable by the RECIPIENT,
whether by operation of law or otherwise, without the prior written consent of the INSTITUTE, except as provided in this Section 2.09. Any such attempted transfer or assignment without the prior written consent of the INSTITUTE (except as
provided in this Section 2.09) shall be null, void and of no effect. For purposes of this section, an assignment or transfer of this Contract by the RECIPIENT in connection with a merger, transfer or sale of all or substantially all of the
RECIPIENT’s assets or business related to this Contract or a consolidation, change of control or similar transaction involving the RECIPIENT shall not be deemed to constitute a transfer or assignment, so long as such action does not impair or
otherwise negatively impact the revenue sharing terms in Attachment D. Nothing herein shall be interpreted as superseding the requirement that the Project be undertaken in Texas with Texas-based employees. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 If the Principal Investigator leaves the employment of the RECIPIENT or is replaced by the RECIPIENT for any
reason during the course of the Grant with someone who is not already designated a co-Principal Investigator in the Application, the RECIPIENT shall notify the INSTITUTE prior to replacing the Principal
Investigator. Written approval by the INSTITUTE is required for the replacement of the Principal Investigator with someone who is not already a co-Principal Investigator in the Application, which approval
shall not be unreasonably withheld, conditioned or delayed. 
 Section 2.10 Representations and Certifications. The RECIPIENT
represents and certifies to the best of its knowledge and belief to the INSTITUTE as follows: 
 (a) It has legal authority to enter into, execute, and
deliver this Contract, and all documents referred to herein, and it has taken all actions necessary to its execution and delivery of such documents; 
 (b)
It will comply with all of the terms, conditions, provisions, covenants, requirements, and certifications in this Contract, applicable statutory provisions, agency administrative rules, and all other documents incorporated herein by reference; 

(c) It has made no material false statement or misstatement of fact in connection with this Contract and its receipt of the Grant, and all of the information
it previously submitted to the INSTITUTE or that it is required under this Contract to submit to the INSTITUTE relating to the Grant or the disbursement of any of the Grant is and will be true and correct at the time such statement is made; 

(d) It is in compliance in all material respects with provisions of its charter and of the laws of the State of Texas, and of the laws of the jurisdiction in
which it was formed, and (i) there are no actions, suits, or proceedings pending, or threatened, before any judicial body or governmental authority against or affecting its ability to enter into this Contract, or any document referred to
herein, or to perform any of the material acts required of it in such documents and (ii) it is not in default with respect to any order, writ, injunction, decree, or demand of any court or any governmental authority which would impair its
ability to enter into this Contract, or any document referred to herein, or to perform any of the material acts required of it in such documents; 
 (e)
Neither the execution and delivery of this Contract or any document referred to herein, nor compliance with any of the terms, conditions, requirements, or provisions contained in this Contract or any documents referred to herein, is prevented by, is
a breach of, or will result in a breach of, any term, condition, or provision of any agreement or document to which it is now a party or by which it is bound; and 

(f) It shall furnish such satisfactory evidence regarding the representations and certifications described herein as may be required and requested by the
INSTITUTE from time to time. 
 Section 2.11 Reliance upon Representations. By awarding the Grant and executing this Contract, the
INSTITUTE is relying, and will continue to rely throughout the term of this Contract, upon the truthfulness, accuracy, and completeness of the RECIPIENT ’s written assurances, certifications and representations. Moreover, the INSTITUTE would
not have entered into this Contract with the RECIPIENT but for such written assurances, certifications and representations. The RECIPIENT acknowledges that the INSTITUTE is relying upon such assurances, certifications and representations and
acknowledges their materiality and significance. 
 Section 2.12 Contingent upon Availability of Grant Funds. This Contract is
contingent upon funding being available for the term of the Contract and the RECIPIENT shall have no right of action against the INSTITUTE in the event that the INSTITUTE is unable to perform its obligations under this Contract as a result of the
suspension, termination, withdrawal, or failure of funding to the INSTITUTE or lack of sufficient funding of the INSTITUTE for this Contract. If funds become unavailable to the INSTITUTE during the term of the Contract, Section 8.01(c) shall
apply. For the sake of clarity, and except as otherwise provided by this Contract, if this Contract is not funded, then both parties are relieved of all of their obligations under this Contract. The INSTITUTE acknowledges and agrees that the Project
is a multiyear project subject to Tex. Health & Safety Code, Ch. 102, Section 102.257. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 2.13 Confidentiality of Documents and Information. In connection with work
contemplated for the Project or pursuant to complying with various provisions of this Contract, the RECIPIENT may disclose its confidential business, financial, technical, scientific information and other information to the INSTITUTE
(“Confidential Information”). To assist the INSTITUTE in identifying such information, the RECIPIENT shall mark or designate the information as “confidential,” provided however that the failure to so designate does not operate as
a waiver to protections provided by applicable law or this Contract. The INSTITUTE shall use no less than reasonable care to protect the confidentiality of the Confidential Information to the fullest extent permissible under the Texas Public
Information Act, Texas Government Code, Chapter 552 (the “TPIA”), and, except as otherwise provided in the TPIA to prevent the disclosure of the Confidential Information to third parties for a period of time equal to three
(3) years from the termination of the contract, unless the INSTITUTE and the RECIPIENT agree in writing to extend such time period, provided that this obligation shall not apply to information that: 

(a) was in the public domain at the time of disclosure or later became part of the public domain through no act or omission of the INSTITUTE in breach of this
Contract; 
 (b) was lawfully disclosed to the INSTITUTE by a third party having the right to disclose it without an obligation of confidentiality; 

(c) was already lawfully known to the INSTITUTE without an obligation of confidentiality at the time of disclosure; 

(d) was independently developed by the INSTITUTE without using or referring to the RECIPIENT’s Confidential Information; or 

(e) is required by law or regulation to be disclosed. 
 The
INSTITUTE shall hold the Confidential Information in confidence, shall not use such Confidential Information except as provided by the terms of this Contract, and shall not disclose such Confidential Information to third parties without the prior
written approval of the RECIPIENT or as otherwise allowed by the terms of the Contract. Subject in all respects to the terms of this Contract and the TPIA, the INSTITUTE has the right to use and disclose the Confidential Information reasonably in
connection with the exercise of its rights under the Contract. 
 In the event that the INSTITUTE is requested or required (by oral questions,
interrogatories, requests for information or documents in legal proceedings, subpoena, civil investigative demand or other similar process by a court of competent jurisdiction or by any administrative, legislative, regulatory or self-regulatory
authority or entity) to disclose any Confidential Information, the INSTITUTE shall provide the RECIPIENT with prompt written notice of any such request or requirement so that the RECIPIENT may seek a protective order or other appropriate remedy. If,
in the absence of a protective order or other remedy, the INSTITUTE is nonetheless legally compelled to make any such disclosure of Confidential Information to any person, the INSTITUTE may, without liability hereunder, disclose only that portion of
the Confidential Information that is legally required to be disclosed, provided that the INSTITUTE will use reasonable efforts to assist the RECIPIENT, at the RECIPIENT’s expense, in obtaining an appropriate protective order or other reliable
assurance that confidential treatment will be accorded the Confidential Information. To the extent that such Confidential Information does not become part of the public domain by virtue of such disclosure, it shall remain Confidential Information
hereunder. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Article III 

DISBURSEMENT OF GRANT AWARD PROCEEDS 

Section 3.01 Payment of Grant Award Proceeds. The INSTITUTE will advance Grant award proceeds upon request by the RECIPIENT,
consistent with the amounts and schedule as provided in Attachment B. If the RECIPIENT does not request or the Oversight Committee does not authorize advancement of funds for some or the entire Grant award proceeds, disbursement of Grant award
proceeds for services performed and allowable expenses and costs incurred pursuant to the Scope of Work will be on a reimbursement basis. To the extent that completion of certain milestones is associated with a specific tranche of funding as
reflected in the Scope of Work, those milestones shall be accomplished before funding may be provided for next tranche of funding. The INSTITUTE reserves the right to terminate the Contract should a key milestone not be met. 

Section 3.02 Requests for Reimbursement and Quarterly Financial Status Reports. If the RECIPIENT does not receive an advance
disbursement of Grant proceeds, the RECIPIENT ’s requests for reimbursement shall be made on INSTITUTE Form 269a (Financial Status Report). If the RECIPIENT has elected to receive an advance disbursement of Grant proceeds, RECIPIENT shall
submit INSTITUTE Form 269a (Financial Status Report) to document all costs and allowable expenses paid with Grant proceeds. The RECIPIENT shall submit the INSTITUTE Form 269a quarterly to the INSTITUTE within 90 days following the end of the quarter
covered by the bill. A final INSTITUTE Form 269a shall be submitted by RECIPIENT not later than 90 days after the Termination Date. An extension of time for submission deadlines specified herein must be expressly authorized in writing by the
INSTITUTE. 
 Section 3.03 Actual Costs and Allowable Expenses. Because the Approved budget for the Project(s) as set forth in
Attachment B is only an estimate, the parties agree that the RECIPIENT’s billings under this Contract will reflect the actual costs and expenses incurred in performing the Project(s), regardless of the Approved Budget, up to the total
contracted amount specified in Section 2.01 “Award of Monies.” The RECIPIENT shall use Grant proceeds only for allowable expenses consistent with state law and agency administrative rules. Allowable expenses for the Project(s) shall
be only as outlined in the Approved Budget and any modifications to same. 
 Section 3.04 Travel Expenses. Reimbursement for
travel expenditures shall be in accordance with the Approved Budget. Prior written approval from the INSTITUTE must be obtained before travel that exceeds the amount included in the Approved Budget commences. Failure to obtain such prior written
approval shall result in such excess travel costs constituting expenses that may not be taken into account for the purposes of calculating expenditure of Grant funds under this Contract. 

Section 3.05 Budget Modifications. The total Approved Budget and the assignment of costs may be adjusted based on implementation of
the Scope of Work, spending patterns, and unexpended funds, but only by an amendment to the Approved Budget. In no event shall an amendment to the Approved Budget result in payments in excess of the aggregate amount specified in Section 2.01
“Award of Monies” or in approved supplemental funding for the Project, if any. The RECIPIENT may make transfers between or among lines within budget categories without prior written approval provided that: 

 

	 	(a)	 The total dollar amount of all changes of any single line item within budget categories (individually and in
the aggregate) is less than 10% of the total Approved Budget; 

  

	 	(b)	 The transfer will not increase or decrease the total Approved Budget; 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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	 	(c)	 The transfer will not materially change the nature, performance level, or Scope of Work of the Project; and

  

	 	(d)	 The RECIPIENT submits a revised copy of the Approved Budget including a narrative justification of the changes
prior to incurring costs in the new category. 

 All other budget changes or transfers require the INSTITUTE’s express prior written
approval. Transfer of funds between categories in the Project’s Approved Budget may be allowed if requests are in writing, fit within the Scope of Work and the total Approved Budget, are beneficial to the achievement of the objectives of the
Project, and appear to be an efficient, effective use of the INSTITUTE’s funds. 
 Section 3.06 Withholding Payment. The
INSTITUTE may withhold Grant award proceeds from RECIPIENT if required Financial Status Reports (Form 269a) are not on file for previous quarters or for the final period, if material program requirements are not met and remain uncured after a
reasonable time period to cure, if the RECIPIENT is in breach of any material term of this Contract, or in accordance with provisions of this Contract as well as applicable state or federal laws, regulations or administrative rules, and the breach
remains uncured after a reasonable time period to cure. The INSTITUTE shall have the right to withhold all or part of any future payments to the RECIPIENT to offset any prior advance payments made to the RECIPIENT for ineligible expenditures that
have not been refunded to the INSTITUTE by the RECIPIENT. 
 Section 3.07 Grant Funds as Supplement to Budget. The RECIPIENT shall
use the Grant proceeds awarded pursuant to this Contract to supplement its overall budget. These funds will in no event supplant existing funds currently available to the RECIPIENT that have been previously budgeted and set aside for the Project.
The RECIPIENT will not bill the INSTITUTE for any costs under this Contract that also have been billed or should have been billed to any other funding source. 

Section 3.08 Buy Texas. The RECIPIENT shall apply good faith efforts to purchase goods and services from suppliers in Texas to the
extent reasonably possible, to achieve a goal of more than 50 percent of such purchases from suppliers in Texas. 
 Section 3.09
Historically Underutilized Businesses. The RECIPIENT shall use reasonable efforts to purchase materials, supplies or services from a Historically Underutilized Business (HUB). The Texas Procurement and Support Services website will assist in
finding HUB vendors (http://www.window.state.tx.us/procurement.) The RECIPIENT shall complete a HUB report with each annual report submitted to the INSTITUTE in accordance with Attachment E. 

Section 3.10 Limitation on Use of Grant Award Proceeds to Pay Indirect Costs. The RECIPIENT shall not spend more than five percent
of the Grant award proceeds for Indirect Costs. 
 Section 3.11 Carry Forward of Unspent Funds and No Cost Extension. RECIPIENT
may request to carry forward unspent funds into the budget for the next year. Carryover of unspent funds must be specifically approved by the INSTITUTE. The INSTITUTE may approve a no cost extension for the Contract for a period not to exceed six
(6) months after the Termination Date if additional time beyond the Termination date is required to ensure adequate completion of the approved project. The Contract must be in good fiscal and programmatic standing. All terms and conditions of
the Contract shall continue during any extension period and if such extension is approved, notwithstanding Section 2.03, all references to the “Termination Date” shall be deemed to mean the date of expiration of such extension period.

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Article IV 

AUDITS AND INSPECTIONS 

Section 4.01 Record Keeping. The RECIPIENT, each Collaborator whose costs are funded in all or in part by the Grant shall maintain
or cause to be maintained books, records, documents and other evidence (electronic or otherwise) pertaining in any way to its performance under and compliance with the terms and conditions of this Contract (“Records”). The
RECIPIENT, each Collaborator and each Contractor shall use, or shall cause the entity which is maintaining such Records to use generally accepted accounting principles in the maintenance of such Records, and shall retain or require to be retained
all of such Records for a period of three (3) years from the Termination Date of the Contract. 
 Section 4.02 Audits. Upon
request and with reasonable notice, the RECIPIENT, each Collaborator and each Contractor whose costs are charged to the Project shall allow, or shall cause the entity which is maintaining such items to allow, the INSTITUTE, or auditors working on
behalf of the INSTITUTE, including the State Auditor and/or the Comptroller of Public Accounts for the State of Texas, to review, inspect, audit, copy or abstract all of its Records during regular working hours. Acceptance of funds directly under
the Contract or indirectly through a subcontract under the Contract constitutes acceptance of the authority of the INSTITUTE, or auditors working on behalf of the INSTITUTE, including the State Auditor and/or the Comptroller of Public Accounts, to
conduct an audit or investigation in connection with those funds for a period of three (3) years from the Termination Date of the Contract. 

Notwithstanding the foregoing, any RECIPIENT expending $500,000 or more in federal or state awards during its fiscal year shall obtain either an annual single
audit or a program specific audit. A RECIPIENT expending funds from only one state program may elect to obtain a program specific audit in accordance with Office of Management and Budget (OMB) Circular A-133
or with the State of Texas Uniform Grant Management Standards (UGMS). A single audit is required if funds from more than one federal or state program are spent by the RECIPIENT. The audited time period is the RECIPIENT’s fiscal year, not the
INSTITUTE funding period. 
 Section 4.03 Inspections. In addition to the audit rights specified in Section 4.02
“Audits”, the INSTITUTE shall have the right to conduct periodic onsite inspections within normal working hours and on a day and a time mutually agreed to by the parties, to evaluate the Institute-Funded Activity. The RECIPIENT shall fully
participate and cooperate in any such evaluation efforts. 
 Section 4.04 On-going Obligation
to Submit Requested Information. The RECIPIENT shall, submit other information related to the Grant to the INSTITUTE as may be reasonably requested from time-to-time
by the INSTITUTE, by the Legislature or by any other funding or regulatory bodies covering the RECIPIENT’s activities under this Contract. 

Section 4.05 Duty to Resolve Deficiencies. If an audit and/or inspection under this Article IV finds there are deficiencies that
should be remedied, then the RECIPIENT shall resolve and/or cure such deficiencies within a reasonable time frame specified by the INSTITUTE. Failure to do so shall constitute an Event of Default pursuant to Section 8.03 “Event of
Default.” Upon the RECIPIENT’S request, the parties agree to negotiate in good faith, specific extensions so that the RECIPIENT can cure such deficiencies. 

Section 4.06 Repayment of Grant Proceeds for Improper Use. In no event shall RECIPIENT retain grant funds that have not been used by the RECIPIENT for
purposes for which the Grant was intended or in violation of the terms of this Contract. The RECIPIENT shall repay any portion of Grant proceeds used by the RECIPIENT for purposes for which the Grant was not intended, as determined by the final
results of an audit conducted pursuant to the provisions of this Contract. Unless otherwise expressly provided for in writing and appended to this Contract, the repayment shall be made to the INSTITUTE no later than forty-five (45) days upon a
written request by the INSTITUTE specifying the amount to be repaid and detailing the basis upon which such request is being made and the amount shall include interest calculated at an amount not to exceed five percent (5%) annually. The RECIPIENT
may request that the INSTITUTE waive the interest, subject in all cases to the INSTITUTE’S sole discretion. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 4.07 Repayment of Grant Proceeds for Relocation Outside of Texas. Unless
waived by a vote of the Oversight Committee, the RECIPIENT shall repay the INSTITUTE all Grant proceeds disbursed to RECIPIENT in the event that RECIPIENT relocates its principal place of business outside of the State during the Contract term or
within 3 years after the final payment of the Grant funds is made by the INSTITUTE. 
 Article V 

ASSURANCES AND CERTIFICATIONS 
 Adoption
of Attachment C. The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment C in their entirety, incorporate them as if fully set forth herein, and agree to perform and be bound by all such terms. 

Article VI 
 INTELLECTUAL
PROPERTY AND REVENUE SHARING 
 Adoption of Attachment D. The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment D in their
entirety, incorporate them as if fully set forth herein, and agree to perform and be bound by all such terms. 
 Article VII 

REPORTING 
 Adoption of Attachment E.
The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment E in their entirety, incorporate them as if fully set forth herein, and agree to perform and be bound by all such terms. 

Article VIII 
 EARLY
TERMINATION AND EVENT OF DEFAULT 
 Section 8.01 Early Termination of Contract. This Contract may be terminated prior to the
Termination Date specified in Section 2.03 “Contract Term” by: 
  

	 	(a)	 Mutual written consent of all parties to this Contract; or 

 

	 	(b)	 The INSTITUTE for an Event of Default (defined in Section 8.03) by the RECIPIENT; or

  

	 	(c)	 The INSTITUTE if allocated funds should become legally unavailable during the Contract period and the INSTITUTE
is unable to obtain additional funds for such purposes; or 

  

	 	(d)	 The RECIPIENT for convenience. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 8.02 Repayment of Grant Proceeds upon Early Termination. The INSTITUTE may
require the RECIPIENT to repay some or all of the disbursed Grant proceeds in the event of early termination under 8.01 (d) above or under Section 8.01(b) above, to the extent such Event of Default resulted from Grant funds being expended in
violation of this Contract. To the extent that the INSTITUTE exercises this option, the INSTITUTE shall provide written notice to the RECIPIENT stating the amount to be repaid, applicable interest calculated not to exceed five percent (5%) annually,
and the schedule for such repayment. The RECIPIENT may request that the INSTITUTE waive the interest, subject in all cases to the INSTITUTE ’S sole discretion. In no event shall the RECIPIENT retain Grant funds that have not been used by the
RECIPIENT for purposes for which the Grant was intended. 
 Section 8.03 Event of Default. The following events shall, unless
expressly waived in writing by the INSTITUTE or fully cured by the RECIPIENT pursuant to the provisions herein, constitute an event of default (each, an “Event of Default”): 

(a) The RECIPIENT’s failure, in any material respect, to conduct the Project in accordance with the approved Scope of Work and to demonstrate progress
towards achieving the milestones set forth in Section 2.02; 
 (b) The RECIPIENT’s failure to conduct the Project within the State of Texas to the
extent required under this Contract unless as otherwise specified in the application, Scope of Work or Approved Budget; 
 (c) The RECIPIENT’s failure
to fully comply, in any material respect, with any provision, term, condition, covenant, representation, certification, or warranty contained in this Contract or any other document incorporated herein by reference; 

(d) The RECIPIENT’s failure to comply with any applicable federal or state law, administrative rule, regulation or policy with regard to the conduct of
the Project; 
 (e) The RECIPIENT’s material misrepresentation or false covenant, representation, certification, or warranty made by RECIPIENT herein,
in the Grant application, or in any other document furnished by RECIPIENT pursuant to this Contract that was misleading at the time that it was made; or 

(f) The RECIPIENT ceases its business operations, has a receiver appointed for all or substantially all of its assets, makes a general assignment for the
benefit of creditors, is declared insolvent by a court of competent jurisdiction or becomes the subject, as a debtor, of a proceeding under the federal bankruptcy code, which such proceedings are not dismissed within ninety (90) days after
filing. 
 Section 8.04 Notice Required. If the RECIPIENT intends to terminate pursuant to Section 8.01(d) “Early
Termination of Contract”, it shall provide written notice to the INSTITUTE pursuant to the notice provisions of Section 9.21 “Notices” no later than thirty (30) days prior to the intended date of termination. 

If the INSTITUTE intends to terminate for an Event of Default under Section 8.01(b) by the RECIPIENT, as described in Section 8.03 “Event of
Default”, the INSTITUTE shall provide written notice to the RECIPIENT pursuant to Section 9.21 “Notices” and shall include a reasonable description of the Event of Default and, if applicable, the steps necessary to cure such
Event of Default. Upon receiving notice from the INSTITUTE, the RECIPIENT shall have thirty (30) days beginning on the day following the receipt of notice to cure the Event of Default. Upon request, the INSTITUTE may provide an extension of
time to cure the Event of Default(s) beyond the thirty (30) day period specified herein so long as the RECIPIENT is using reasonable efforts to cure and is making reasonable progress in curing such Event(s) of Default. The extension shall be in
writing and appended to the Contract. If the RECIPIENT is unable or fails to timely cure an Event of Default, unless expressly waived in writing by the INSTITUTE, this Contract shall immediately terminate as of the close of business on the final day
of the allotted cure period without any further notice or action by the INSTITUTE required. In addition, and notwithstanding the foregoing, the INSTITUTE and the RECIPIENT agree that certain events that cannot be cured shall, unless expressly
waived in writing by the INSTITUTE, constitute a final Event of Default under this Contract and this Contract shall terminate immediately upon the INSTITUTE giving the RECIPIENT written “Notice of Event of Default and FINAL
TERMINATION.” 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 In the event that the INSTITUTE terminates the Contract under Section 8.01(c) above because allocated
funds become legally unavailable during the Contract period, the INSTITUTE shall immediately provide written notification to the RECIPIENT of such fact pursuant to Section 9.21 “Notices.” The Contract is terminated upon the
RECIPIENT’s receipt of that notification, subject to Section 9.09 “Survival of Terms.” 
 Section 8.05 Duty to
Report Event of Default. The RECIPIENT shall notify the INSTITUTE in writing pursuant to Section 9.21 “Notices”, promptly and in no event more than (30) days after it obtains knowledge of the occurrence of any Event of
Default. The RECIPIENT shall include a statement setting forth reasonable details of each Event of Default and the action which the RECIPIENT proposes to take with respect thereto. 

Section 8.06 Obligations/Liabilities Affected by Early Termination. The RECIPIENT shall not incur new obligations that otherwise
would have been paid for using Grant funds after the receipt of notice as provided by Section 8.04 “Notice Required”, unless expressly permitted by the INSTITUTE in writing, and shall cancel as many outstanding obligations as
possible. The INSTITUTE shall not owe any fee, penalty or other amount for exercising its right to terminate the Contract in accordance with Section 8.01. In no event shall the INSTITUTE be liable for any services performed, or costs or
expenses incurred, after the Termination Date of the Contract. Early termination by either party shall not nullify obligations already incurred, including the RECIPIENT ’s revenue sharing obligations as set forth in Attachment D, or the
performance or failure to perform obligations prior to the Termination Date. 
 Section 8.07 Interim Remedies. Upon receipt by the
RECIPIENT of a notice of Event of Default, and at any time thereafter until such Event of Default is cured to the satisfaction of the INSTITUTE or this Contract is terminated, the INSTITUTE may enforce any or all of the following remedies (such
rights and remedies being in addition to and not in lieu of any rights or remedies set forth herein): 
 (a) The INSTITUTE may refrain from
disbursing any amount of the Grant funds not previously disbursed; provided, however, the INSTITUTE may make such a disbursement after the occurrence of an Event of Default without thereby waiving its rights and remedies hereunder; 

(b) The INSTITUTE may enforce any additional remedies it has in law or equity. 

The rights and remedies herein specified are cumulative and not exclusive of any rights or remedies that the INSTITUTE would otherwise possess. 

Article IX 

MISCELLANEOUS 

Section 9.01 Uniform Grant Management Standards. Unless otherwise provided herein, the RECIPIENT agrees that the Uniform Grant
Management Standards (UGMS), developed by the Governor’s Budget and Planning Office as directed under the Uniform Grant Management Act of 1981, TEX. GOVT. CODE, Ch. 783, apply as additional terms and conditions of this Contract and that the
standards are adopted by reference in their entirety. If there is a conflict between the provisions of this Contract and UGMS, the provisions of this Contract will prevail unless expressly stated otherwise. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 9.02 Management and Disposition of Equipment. During the term of this
Contract, the RECIPIENT may use Grant funds to purchase Equipment to be used for the authorized purpose of the Project, subject to the conditions set forth below. Unless otherwise provided herein, title to Equipment shall vest in the RECIPIENT upon
termination of the Contract. 
  

	 	(a)	 The INSTITUTE must authorize the acquisition in advance and in writing but an acquisition is deemed authorized
if included in the Approved Budget for the Project; 

  

	 	(b)	 Equipment purchased with Grant funds must stay within the State of Texas; 

 

	 	(c)	 Equipment purchased with Grant funds must be materially deployed to the uses and purposes related to the
Project; 

  

	 	(d)	 In the event the RECIPIENT is indemnified, reimbursed or otherwise compensated for any loss of, destruction of,
or damage to the Equipment purchased using Grant funds, it shall use the proceeds to repair or replace said Equipment; 

  

	 	(e)	 Equipment may be exchanged (trade-in) or sold without the prior written
approval of the INSTITUTE if the proceeds thereof shall be applied to the acquisition cost of replacement Equipment; 

  

	 	(f)	 The RECIPIENT may use its own property management standards and procedures provided that it observes the terms
of UGMS, A-102, in all material respects; 

  

	 	(g)	 The title or ownership of the Equipment shall not be encumbered for purposes other than the Project nor or
transferred other than to a permitted assignee of this Contract, without the prior written approval of the INSTITUTE; 

  

	 	(h)	 If the original or replacement Equipment is no longer needed for the originally authorized purpose or for other
activities supported by the INSTITUTE, the RECIPIENT shall request disposition instructions from the INSTITUTE and, upon receipt, shall fully comply therewith; and 

 

	 	(i)	 If this Contract is terminated early pursuant to Section 8.01(b), (d), (e), or (f) above, the
INSTITUTE shall determine the final disposition of Equipment purchased with Grant award money. 

 Section 9.03
Supplies and Other Expendable Property. The RECIPIENT shall classify as materials, supplies and other expendable property the allowable unit acquisition cost of such property under $5,000 necessary to carry out the Project. Title to supplies and
other expendable property shall vest in the RECIPIENT upon acquisition. 
 Section 9.04 Acknowledgement of Grant Funding and
Publicity. The parties agree to the following terms and conditions regarding acknowledging Grant funding and publicity: 
 (a) The parties agree to fully
cooperate and coordinate with each other in connection with all press releases and publications regarding the award of the Grant, the execution of the Contract and the Institute-Funded Activities. 

(b) The RECIPIENT shall notify the INSTITUTE ’s Information Specialist or similar personnel at least three business days prior to any press releases,
advertising, publicity, use of CPRIT logo, or other promotional activities that pertain to the Project or any Institute-Funded Activity. In the event that the INSTITUTE wishes to participate in a joint press release, the RECIPIENT shall coordinate
and cooperate with the INSTITUTE’s Information Specialist or similar personnel to develop a mutually agreeable joint press release. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 (c) Consistent with the goal of encouraging development of scientific breakthroughs and dissemination of
knowledge, publication or presentation of scholarly materials is expected and encouraged. The RECIPIENT may publish in scholarly journals or other peer-reviewed journals (including graduate theses and dissertations) and may make presentations at
scientific meetings without prior notice to or consent of the INSTITUTE, except as may otherwise be set forth in this Contract. The RECIPIENT shall promptly notify the INSTITUTE when any scholarly presentations or publications have been accepted for
public disclosure and shall provide the INSTITUTE with final copies of all such accepted presentations and publications. The RECIPIENT shall acknowledge receipt of the INSTITUTE funding in all publications, presentations, press releases and other
materials regarding the work associated with the Institute-Funded Activities. The RECIPIENT shall promptly submit an electronic version of all published manuscripts to PubMed Central in accordance with Section 9.05 “Public Access to
Research Results.” 
 (d) When grant funds are used to prepare print or visual materials for educational or promotional purposes for the general public
(e.g., patients), and excluding presentations and publications discussed above in subsection (c), the RECIPIENT shall provide a copy of such materials to the INSTITUTE at least ten (10) days prior to printing. The RECIPIENT shall also
acknowledge receipt of the INSTITUTE funding on all such materials including, but not limited to, brochures, pamphlets, booklets, training fliers, project websites, videos and DVDs, manuals and reports, as well as on the labels and cases for
audiovisual or videotape/DVD presentations. 
 Section 9.05 Public Access to Results of Institute-Funded Activities. The RECIPIENT
shall submit an electronic version of its final peer-reviewed journal manuscripts that arise from Grant funds to the digital archive National Library of Medicine’s PubMed Central upon acceptance for publication. These papers must be accessible
to the public on PubMed no later than 12 months after publication. This policy is subject to the terms of Attachment D and does not supplant applicable copyright law. For clarity, this policy is not intended to require the RECIPIENT to make a
disclosure at a time or in any manner that would cause the RECIPIENT to abandon, waive or disclaim any intellectual property rights that it is obligated to protect pursuant to the terms of Attachment D. 

Section 9.06 Work to be Conducted in State. The RECIPIENT agrees that it will use reasonable efforts to direct that any new or
expanded preclinical testing, clinical trials, commercialization or manufacturing that is part of or relating to any Institute-Funded Activities take place in the State of Texas, including the establishment of facilities to meet this purpose. If the
RECIPIENT decides not to conduct such work in the State of Texas, the RECIPIENT shall provide a prior written explanation to the INSTITUTE detailing the RECIPIENT ’s reasons for conducting the work outside of the State of Texas and the
RECIPIENT’s efforts made to conduct the work in the State of Texas. 
 Section 9.07 Duty to Notify. During the term of this
Contract and for a period of five (5) years thereafter, the RECIPIENT is under a continuing obligation to notify the INSTITUTE ’s Chief Executive Officer at the same time it is required to notify any Federal or State entity of any
unexpected adverse event or condition that materially impacts the performance or general public perception of the conduct or results of the Project and Institute-Funded Activities, including any impact to the Scope of Work included in the Contract
and events or results that have a serious adverse impact on human health, safety or welfare. By way of example only, if clinical testing of the results of Institute-Funded Activities reveal an unexpected risk of developing serious health conditions
or death, then the RECIPIENT shall, at the same time it notifies any Federal or State entity, promptly so notify the INSTITUTE ’s Chief Executive Officer even if such results are not available until after the term of this Contract. Notice
required under this section shall be made as promptly as reasonably possible and shall follow the procedures set forth in Section 9.21 “Notices.” 

Section 9.08 Severability. If any provision of this Contract is construed to be invalid, illegal or unenforceable in any respect,
such invalidity, illegality or enforceability shall not affect any other provisions hereof. The invalid, illegal or unenforceable provision shall be deemed stricken and deleted to the same extent and effect as if never incorporated herein. All other
provisions shall continue as provided in this Contract. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 9.09 Survival of Terms. Termination or expiration of this Contract for any
reason will not release either party from any liabilities or obligations set forth in this Contract that: (1) the Parties have expressly agreed shall survive any such termination or expiration; or (2) remain to be performed or by their
nature would be intended to be applicable following any such termination or expiration. Such surviving terms include, but are not limited to, Sections 2.13, 4.01, 4.02, 4.05, 4.06, 8.02, 8.06, 9.04, 9.05, 9.06, 9.07, 9.09, 9.14, 9.15, 9.16, 9.17,
9.18, and Attachment D. 
 Section 9.10 Binding Effect and Assignment or Modification. This Contract and all terms, provisions and
obligations set forth herein shall be binding upon and shall inure to the benefit of the parties and their successors and permitted assigns, including all other state agencies and any other agencies, departments, divisions, governmental entities,
public corporations or other entities which shall be successors to either of the parties or which shall succeed to or become obligated to perform or become bound by any of the covenants, agreements or obligations hereunder of either of the parties
hereto. Upon a permitted assignment of this Contract by RECIPIENT, all references to “the RECIPIENT” herein shall be deemed to refer to such permitted assignee. 

Section 9.11 No Waiver of Contract Terms. Neither the failure by the RECIPIENT or the INSTITUTE, in any one or more instances, to
insist upon the complete and total observance or performance of any term or provision hereof, nor the failure of the RECIPIENT or the INSTITUTE to exercise any right, privilege or remedy conferred hereunder or afforded by law, shall be construed as
waiving any breach of such term or provision or the right to exercise such right, privilege or remedy thereafter. In addition, no delay on the part of either the RECIPIENT or the INSTITUTE, in exercising any right or remedy hereunder shall operate
as a waiver thereof, nor shall any single or partial exercise of any right or remedy preclude other or further exercise thereof or the exercise of any other right or remedy. 

Section 9.12 No Waiver of Sovereign Immunity. No provision of this Contract is in any way intended to constitute a waiver by the
INSTITUTE, the RECIPIENT (if applicable), or the State of Texas of any immunities from suit or from liability that the INSTITUTE, the RECIPIENT, or the State of Texas may have by operation of law. 

Section 9.13 Force Majeure. Neither the INSTITUTE nor the RECIPIENT will be liable for any failure or delay in performing its
obligations under the Contract if such failure or delay is due to any cause beyond the reasonable control of such party, including, but not limited to, unusually severe weather, strikes, natural disasters, fire, civil disturbance, epidemic, war,
court order or acts of God. The existence of such causes of delay or failure will extend the period of performance in the exercise of reasonable diligence until after the causes of delay or failure have been removed. Each party must inform the other
in accordance with Section 9.21 “Notices” within five (5) business days, or as soon as it is practical, of the existence of a force majeure event or otherwise waive this right as a defense. 

Section 9.14 Disclaimer of Damages. IN NO EVENT WILL EITHER PARTY BE LIABLE TO THE OTHER PARTY FOR ANY INDIRECT, SPECIAL, PUNITIVE, EXEMPLARY,
INCIDENTAL OR CONSEQUENTIAL DAMAGES. THIS LIMITATION WILL APPLY REGARDLESS OF WHETHER OR NOT THE OTHER PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. 

Section 9.15 Indemnification and Hold Harmless. Except as provided herein, the RECIPIENT agrees to fully indemnify and hold the
INSTITUTE and the State of Texas harmless from and against any and all claims, demands, costs, expenses, liabilities, causes of action and damages of every kind and character (including reasonable attorneys fees) which may be asserted by any third
party in any way related or incident to, arising out of, or in connection with (1) the RECIPIENT’s negligent, intentional or wrongful performance or failure to perform under this Contract, (2) the RECIPIENT ’s receipt or use of
Grant funds, or (3) any negligent, intentional or wrongful act or omission committed by the RECIPIENT as part of an Institute-Funded Activity or during the Project. In addition, the RECIPIENT agrees to fully indemnify and hold the INSTITUTE and
the State of Texas harmless from and against any and all costs and expenses of every kind and character (including reasonable attorneys fees, costs of court and expert fees) that are incurred by the INSTITUTE or the State of Texas arising out of or
related to a third party claim of the type specified in the preceding sentence. Notwithstanding the preceding, such indemnification shall not apply in the event of the sole or gross negligence of the INSTITUTE. If the RECIPIENT is a State of Texas
agency or institution of higher education, then this Section 9.15 is subject to the extent authorized by the Texas Constitution and the laws of the State of Texas. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

DP150127 
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 The RECIPIENT acknowledges and agrees that this indemnification shall apply to, but is not limited to,
employment matters, taxes, personal injury, and negligence. 
 It is understood and agreed that it is not the intent of the parties to expand or increase
the liability of the State of Texas under this Article. This provision is intended to prevent the RECIPIENT, the INSTITUTE and the State of Texas from attempting or appearing to assume liability it does not have the statutory or legal power to
assume. 
 Section 9.16 Alternative Dispute Resolution. If applicable, the dispute resolution process provided for in TEX. GOVT.
CODE, Ch. 2260 shall be used, as further described herein, to resolve any claim for breach of contract made against the INSTITUTE (excluding any uncured Event of Default). The submission, processing and resolution of a party’s claim are
governed by the published rules adopted by the Attorney General pursuant to TEX. GOVT. CODE, Ch. 2260, as currently effective, hereafter enacted or subsequently amended. 

Section 9.17 Applicable Law and Venue. This Contract shall be construed and all disputes shall be considered in accordance with the
laws of the State of Texas, without regard to its principles governing the conflict of laws. Provided that the RECIPIENT first complies with procedures set forth in Section 9.16 “Alternative Dispute Resolution,” exclusive venue and
jurisdiction for the resolution of claims arising from or related to this Contract shall be in the federal and state courts in Travis County, Texas. 

Section 9.18 Attorneys’ Fees. In the event of any litigation, appeal or other legal action to enforce any provision of the
Contract, the RECIPIENT shall pay all expenses of such action, including attorneys’ fees and costs, if the INSTITUTE is the prevailing party. If the RECIPIENT is a State of Texas agency or institution of higher education, then this
Section 9.18 is subject to the extent authorized by the Texas Constitution and the laws of the State of Texas. 
 Section 9.19
Counterparts. This Contract may be executed in any number of counterparts, each of which when so executed and delivered shall be an original, but such counterparts shall together constitute one and the same instrument. 

Section 9.20 Construction of Terms The headings used in this Contract are inserted only as a matter of convenience and for reference
and shall not affect the construction or interpretation of this Contract. Where context so indicates, a word in the singular form shall include the plural, a word in the masculine form the feminine, and vice-versa. The word “including” and
similar constructions (such as “includes”, “included”, “for example”, “such as”, and “e.g.”) shall mean “including, without limitation” throughout this Contract. The words “and”
and “or” are not intended to convey exclusivity or nonexclusivity except where expressly indicated or where the context so indicates in order to give effect to the intent of the parties. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

DP150127 
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 Section 9.21 Notices. All notices, requests, demands and other communications will
be in writing and will be deemed given on the date received as demonstrated by (i) a courier’s receipt or registered or certified mail return receipt signed by the party to whom such notice was sent, provided that such notice was sent to
the Authorized Signing Official (ASO) at the address provided in the CPRIT Grants Management System, (ii) a fax confirmation page showing that such fax was successfully transmitted to the fax number provided in the CPRIT Grants Management
System, or (iii) via correspondence in the CPRIT Grants Management System. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 [*****] 
  

 
 

 
 DP150127, Contract Attachment A 

Abstract and Significance 
 Ruga Corporation is a late
preclinical stage pharmaceutical company developing Ruga-S6, an engineered decoy soluble AXL receptor, for targeted therapy against acute myeloid lymphoma (AML) and certain solid tumor indications including
ovarian, pancreatic, and breast cancer. 
 AML is a hematologic cancer affecting both pediatric and adult patients. While the pediatric population is small
(~800), over 18,000 adults are diagnosed in the US annually, with the majority of these patients over 65. Based on 1996-2002 SEER statistics, the 5-year survival rate for adults older than 65 diagnosed with
AML was a mere 4.3%. In the past 20 years, there has been little improvement in overall survival for AML patients particularly those older and with unfavorable cytogenetics like FLT3-ITD mutations (~20-25% of AML patients). Older AML patients are more likely to experience treatment-related toxicity and less likely to achieve complete remission and remain relapse-free. As such, an efficacious drug without
significant risk of toxicity is a major unmet clinical need in this underserved population. 
 Research indicates that activation of the GAS6-AXL signaling pathway acts as a “survival switch” required for adaptation of tumors for increased in vivo tumor growth, survival, and metastasis as well as development of resistance to commonly-used
chemotherapeutic agents. Ruga-S6 is a novel Fc-fusion protein that potently neutralizes GAS6 and effectively “turns off” AXL signaling in tumor cells. It shows
>100 fold tighter affinity for GAS6 and provides significantly higher specificity for the AXL/GAS6 pathway that other kinase inhibitors (e.g. small molecules and antibodies) cannot match. Ruga-S6’s
neutralization of GAS6 and inhibition of AXL-GAS6 pathway offers the potential for a novel, targeted therapeutic approach that may be used alone with low toxicity or in combination with other standard of care
anti-cancer agents. 
 Ruga-S6 has the potential to impact the current standard of care for FLT3-ITD(+) AML by inhibiting activation of AXL/GAS6 signaling, which is correlated with increased clinical rates of metastasis, progression, recurrence, and overall poorer survival in AML and other cancers. It
offers a more targeted therapy, with minimal systemic toxicity and less severe side effects than current AML chemotherapeutics. Ruga-S6 could also be delivered as a combination therapy for AML with approved
chemotherapeutic agents such as cytarabine. While AML is planned as the initial target indication for Ruga-S6, Ruga has built a compelling rationale to pursue certain solid tumors in the clinic such as
ovarian, renal, breast, lung, and pancreatic cancers. In solid tumors, AXL/GAS6 inhibition has shown to have dual anti-cancer effects, including direct anti-tumor effects on survival, invasion, and chemo-resistance, and also indirect anti-tumor
effects via stimulating innate anti-cancer immunity, given GAS6 role as an innate immunity check point. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 To date, Ruga has conducted several preclinical proof-of-principle studies and established compelling data demonstrating Ruga-S6’s efficacy and tolerability in multiple in vitro studies and in vivo models of
cancer. In preclinical models of AML, including patient-derived leukemic cells from FLT3-ITD(+) patients, treatment with Ruga-S6 has been associated with remarkable
anti-tumor effects coupled with exceptional tolerability, making Ruga-S6 a potentially ideal drug for AML patients. In preclinical models of advanced, drug resistant ovarian cancer, the treatment with Ruga-S6 lead to greater than 95% of animals to become disease free without any tolerability issues. Preclinical studies in breast, lung, renal and pancreatic cancer models generated equally compelling data.
Furthermore, Ruga has developed a proprietary companion diagnostic assay for the measurement of free and total GAS-6 levels, which provides for the identification of patients that could preferentially benefit
from therapy with Ruga-S6. 
 In order to advance to commercial development, Ruga has developed a comprehensive plan
to complete the manufacturing, preclinical, and clinical development necessary to seek approval of Ruga-S6 with the US Food and Drug Administration (FDA). Preclinical toxicology, immunogenicity, and biomarker
studies will position Ruga for filing for an Investigational New Drug (IND) application by Q1 2017. Ruga will then commence Phase 1/2 clinical studies, which will include parallel Phase 1a multiple ascending dose studies for enriched AML and
specific solid tumor indications. Lastly, phase 1b/2a studies will be performed as a multiple dose study in selected patient populations expanded from completion of the Phase 1a studies. In total, these studies are anticipated to provide sufficient
evidence for Ruga-S6 to pursue both FDA Orphan Drug and Breakthrough designation, and further, to validate the use of Ruga’s companion diagnostic for stratification of patients for targeted therapy with Ruga-S6. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Layperson’s Summary 

Acute myeloid leukemia (AML) is a cancer that begins in bone marrow and affects cells intended to mature into different types of blood cells. Research shows
that interaction between the AXL receptor and its ligand (GAS6) leads to more severe and invasive cases of AML. To address the need for more effective therapies, Ruga has developed Ruga-S6, an engineered decoy
receptor that binds to GAS6 and inhibits its binding to the actual AXL receptor. It has also developed a proprietary blood-based companion diagnostic that could potentially identify ideal patient candidates for
Ruga-S6 treatment. In both laboratory and animal experiments, inhibition of the AXL-GAS6 interaction stops the progression of AML. Other treatments in development have
toxicity and low response rates with increased likelihood of developing resistance; critical issues that are addressed with Ruga’s therapeutic approach. Ruga-S6 has the opportunity to seek FDA Orphan drug
and Breakthrough status. By advancing Ruga-S6 through preclinical and clinical testing, Ruga may provide a more effective therapeutic option for AML and other aggressive cancers, including ovarian,
endometrial, breast, renal and pancreatic. The development of Ruga-S6 aligns with CPRIT’s focus on rare and pediatric cancers and those of significant unmet clinical need. If funded, Ruga will fully
relocate to Texas, where it will continue the development of Ruga-S6 in partnership with Texas-based institutions, including the Texas Medical Center. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Timelines: EDITED project_timeline.pdf  

 

			
	 Goal
 1

ADDED
	  	Year 1 Support growth of the State’s biopharmaceutical industry by establishing Texas as the corporate headquarters for the Company and specifically, the Texas Medical Center (TMC) as the hub for all advanced preclinical and
clinical development activities for the Company’s novel fusion protein (Ruga-S6). Contribute to the local and State economies by relocating key personnel and creating new high-quality, professional jobs
that are required to fully support the company’s performance of the oncology project utilizing the Company’s fusion protein to serve as an AXL decoy (the “CPRIT Project”). Further, develop strategic partnerships and initiate
activities with Texas-based subcontractors and consultants that can provide the expertise, services, and infrastructure needed to accomplish the preclinical and clinical development of the CPRIT Project.
		
	 Objective 1
 ADDED
	  	Objective 1.1: Establish the Company headquarters and operations in Texas. Within the first Year, the Company will relocate and establish its corporate headquarters in Houston, Texas. Key personnel, including the Chief Executive
Officer Chief Scientific Officer, Chief Financial Officer will reside in Texas. The company will also immediately secure office space in Houston, near the Texas Medical Center. The Company will seek to recruit and hire additional personnel needed to
execute the company’s plans for preclinical and clinical development activities in Texas, targeting local talent and other highly experienced individuals that are willing to relocate to Texas. Key positions that will be recruited generally
include Chief Medical Officer, Director of Manufacturing, and Vice President of Clinical and Regulatory Affairs, in addition to administrative and other professional staff. Consultants with specialized expertise in Chemistry, Manufacturing, and
Controls (CMC) for fusion proteins, preclinical, and regulatory affairs will also be retained by the Company during Year 1.
		
	 Objective 2
 ADDED
	  	Objective 1.2: Initiate cell line development, engineering and process development activities. Upon the Effective Date, the Company will select a top tier contract manufacturing organization (CMO) or pharmaceutical development
partner (Partner) to perform the necessary development and manufacturing activities for Ruga-S6. Specifically, the CMO/Partner will complete the work necessary for the Company to develop the chemistry,
manufacturing, and controls (CMC) section of its Investigational New Drug (IND) application with FDA, which will describe the identification, quality, purity, and potency of Ruga-S6, and ultimately assure the
safety of its use in clinical studies. Key objectives of this phase of the project include identification, selection, and optimization of a high-expressing cell line suitable for further development of a robust, scalable, and cGMP-compliant process
for production of Ruga-S6. By the end of Y1, it is anticipated that the CMO/Partner will have completed cell line development, completed development of a Master Cell Bank (MCB), and produced sufficient
material under non-cGMP to enable completion of GLP tox studies with Ruga-S6.
		
	 Objective 3:
 ADDED
	  	Objective 1.3: Initiate IND enabling preclinical studies. Upon the Effective Date, the Company will initiate work with a CRO, academic medical center, and/or a pharmaceutical development partner (collectively, Preclinical Partners)
to perform the advanced preclinical studies also needed to file an IND with the FDA. These studies include the evaluation of additional pharmacokinetic, pharmacodynamics, and biomarker parameters, in nonhuman primates (NHPs) and in other species if
needed. In addition, the Preclinical Partners will complete method development and validation for immunogenicity and biomarker assays to be used in clinical development. The outcome will
enable

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

			
		  	development of the Company’s IND and ultimately inform the design of human clinical trials for Ruga-S6. Furthermore, the biomarker assay development activities will validate the
Company’s proprietary companion diagnostic assay for free and total GAS6, which will be transitioned to clinical sites and provide the Company with means of pharmacodynamic assessment and potentially a rationale for selectively identifying and
enrolling patients in its future clinical trials.
	  
 Objective 4:

ADDED
	  	  
 Objective 1.4: Conduct a pre-IND meeting with the FDA. The Company
will request a Type B pre-IND meeting toward the end of Year 1. The purpose of this meeting will be to seek feedback on the proposed GLP-toxicology studies for Ruga-S6 and evaluate options to optimize the design of clinical trials to enable the
company to pursue Orphan Drug and accelerated/Breakthrough designation.

		
	 Goal
 2

 
 ADDED
	  	GOAL 2, YEAR 2: Complete advanced preclinical and initiate planning for clinical development activities required to seek IND approval for Ruga-S6 as a new biological drug from the FDA. The
stated goal will be to advance [*****].
		
	 Objective 1:
 ADDED
	  	Objective 2.1: Complete GLP-toxicology study in NHPs. Utilizing the material produced by CMO/Partner in Year 1, the Company’s Preclinical Partner(s) will perform toxicology studies in
NHPs that are compliant with the FDA’s Good Laboratory Practices (GLP) and International Conference on Harmonization of Technical Requirements for Registration of Pharmaceutical for Human Use (ICH) guidelines. Upon completion of these studies,
the CRO will assist the Company with the development of applicable sections of its IND.
		
	 Objective 2:
 ADDED
	  	Objective 2.2: Complete a second pre-IND Meeting with the FDA. The Company will likely request a second Type B pre-IND meeting with the FDA before
end of Year 2. The purpose of this meeting will be to review the data from the GLP-toxicology studies for Ruga-S6 and discuss with the FDA the potential IND filing and
ways in which to optimize the design of clinical trials to enable the company to pursue Orphan Drug and accelerated/Breakthrough designation.
		
	 Objective 3:
 ADDED
	  	Objective 2.3: Perform cGMP manufacturing to generate Ruga-S6 final drug product. The CMO/Partner will perform final development of upstream and downstream manufacturing processes,
development and validation of in-process, release, and stability assays, followed by the large-scale manufacturing and cGMP release of clinical material in quantities sufficient to a Phase 1/2 clinical
studies. CMO/Partner and the Company currently plan to scale the final manufacturing process to maximum of 1,000L and will perform one full scale, non-cGMP engineering run, followed by one full-scale cGMP run.
The final cGMP run, pending the final outcome of cell line development activities in Year 1, will hopefully yield a minimum of 1 gram of Ruga-S6 per liter, or 2 kilograms of drug product for use in clinical
trials. Upon completion of these activities and release of drug product, CMO/Partner will assist the Company with developing the CMC section of its IND application.
		
	 Objective 4
 ADDED
	  	Objective 2.4: File IND application with the FDA. With assistance from its CRO, CMO, and experienced consultants, the Company will complete and file an IND application with the FDA. This document will provide a comprehensive
review of the data generated by the Company in the three required areas of animal pharmacology and toxicology, manufacturing and clinical protocols and enable the Company to commence Phase 1 clinical
studies.

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

			
	 Objective 5
 ADDED
	  	Objective 2.5: Initiate Phase 1a clinical studies. Under an IND with the FDA, the Company (or a Partner) will plan to initiate a Phase 1a clinical trial of [*****].
		
	 Goal
 3

ADDED
	  	 [*****]

		
	 Objective 1
 ADDED
	  	 [*****]

		
	 Objective 2
 ADDED
	  	Objective 3.2 Initiate Phase 1b/2a studies for Solid Tumor(s). Under an IND with the FDA, the Company will initiate a Phase 1b/2a clinical trial with Ruga-S6 to evaluate safety, biomarker
activity, and anti-tumor activity for specific patient populations with certain subset of solid tumor types. The final solid tumor type to be targeted for this study will be determined with data from the preclinical pharmacology studies completed as
part of the CPRIT Project.

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 

 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 

 
 Grant ID: DP150127 Principal Investigator/Program Director: Amato Giaccia 

ATTACHMENT B—Detailed Budget Form 
  

																	
	 Budget
	  	Budget Year 1	 	  	Budget Year 2	 	  	Budget Year 3	 	  	Total Budget	 
	 a. Personnel
	  	$	460,000.00	 	  	$	910,000.00	 	  	$	910,000.00	 	  	$	2,280,000.00	 
	 b. Fringe Benefits
	  	$	92,000.00	 	  	$	182,000.00	 	  	$	182,000.00	 	  	$	456,000.00	 
	 c. Travel
	  	$	40,000.00	 	  	$	40,000.00	 	  	$	40,000.00	 	  	$	120,000.00	 
	 d. Equipment
	  	$	150,000.00	 	  	$	0.00	 	  	$	0.00	 	  	$	150,000.00	 
	 e. Supplies
	  	$	50,000.00	 	  	$	20,000.00	 	  	$	20,000.00	 	  	$	90,000.00	 
	 f. Contractual
	  	$	4,093,000.00	 	  	$	8,727,350.00	 	  	$	3,282,000.00	 	  	$	16,102,350.00	 
	 g. Other
	  	$	60,000.00	 	  	$	60,000.00	 	  	$	60,000.00	 	  	$	180,000.00	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 h. Total Direct Charges
	  	$	4,945,000.00	 	  	$	9,939,350.00	 	  	$	4,494,000.00	 	  	$	19,378,350.00	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 i. Indirect Charges (doesn’t apply to prevention grants awarded prior to 01 Sep
2016)
	  	$	253,100.00	 	  	$	256,000.00	 	  	$	112,550.00	 	  	$	621,650.00	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 j. Total Charges
	  	$	5,198,100.00	 	  	$	10,195,350.00	 	  	$	4,606,550.00	 	  	$	20,000,000.00	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

  

	*	 Note: 

For purposes of contract initiation only: 
  

			
	 Federal ID#:
	  	26-0725357
	 Vendor ID#:
	  	26-0725357
	 ASO Contact:
	  	Tabibiazar, Ray
	 Address:
	  	One Market Plaza – Spear Tower, Suite 3600
	 Address 2:
	  	
	 City, State, ZIP
	  	San Francisco,                    , CA 94105
	 Phone:
	  	650-906-9468
	 Fax:
	  	650-433-5499
	 Email:
	  	ray@rugacorp.com

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 

 
 ATTACHMENT C 

ASSURANCES AND CERTIFICATIONS 
 This
Attachment C is hereby incorporated into and made a part of that certain CANCER RESEARCH GRANT CONTRACT (“Contract”) by and between the Cancer Prevention and Research Institute of Texas (“CPRIT”
or the “INSTITUTE”) and the RECIPIENT. A capitalized term used in this Attachment shall have the meaning given to term in the Contract or in the Attachments to the Contract, unless otherwise defined herein. In the event of a
conflict between the provisions of this Attachment and the provisions of the Contract, this Attachment shall control. 
 By signing this Contract,
RECIPIENT certifies compliance with the following assurances and certifications required by the INSTITUTE (listed below). RECIPIENT further acknowledges that its obligations pursuant to the following assurances and certifications are ongoing.

 Section C1.01 Demonstration of Matching Funds. Pursuant to TEX. HEALTH & SAFETY CODE § 102.255(d) and T.A.C. 25 § 703.11,
RECIPIENT has an amount of funds equal to one-half of the amount of the Grant to be disbursed each fiscal year of the Contract term dedicated to the research that is the subject of the Grant as demonstrated by
the form incorporated herein to Attachment C. The RECIPIENT shall update the matching funds certification and verification annually for each fiscal year that Grant funds are disbursed. 

Section C1.02 Payment of Taxes. RECIPIENT‘s payment of franchise taxes is current or, if the RECIPIENT is exempt from payment of franchise taxes,
that it is not subject to the State of Texas franchise tax. If franchise tax payments become delinquent during the Contract term, payments under this Contract will be withheld until the RECIPIENT’s delinquent franchise tax is paid in full. The
RECIPIENT also acknowledges that it is not otherwise exempt from state sales or occupancy tax as a result of this Contract. 
 Section C1.03 Compliance
with Confidentiality Guidelines Relating to Personal and Medical Information. RECIPIENT complies with all applicable laws, rules and regulations relating to personal and medical information. Without in any way limiting the foregoing, RECIPIENT
maintains and enforces appropriate facility and information technology access rules and procedures to protect against inappropriate disclosure of patient records and all other documents deemed confidential by law, which are maintained in connection
with the Project and Institute-Funded Activities, including provisions that comply with the requirements of the INSTITUTE’s rules, 25 T.A.C. Section 703.14. Upon request from the INSTITUTE, RECIPIENT will timely furnish a copy of the
RECIPIENT’s facility and information technology access rules and procedures, as well as any other applicable confidentiality guidelines. 
 If
RECIPIENT, including any Collaborators or Contractors, works directly with patients or otherwise has access to or maintains patient personal and medical information, RECIPIENT specifically addresses Health Insurance Portability and Accountability
Act of 1996 regulations concerning confidentiality of personal and medical information. Any disclosure of confidential information in any way related to the Project (including information that may be required by reports and inspections) must be in
accordance with all applicable laws. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Section C1.04 Conduct of Research or Service Provided. RECIPIENT understands that the Project must be
conducted with full consideration for the ethical and medical implications of the research performed or services delivered and comply with all federal and state laws regarding the conduct of the research or service. 

Section C1.05 Regulatory Certificates, Licenses and Permits. All personnel, facilities and equipment involved or to be involved in the Project are
certified, licensed, permitted, registered or approved by the appropriate regulating agency, where applicable. Any revocation, surrender, expiration, non-renewal, inactivation or suspension of any such
certification, license, permit, registration or approval shall constitute grounds for Contract termination. 
 Section C1.06 Assurances and
Certifications in Accordance with the NIH Grants Policy Statement: 
 (a) Civil Rights. Compliance with Title VI of the Civil Rights
Act of 1964. 
 (b) Handicapped Individuals. Compliance with Section 504 of the Rehabilitation Act of 1973 as amended. 

(c) Sex Discrimination. Compliance with Section 901 of Title IX of the Education Amendments of 1972 as amended. 

(d) Age Discrimination. Compliance with the Age Discrimination Act of 1975, as amended. 

(e) Patents, Licenses and Inventions. Compliance with the Standard Patent Rights clauses as specified in 37 CFR, Part 401 or 35 U.S.C. 203, if
appropriate and applicable, in a manner that adequately protects the INSTITUTE’S rights in the Project Results. 
 (f) Human Subjects.
Compliance with the requirements of federal policy concerning the safeguarding of the rights and welfare of human subjects who are involved in activities supported by federal funds. Before any funding may be released for any Project involving human
subjects, RECIPIENT must receive approval from RECIPIENT’s Institutional Review Board (IRB). Upon request, a copy of RECIPIENT’s IRB approval must be provided to the INSTITUTE. 

(g) Human Biological/Anatomical Material. Compliance with the recommendations of the NIH Office of Human Subject Research Medical Administrative Series
(MAS) #MO1-2 entitled “Procurement and Use of Human Biological Materials for Research,” and any other federal or state requirements. 

(h) Use of Animals. Compliance with applicable portions of the Animal Welfare Act (PL 89-544 as amended) and
appropriate Public Health Service Policy on Humane Care and Use of Laboratory Animals regulations. Before any funding may be released for any Project involving animal subjects, RECIPIENT must receive approval from RECIPIENT’s Institutional
Animal Care and Use Committee (IACUC). Upon request, a copy of RECIPIENT’s IACUC approval must be provided to the INSTITUTE. 
 (i) Debarment and
Suspension. RECIPIENT certifies that neither it nor the Principal Investigator/Project Director or any other Recipient Personnel or personnel of any Collaborator or Contractor assigned to work on the Project are debarred, suspended, proposed for
debarment, declared ineligible or otherwise excluded from participation in the Project by any federal or state department or agency. 
 (j) Non-Delinquency on Federal or State Debt. RECIPIENT certifies that neither it, nor any person to be paid from funds under this Contract, is delinquent in repaying any Federal debt as defined by OMB Circular A-129 or any debt to the State of Texas. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 (k) Eligibility to Receive Payments on State Contracts. RECIPIENT certifies that it and the Principal
Investigator/Project Director are not ineligible to receive the Grant award under this Contract pursuant to Tex. Fam. Code Ann. Section 231.006 and acknowledges that this Contract may be terminated and payment may be withheld if this
certification is inaccurate. 
 (l) Drug-Free Workplace. Compliance with the Drug-Free Workplace Act of 1988 (45 CFR 82). 

(m) Misconduct in Science. Compliance with 42 CFR Part 50, Subpart A, and Final Rule as published at 54 CFR 32446, August 8, 1989. 

(n) Objectivity of Research/Conflict of Interest. Compliance with the NIH requirement to maintain a written standard of conduct and comply with 42 CFR
Part 50, Subpart F, Responsibility of Applicants for Promoting Objectivity in Research. RECIPIENT must notify the INSTITUTE of any conflicting financial interests and assure that the interest has been managed, reduced or eliminated. 

(o) Trafficking in Persons. Compliance with the NIH regulations on trafficking in persons as published at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-055.html. 

(p) Criminal Misconduct. RECIPIENT shall promptly report issues to the INSTITUTE involving potential civil or criminal fraud related in any way to the
Project, the Institute-Funded Activity or this Contract, such as false claims or misappropriation of federal or state funds. 
 Section C1.07 Tobacco
Free Workplace Policy. Pursuant to T.A.C. 25 § 703.20, RECIPIENT certifies that its board of directors, governing body, or similar has adopted and enforces a Tobacco-Free Workplace Policy that meets or exceeds all of the following minimum
standards: 
 (a) Prohibits the use of all forms of tobacco products, including but not limited to cigarettes, cigars, pipes, water pipes (hookah), bidis,
kreteks, electronic cigarettes, smokeless tobacco, snuff and chewing tobacco; 
 (b) Designates the property to which the policy applies (“designated
area”). The designated area(s) must at least comprise all buildings and structures where the CPRIT project is taking place, as well as the sidewalks, parking lots, walkways, and attached parking structures immediately adjacent but only to the
extent the CPRIT Grant Recipient owns, leases as the sole tenant, or controls the building, sidewalks, parking lots and/or parking structures. In the event that the RECIPIENT does not own, lease as the sole tenant, or control the building,
sidewalks, parking lots and/or parking structures, then the designated area(s) must include all areas under the RECIPIENT’s control; 
 (c) Applies to
all employees and visitors in the designated area(s); and 
 (d) Provides for or refers employees to tobacco use cessation services. 

If RECIPIENT cannot meet the minimum standards as set forth in this section, RECIPIENT certifies that it has received an approved waiver from the
INSTITUTE’s EO for the current fiscal year. 
 Section C1.08 No Donations to the Institute or a Foundation Established to Support Institute.
RECIPIENT certifies that as of June 14, 2013, it has not made and will not make a contribution, during the term of the Contract, to the INSTITUTE or to any foundation established specifically to support the INSTITUTE. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 

 
 DP150127—Product Development Research Contract Attachment C Part 2 Matching Compliance Certification
(MCC)—Initial 
 For Public or Private Institutions of Higher Education ONLY (all other entities proceed to the table below): The grant
recipient may credit toward the matching funds requirement the dollar equivalent to the difference between the institution’s federally approved indirect cost rate for research projects and CPRIT’s five percent (5%) indirect cost allowance.
If a Public or Private Institution of Higher Education intends to fulfill its match requirement using expended funds only (no federally approved indirect cost rate credit), then choose “No” on the first question and proceed to the table
below. 
 If the grant recipient’s Federally Approved Indirect Cost Rate is greater than or equal to 55% (the 50% matching funds requirement and the 5%
CPRIT Indirect Cost Rate), then no further action is required once the appropriate information has been entered in lines “a” through “d” below. 

If the combined Federally Approved Indirect Cost Rate and the CPRIT Indirect Cost Rate calculated for the Project is less than 55%, then the grant recipient
must use the table below to demonstrate that it has encumbered funds available and not yet expended that are dedicated to the CPRIT-funded project for the portion of the match requirement not met by the Federally Approved Indirect Cost Rate credit.

 Public or Private Institution of Higher Education: 

(Choose ‘No’ if You Are Using Encumbered Funds) No 

 

																																									
	 	  	Award Year #1	 	 	Award Year #2	 	 	Award Year #3	 	 	Current Year	 
	 	  	Total
Award
Amount for
Award
Year #1	 	 	Remaining
Dollar
Amount to
Fulfill Match
Requirement	 	 	Actual
“Non
CPRIT”
Funds
Expended
**	 	 	Total
Award
Amount for
Award
Year #2	 	 	Remaining
Dollar
Amount to
Fulfill Match
Requirement	 	 	Actual
“Non
CPRIT”
Funds
Expended
**	 	 	Total
Award
Amount for
Award
Year #3	 	 	Remaining
Dollar
Amount to
Fulfill
Match
Requirement	 	 	Actual
“Non
CPRIT”
Funds
Expended
**	 	 	Match Credit/
Deficiency
(if any)	 
	Public or Private Institutions of Higher Education	  	$	0.00	 	 	$	0.00	 	 	$	0.00	 	 	$	0.00	 	 	$	0.00	 	 	$	0.00	 	 	$	0.00	 	 	$	0.00	 	 	$	0.00	 	 	$	0.00	 
											
	All Other Entities	  	$	5,198,100.00	 	 	$	2,599,050.00	 	 	$	0.00	 	 	$	10,195,350.00	 	 	$	0.00	 	 	$	0.00	 	 	$	4,606,550.00	 	 	$	0.00	 	 	$	0.00	 	 	$	2,599,050.00 DEF	 
											
	Total Non-State Funds Leveraged as a Match for Award	  				 				 	$	0.00	 	 				 				 	$	0.00	 	 				 				 	$	0.00	 	 			

 The information above is the entity/Institution’s demonstration of encumbered available funds pursuant to its
certification in Attachment C. The information in the certification shall be updated annually. By approving this form the grant recipient certifies that it has the matching funds available as reflected on the form. 

Matching Fund Deficiencies (DEF) and Credits (CR) 
 The amount
that appears in the “Remaining Dollar Amount to Fulfill Match Requirement” column is calculated to meet the matching funds requirement (50%). This is the amount that is certified at the beginning of the grant. The grantee will complete the
third column at the end of the project year. It is possible for the grant recipient to actually expend more or less than the amount that is certified. In that event, the surplus/deficiency may be carried forward as a credit (CR) or deficiency (DEF).

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 If the grant recipient fails to expend its matching funds requirement for the year, the deficiency may be
carried forward and added to the matching fund requirement for the next project year so long as: 1.) the deficiency is equal to or less than 20% of the total matching funds required for the same period; and 2.) the grant recipient has not previously
had a matching funds deficiency. For a second deficiency of any amount, or for a deficiency greater than 20% of the total matching funds required for the same period, distribution of grant funds will be suspended. Depending upon the amount of the
matching fund deficiency, CPRIT may declare the grant contract in default. 
 If the grant recipient actually expends more than its matching funds
requirement for the year, the surplus may be carried forward to reduce the matching fund requirement for the next project year(s). 
 * Appropriate sources
for encumbered funds dedicated to the CPRIT project may include but are not necessarily limited to: (1) Federal funds (including American Recovery and Reinvestment Act of 2009 funds, and the fair market value of drug development support
provided to the recipient by the National Cancer Institute (NCI) or other similar programs); (2) State of Texas funds (Non-CPRIT); (3) Other States’ funds;
(4) Non-governmental funds (including private funds, foundation grants, gifts and donations); (5) Unrecovered indirect costs not to exceed 10 percent of the grant award amount, subject to the
following conditions: (A) These costs are not otherwise charged against the grant as the five percent indirect funds (B) The Institution or recipient must have a documented federal indirect cost rate or an indirect cost rate certified by
an independent accounting firm; and (C) Is not allowed if the grant recipient is a public or private institution of higher education; and (6) Funds contributed by a subcontractor or subawardee and spent on the Grant Project (use of a
subcontractor’s/subawardee’s federal indirect cost rate does not apply), so long as the subcontractor’s or subawardee’s portion of otherwise allowable Matching Funds for a Project Year may not exceed the percentage of the total
Grant Funds paid to the subcontractor or subawardee for the same Project Year. 
 The following items do not qualify as encumbered funds: 

(1) In-kind costs; (2) Volunteer services furnished to the grant recipient; (3) Noncash contributions;
(4) Income earned not available at the time of award; (5) Pre-existing real estate including building, facilities and land, (6) Deferred giving such as a charitable remainder annuity trust, a
charitable remainder unitrust, or a pooled income fund; or (7) Other items as may be determined by the Oversight Committee. 
  

	**	 All supporting documentation for non-CPRIT funds expended are subject
to compliance review. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

  
 

 
 ATTACHMENT D 

INTELLECTUAL PROPERTY AND REVENUE SHARING 

This Attachment D is hereby incorporated into and made a part of that certain CANCER RESEARCH GRANT CONTRACT (“Contract”) by
and between the Cancer Prevention and Research Institute of Texas (“CPRIT” or the “INSTITUTE”) and the RECIPIENT. A capitalized term used in this Attachment shall have the meaning given the term in the
Contract or in the Attachments to the Contract, unless otherwise defined herein. In the event of a conflict between the provisions of this Attachment and the provisions of the Contract, this Attachment shall control. 

PART 1 
 OWNERSHIP
AND INTELLECTUAL PROPERTY PROTECTION 
 Section D1.01 Ownership of Project Results. RECIPIENT and its Collaborators, and (to the extent
applicable) any third party participating in the development of the Project Results, shall retain ownership of the Institute-Funded Technology and the Institute-Funded IPR, subject to the terms of the Contract. A Collaborator as defined in the
Contract is not a third party that engages with RECIPIENT as a licensing partner. 
 Section D1.02 Transfer or Assignment of Rights to a Third Party.
RECIPIENT shall notify the INSTITUTE of any proposed transfer or assignment of rights in any Project Results to a third party and provide to INSTITUTE a copy of the agreement under which the proposed transfer or assignment is to occur. RECIPIENT
shall ensure that, in any assignment or transfer of Project Results, the transferee or assignee agrees in writing to: (i) recognize that the Institute-Funded IPR and Institute-Funded Technology, as applicable, is transferred or assigned subject
to the licenses, interests and other rights in such Project Results provided to the INSTITUTE in the Contract and any applicable law or regulation, (ii) take all actions necessary to protect all such licenses, interests and other rights, and
(iii) be responsible for and pay all amounts required under Part 4 of this Attachment D. Any attempted transfer or assignment of rights in any Project Results to a third party without written agreement to the conditions in (i) – (iii)
above shall be null, void and of no effect. 
 Section D1.03 Protection of Institute-Funded IPR. Subject to Section D5.01, RECIPIENT shall use
commercially reasonable efforts to appropriately protect the Institute-Funded IPR, including without limitation, diligently seeking registration and maintenance of patents and copyrights covering the Institute-Funded Technology, as appropriate. If
RECIPIENT elects to abandon any patent applications filed or patents issued covering any Institute-Funded Technology in any Major Market Country, RECIPIENT shall provide the INSTITUTE with prior written notice of such election, with sufficient time
(but no less than 60 days) for the INSTITUTE to exercise its rights under this Section D1.03 with respect thereto. Upon notice of the aforesaid, the INSTITUTE shall have the right, but not the obligation, to pursue protection of the applicable
Institute-Funded Technology on its own behalf in such Major Market Country, including directing the filing, prosecution and maintenance of patent applications or patents covering the applicable Institute-Funded Inventions in any of such Major Market
Countries for which the INSTITUTE exercises its rights under this Section D1.03. In the Major Market Countries where the INSTITUTE pursues protection of the Institute-Funded Technology under this Section D1.03, RECIPIENT agrees to grant, and does
hereby grant, to the INSTITUTE a non-exclusive, irrevocable, royalty-free, perpetual license with right to sublicense in the applicable Major Market Countries to the applicable Instituted-Funded Technology and
any applicable Project Results. For clarification, a determination by RECIPIENT to (i) abandon a patent application in favor of a continuation or divisional application or the like, or (ii) narrow the scope of the claimed subject matter,
shall not be deemed an election to abandon such Institute-Funded IPR. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Section D1.04 Cost of Protection. The INSTITUTE shall not be responsible for, and no Grant funds may
be used to pay for, any costs or expenses associated with RECIPIENT’s efforts to protect the Institute-Funded IPR. 
 Section D1.05 Inventions.

 (a) Disclosures and Patent Applications. RECIPIENT shall notify INSTITUTE of each Institute-Funded Invention by delivering to INSTITUTE a copy
of the invention disclosure within thirty (30) days after RECIPIENT receives or generates it. In the event that a patent application is filed on the invention disclosure, RECIPIENT shall provide the INSTITUTE with a complete copy of such patent
application and associated filing documents within (30) days of its filing. 
 (b) Patent Prosecution and Maintenance. For all Institute-Funded
Inventions for which patent protection is pursued, RECIPIENT shall provide an annual written report to the INSTITUTE regarding the status of pending applications and issued patents that are Institute-Funded IPR. 

Section D1.06 Required Agreements with Recipient Personnel and Contractors. The RECIPIENT shall have, maintain and enforce written policies or
agreements applicable to Recipient Personnel and Contractors with terms sufficient to enable RECIPIENT to fully comply with all terms and conditions of this Contract, including that Recipient Personnel and Contractors agree to and hereby assign any
Institute-Funded Inventions to RECIPIENT. RECIPIENT shall promptly report to INSTITUTE any material breach of such policies or agreements relating to or affecting any of the provisions of this Contract. 

Section D1.07 Agreements with Collaborators. All agreements between RECIPIENT and a Collaborator, or a third party participating in the development of
the Project Results, relating to or affecting joint ownership of any Project Result shall recognize the licenses, interests and other rights provided to the INSTITUTE in the Contract. RECIPIENT shall provide to the INSTITUTE a copy of each such
agreement affecting joint ownership of any Project Result. 
 PART 2 

NON-COMMERCIAL LICENSES 

Section D2.01 RECIPIENT License. In granting an Exclusive License to any Project Results, RECIPIENT shall retain the right to Exploit all Project
Results (including material embodiments thereof) for education, research and other non-commercial purposes, and the right to grant the licenses pursuant to Section D2.02 below. 

Section D2.02 INSTITUTE License. RECIPIENT agrees to grant, and does hereby grant, to the INSTITUTE a
non-exclusive, irrevocable, royalty-free, perpetual, worldwide license with right to sublicense under the Project Results and, subject to any existing third party rights, any Necessary Additional IPR to
Exploit all Project Results (including material embodiments of Project Results) by the INSTITUTE, other governmental entities and agencies of the State of Texas, and private or independent institutions of higher education (as defined by Texas law)
located in Texas, for education, research and other non-commercial purposes only pursuant to industry-standard confidentiality and/or material transfer agreements to be entered into between the parties, as
applicable. RECIPIENT shall make the Institute-Funded Technology available by reasonable means to the INSTITUTE in order for the INSTITUTE to exercise its rights under this Section D2.02, at no cost to RECIPIENT. A copy of any written license
granted by INSTITUTE under this Section D2.02 will be provided to RECIPIENT by INSTITUTE within ten (10) days of the effective date of such license. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Section D2.03 No Implied Licenses. No implied licenses are granted under this Agreement including
without limitation any license to any Intellectual Property Rights owned or controlled by RECIPIENT outside of the Institute-Funded IPR. Nothing in this Agreement shall be construed to impose an obligation on RECIPIENT to license or otherwise make
available any of its Intellectual Property Rights or other resources owned or controlled by it except as expressly provided in this Agreement. 

PART 3 

COMMERCIALIZATION OF PROJECT RESULTS 

Section D3.01 Commercialization Strategy. RECIPIENT shall be under a continuing obligation throughout the term of this Contract to enhance and improve
the commercial development plan submitted with the Application and to provide an annual written report to the INSTITUTE regarding the RECIPIENT’s and its licensee’s efforts to commercialize or otherwise bring to practical application
Project Results. The INSTITUTE may, at its option and at any time, provide RECIPIENT with comments regarding the RECIPIENT’s commercial development plan and strategy, in which case RECIPIENT shall consider in good faith and, if appropriate, use
reasonable efforts to account for and incorporate the INSTITUTE’s input into such commercial development plan and strategy. 
 Section D3.02
Commercialization Efforts. The RECIPIENT shall, including whether through its own efforts or the efforts of a licensee under a License Agreement allowed by the terms of this Attachment, use diligent and commercially reasonable efforts to
commercialize at least one Commercial Product or Commercial Service or otherwise bring to practical application the Project Results in accordance with the commercial development plan submitted with the Application and including any changes to such
commercial development plan in accordance with Section D3.01. For the avoidance of doubt, partnering or licensing activities shall be considered to be efforts to commercialize. 

Section D3.03 Licensing of Project Results. Each License Agreement entered into by the RECIPIENT shall include an acknowledgement by the licensee that
(i) such License Agreement is subject to the INSTITUTE’s licenses, interests and other rights under this Contract, and (ii) to the extent that there is a conflict between the terms of the License Agreement and the terms of this
Contract, the terms of this Contract shall prevail. In addition, all License Agreements shall include terms obligating the licensee to report to the RECIPIENT such information as is required for the RECIPIENT to fully comply with the terms of the
Contract, including without limitation the reporting obligations set forth in Attachment E, and to allow RECIPIENT to make the grants specified in Sections D2.02. The RECIPIENT shall monitor the performance of its licensees and such licensees’
compliance with the terms of the License Agreements and shall take commercially reasonable actions to enforce the terms of all License Agreements. The RECIPIENT shall promptly report to the INSTITUTE any material breach of a License Agreement
relating to or affecting any of the material provisions of this Contract. 
 Section D3.04 Cost of Licensing Activities. The INSTITUTE shall not be
responsible for, and no Grant funds may be used to pay for, any costs or expenses associated with the RECIPIENT’s Licensing Activities. 
 Section
D3.05 Survival. The licenses, rights and obligations set forth in this Attachment D, except Section D3.01, shall survive any termination of this Contract, including any termination for convenience by RECIPIENT. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Section D3.06 Recipient Opt-Out. In the event RECIPIENT
determines, after diligently attempting to comply with the terms of Section D3.02, to cease its efforts, either directly or through a licensee, to commercialize or otherwise bring to practical application the Project Results, it will so notify the
INSTITUTE in writing promptly thereafter. Such written notice must identify the Project Results and provide a reasonable explanation of the reasons for the RECIPIENT’s election. Upon receipt of such notice, the INSTITUTE and RECIPIENT shall
meet within thirty (30) days to review the Project Results and rationale for the RECIPIENT’s election. Provided that RECIPIENT’s determination to cease its efforts was not based on material safety concerns related to the Project
Results, the INSTITUTE and RECIPIENT shall engage in good faith negotiations regarding an alternative commercialization strategy and/or revenue sharing approach. 

The INSTITUTE and RECIPIENT may consider, among other options, an award of equity in the RECIPIENT, expansion or modification of the Institute Funded Activity
to cover other commercial products or commercial services being advanced by the RECIPIENT, or some combination thereof. Unless otherwise agreed, if the INSTITUTE and RECIPIENT are unable to achieve an alternative strategy or agreement within one-hundred and eighty (180) days of the RECIPIENT’s initial notice of election, and provided that RECIPIENT’s determination to cease its efforts was not based on material safety concerns related to
the Project Results, the INSTITUTE shall have the right, but not the obligation, to exercise its rights in Section D5.01 in relation to the Project Results at the INSTITUTE’s expense. If the INSTITUTE elects to exercise its rights under Section
D5.01 in relation to the Project Results, the INSTITUTE shall notify the RECIPIENT in writing within the later of 220 days of INSTITUTE’s receipt of the RECIPIENT’s initial notice of election or thirty (30) days following a
declaration by one of the Parties that good faith negotiations have failed. In the event that the INSTITUTE exercises its option under this Section D3.06, the RECIPIENT shall cooperate with the INSTITUTE’s efforts and provide to INSTITUTE
sufficient information such as relevant feasibility studies, trial results, regulatory summaries, and pertinent schedules or deadlines in relation to the Project Results, in commercializing or otherwise bringing to practical application the
applicable Project Results at the INSTITUTE’s cost. For clarity, so long as the RECIPIENT is making efforts to commercialize at least one Commercial Product or Commercial Service, RECIPIENT shall have no obligation to provide the written notice
as described in this Section D3.06. 
 PART 4 

REVENUE SHARING 
 Section D4.01
Revenue Sharing Percentages. In consideration for the Grant Award Proceeds paid to the RECIPIENT by the INSTITUTE under the Contract: 

a. RECIPIENT shall pay to the INSTITUTE during the Revenue Term the following payments until the INSTITUTE receives the aggregate amount of
four hundred percent (400%) of the Grant Award Proceeds: 
 (i) a revenue sharing percentage of [*****] percent ([*****]%) of
Revenue for Cumulative Revenue greater than [*****] U.S. dollars (USD$ [*****]) and less than or equal to [*****] U.S. dollars (USD$ [*****]); 

(ii) a revenue sharing percentage of [*****] percent ([*****]%) of Revenue for Cumulative Revenue greater than [*****] U.S.
dollars (USD$ [*****]) and less than or equal to [*****] U.S. dollars (USD $[*****]); and 
 (iii) a revenue sharing
percentage of [*****] percent ([*****]%) of Revenue for Cumulative Revenue greater than [*****] U.S. dollars (USD $[*****]). 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 For clarity, no payments will be made by the RECIPIENT to the INSTITUTE under this Section
D4.01(a) until the Cumulative Revenue of the Recipient is greater than five million U.S. dollars (USD $5,000,000). 
 b. In the event the
RECIPIENT and/or its licensee is required to obtain a license under Intellectual Property Rights of one or more Third Parties in order to make Sales of Commercial Products and/or Commercial Services in any given country (“Participating
License Sources”), then the revenue sharing percentages set forth under Section D4.01(a)(i)-(iii) may be reduced by one-half percent (0.5%) for every one percent (1%) royalty paid to such Third
Parties on Commercial Products and/or Commercial Services in such country, as applicable, provided that in no event will the payments otherwise due to the INSTITUTE under Section D4.01(a) be less than fifty percent (50%) of the payments that would
be payable to the INSTITUTE absent the effects of this Section D4.01(b). By way of example, if the RECIPIENT is required to obtain such a license from a Third Party in a country wherein the RECIPIENT pays a [*****] royalty for Intellectual Property
Rights that cover Commercial Products and Commercial Services in such country, the revenue sharing percentages under Section D4.01(a)(i), (ii), and (iii) would be reduced to [*****] in such country, respectively. 

Section D4.02 Continued Revenue Sharing. In the event the INSTITUTE receives during the Revenue Term the aggregate amount of four hundred percent
(400%) of the Grant Award Proceeds from the RECIPIENT, the RECIPIENT will continue to pay the INSTITUTE a revenue sharing percentage of [*****] percent ([*****]%) of Revenue for all Revenue generated during the remainder of the Revenue Term. For
clarity, this revenue sharing percentage cannot be reduced as set forth in Section D4.01(b). 
 Section D4.03 Equity. Nothing herein prohibits the
INSTITUTE from negotiating with the RECIPIENT for an equity share in the RECIPIENT in addition to or in lieu of the revenue sharing set forth in Sections D4.01 and D4.02, when mutually agreed to by the INSTITUTE and the RECIPIENT. But under no
circumstances is the INSTITUTE obligated to negotiate for an equity share in the RECIPIENT in lieu of the revenue sharing set forth herein. 
 Section
D4.04 Statements and Timing of Payments. All payments owed pursuant to this Part 4 shall be made to the Cancer Prevention and Research Institute of Texas, and are payable on or before the thirtieth day following the end of the calendar quarter
in which the Revenue is received or, in the case of Section D4.05, the monetary recovery is received. For each payment specified in Sections D4.01 and D4.02, the payment shall be accompanied by a statement specifying for such calendar quarter:
(i) the Contract to which the payment relates, (ii) the identities of, royalty percentages, and amounts actually paid to any Participating License Sources, (iii) the License Agreements, if any, to which the payment relates,
(iv) the quantity of all Sales of each Commercial Product and Commercial Service since the last payment, if Sales are applicable to the current payment, (v) the gross consideration from all such Sales, if Sales are applicable to the
current payment, and (vi) a calculation of the amount of the payment to the Cancer Prevention and Research Institute of Texas. 
 Section D4.05
Recoveries in Enforcement Actions. In the event that the RECIPIENT receives any monetary recovery from its enforcement of Institute-Funded IPR against infringement by a third party, then it shall pay to the State of Texas a share of such
monetary recovery, including any punitive damages, less the documented fees and expenses that are directly associated with such enforcement and are paid by RECIPIENT to third parties, at the same rate and in the same manner as it shares Revenue
pursuant to Sections D4.01 and D4.02 (including any adjustments allowed by Section D4.01(b)). For clarity, if the enforcement action is resolved by way of the execution of a License Agreement with the allegedly infringing third party and such
License Agreement is consistent with this Part 4, then this Section D4.05 is not intended to apply to such License Agreement or the consideration specified therein. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Section D4.06 Revenue-Related Records. In addition to satisfying the requirements of Article IV of the
Contract and Section E1.03 of Attachment E, the RECIPIENT shall keep complete and accurate Revenue-related records until the fourth anniversary of the date of the payment of the last payment owed hereunder, in sufficient detail to permit the
INSTITUTE to confirm the accuracy of the statements delivered to the INSTITUTE under Section D4.04 and the calculation of the payments owed hereunder. 

Section D4.07 Audit of Revenue-Related Records. Upon at least fifteen (15) days’ advance written notice, the RECIPIENT shall permit the
INSTITUTE or its representatives or agents, at the INSTITUTE’s expense, to examine the Revenue-related records of the RECIPIENT pursuant to Section D4.06 once per calendar year during regular business hours for the purpose of and to the extent
necessary to verify the RECIPIENT’s compliance with this Part 4. The rights of the INSTITUTE under this Section D4.07 shall terminate on the fourth anniversary of the date of the payment of the last payment owed hereunder. In the event that any
such examination reveals an underpayment to the INSTITUTE of greater than five percent (5%) of the amounts previously paid by the RECIPIENT to the INSTITUTE, then the RECIPIENT shall reimburse the INSTITUTE for the cost of such examination. 

PART 5  
 OPT-OUT AND DEFAULT 
 Section D5.01 RECIPIENT Opt-Out. If the
INSTITUTE elects to exercise its rights in relation to the Project Results under Section D3.06, the INSTITUTE shall have the right, but not the obligation, to pursue protection of the Applicable Institute-Funded IPR on its own behalf, including
directing the filing, prosecution and maintenance of patents covering the applicable Institute-Funded Inventions and/or to commercialize or otherwise bring to practical application Project Results covered by the Applicable Institute-Funded IPR, at
its own cost, either directly or through one or more licensees. For the purposes of this Part 5, “Applicable Institute-Funded IPR” shall mean all Project Results. If the INSTITUTE elects to exercise any such rights under this Section
D5.01, it shall notify RECIPIENT in writing pursuant to the notification requirements in Section D3.06 and RECIPIENT shall thereafter comply with the terms of Section D5.03 with regard to the Applicable Institute-Funded IPR. 

Section D5.02 RECIPIENT Default. In the event that the INSTITUTE notifies RECIPIENT in writing of RECIPIENT’s failure to materially comply with
its obligations under Section D3.02, and RECIPIENT fails within sixty (60) days of such notice either: (a) to cure such failure, or in the event that such failure cannot be reasonably cured within such
60-day period, to provide to INSTITUTE a plan to cure such failure that INSTITUTE deems acceptable, (b) to provide written notice to the INSTITUTE that such failure was due to material safety concerns, or
(c) to provide proper notice pursuant to Section 3.06, then without further action on the part of the RECIPIENT or INSTITUTE, the RECIPIENT shall be deemed to have provided the INSTITUTE the complete, written notice of its cessation of
efforts as described in Section 3.06, and the INSTITUTE shall be free to exercise its rights under Section 3.06. 
 Section D5.03 RECIPIENT
Cooperation upon Opt-Out or Default. In the event that the INSTITUTE exercises any of its rights under Section D5.01, the RECIPIENT shall: 

(1) subject to any existing third party rights, transfer and assign, and does hereby assign, all of its right, title and interest in and to the applicable
Project Results to the INSTITUTE or the INSTITUTE’s designee, to the maximum extent allowed by law, including where relevant and necessary to facilitate the foregoing transfer, requesting and diligently attempting to obtain any approvals
required by law or otherwise in relation to such transfer, and subject to any existing third party rights, hereby grants to the INSTITUTE a non-exclusive, royalty-free, perpetual, fully transferable and
sublicensable license under any Institute-Funded Technology and Necessary Additional IPR to Exploit the Project Results for the development, manufacture and sale of Commercial Products and Commercial Services and for all other purposes reasonably
related thereto; 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 (2) to the extent that RECIPIENT is unable to transfer all of its right, title and interest in and to the
applicable Project Results to the INSTITUTE as specified in Section D5.03(1), and subject to any existing third party rights, RECIPIENT hereby grants to the INSTITUTE an exclusive, royalty-free, perpetual, fully transferable and sublicensable
license under the Applicable Institute-Funded IPR to Exploit the Project Results for the development, manufacture and sale of Commercial Products and Commercial Services and for all other purposes reasonably related thereto, provided that the
INSTITUTE may exercise the foregoing rights only after exercising its right under Section D5.01; 
 (3) cooperate with the INSTITUTE’s efforts, and at
the INSTITUTE’s cost, in protecting Applicable Institute-Funded IPR and Institute-Funded Technology, and in commercializing or otherwise bringing to practical application the applicable Project Results, including making relevant Recipient
Personnel (to the extent still obligated to RECIPIENT), Contractors, Collaborators, records (including without limitation, laboratory notebooks, electronic records and data), papers, information, samples, specimens and other materials related to the
applicable Project Results reasonably available for such purposes and executing any documents and taking any further action reasonably necessary to effectuate the intent of this Section D5.03; and 

(4) subject to applicable law, not take any action that would oppose or impede the INSTITUTE’s ability to protect the applicable Project Results. 

If the INSTITUTE exercises its rights under Sections D5.01, the RECIPIENT shall have no further claim to or interest in the applicable Project Results, except
as set forth in Section D2.01 of this Attachment and shall not be entitled to any share of Revenue or any other compensation with respect to such Project Results, except to the minimum extent required by law, if any. To the extent that the INSTITUTE
has exercised its rights under Section D5.01 and RECIPIENT is unable to transfer all of its right, title and interest in and to the applicable Project Results to the INSTITUTE as specified in D5.03(1), then the INSTITUTE’s license set forth in
D5.03(2) includes the right, but not the obligation, for the INSTITUTE at its cost to: (i) direct the filing, prosecution and maintenance of patents covering the applicable Project Results, and (ii) enforce all Applicable Institute-Funded
IPR relevant to the Project Results against any infringement by a third party. Subject to the statutory duties of the Texas Attorney General, if any, RECIPIENT shall cooperate fully with the INSTITUTE in any action brought by the INSTITUTE to
enforce the Institute-Funded IPR in the applicable Project Results, at the INSTITUTE’s cost, including without limitation, joining the enforcement action in name as a party plaintiff after all required approvals are obtained; provided that the
INSTITUTE or its designee shall have full control over such enforcement action and shall receive and retain all monetary and other recoveries resulting from such enforcement actions, including any punitive damages. 

PART 6 
 DEFINITIONS

 Throughout this Attachment D, the following underlined terms shall have the meanings given below. 

(1) Commercial Product means anything that is based on, utilizes or is developed from, or materially incorporates, the Project Results and that
is capable of being sold, licensed, transferred or conveyed to another party or is capable of otherwise being Exploited or disposed of, whether in exchange for consideration or not. 

(2) Commercial Service means any service performed that is based on, utilizes or is developed from, or materially incorporates, the Project
Results. For clarity, Commercial Service does not include noncommercial research and development performed by RECIPIENT or its Collaborators or licensees. 

(3) Cumulative Revenue means after the First Commercial Sale worldwide of a Commercial Product or Commercial Service, the sum of all Revenue in
all years and calendar quarters up to the calendar quarter in which the applicable revenue sharing percentage in Section D4.01 is being paid. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 (4) Exclusive License means a License Agreement under which the specific rights granted to the
licensee with respect to the Project Results, including without limitation scope of use and territorial rights, are granted on an exclusive basis. 
 (5)
Exclusivity means any exclusivities granted by the government in a country to provide an entity with protection from competitors in the commercial market for a defined period of time, including but not limited to patent-based
exclusivities (and any patent term extensions, supplementary protection certificates or patent term adjustments thereof, and the like), and market-based “data” exclusivities (e.g., orphan drugs, new chemical entities, biologics, new
formulations or combinations, and pediatric, and the like). For the avoidance of doubt, Exclusivity shall not mean any protection gained solely from either trade secrets or trademarks. 

(6) Exploit or Exploitation means make, have made, use, sell, offer to sell, import, export, or otherwise commercialize, dispose
of, practice, copy, distribute, create derivative works of, publicly perform or publicly display. 
 (7) First Commercial Sale means the first
bona fide arm’s length Sale of a Commercial Product or Commercial Service to a Third Party by or on behalf of RECIPIENT or its licensees for monetary value, for use or consumption by the end user of such Commercial Product or Commercial
Service. For clarity, Sales of a Commercial Product or Commercial Service for registration samples, clinical trial purposes or compassionate use sales, named patient use, test marketing, sampling and promotional uses, intercompany transfers to
affiliates of RECIPIENT or its licensees, shall not constitute a First Commercial Sale. 
 (8) Grant Award Proceeds means the sum of all
monies paid by INSTITUTE to RECIPIENT under the Contract. For clarity, Grant Award Proceeds will not be diminished by the amount of any funds repaid to INSTITUTE by RECIPIENT under Section 4.07 of the Contract. 

(9) Institute-Funded IPR means any and all Intellectual Property Rights in and to Institute-Funded Technology. In no event shall
Institute-Funded IPR include any intellectual property rights and/or technology in existence and owned/controlled by the RECIPIENT prior to the receipt of funds from the INSTITUTE or arising from activities conducted independently of the Project or
acquired independently of the Project. 
 (10) Institute-Funded Invention means an Invention conceived or first reduced to practice by or on
behalf of RECIPIENT, including by Recipient Personnel, Contractor(s) and/or Collaborator(s) in the performance of Institute-Funded Activity. 
 (11)
Institute-Funded Technology means any and all of the following resulting or arising, in whole or in part, from Institute-Funded Activity during the Contract term: (a) proprietary and confidential information, including but not
limited to data, trade secrets, materials and know-how; (b) databases, compilations and collections of data; (c) tools, methods and processes; and (d) works of authorship, excluding all
scholarly works, but including, without limitation, computer programs, source code and executable code, whether embodied in software, firmware or otherwise, documentation, files, records, data and mask works; and all instantiations of the foregoing
in any form and embodied in any form, including but not limited to therapeutics, drugs, drug delivery systems, drug formulations, devices, diagnostics, biomarkers, reagents, methodologies and research tools. Institute-Funded Technology includes
Institute-Funded Inventions. Institute-Funded Technology shall not include items that were conceived of, in existence, or owned/controlled by RECIPIENT prior to receipt of funds from the INSTITUTE or arising from activities conducted
independently of the Project or acquired independently of the Project, such as: (a) proprietary and confidential information, including but not limited to data, trade secrets, materials and know-how;
(b) databases, compilations and collections of data; (c) tools, methods and processes; and (d) works of authorship, excluding all scholarly works, but including, without limitation, computer programs, source code and executable code,
whether embodied in software, firmware or otherwise, documentation, files, records, data and mask works; and all instantiations of the foregoing in any form and embodied in any form, including but not limited to therapeutics, drugs, drug delivery
systems, drug formulations, devices, diagnostics, biomarkers, reagents, methodologies and research tools. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 (12) Intellectual Property Rights or IPR means any and all of the following and
all rights in, arising out of, or associated therewith: (a) all United States and foreign patents and utility models and applications therefor, and all reissues, re-examinations, divisionals, renewals,
substitutions, extensions, provisionals, continuations and continuations-in part thereof, and equivalent or similar rights anywhere in the world in inventions and discoveries; (b) all trade secrets and
rights in know-how, materials and proprietary information; (c) all copyrights, copyright registrations and applications therefor, and all other rights corresponding thereto throughout the world;
(d) all mask works, mask work registrations and applications therefor, and any equivalent or similar rights in semiconductor masks, layouts, architectures or topology; and (e) any similar, corresponding or equivalent rights to any of the
foregoing anywhere in the world. 
 (13) Invention means any idea, composition of matter, method, device, process or discovery that is
conceived and/or reduced to practice, whether patentable or not. 
 (14) License Agreement means an agreement by which an owner of a Project
Result grants any right to Exploit such Project Result to a Third Party in exchange for consideration. 
 (15) Licensing Activities means the
efforts of RECIPIENT or its Collaborator to negotiate, execute or enforce a License Agreement. 
 (16) Major Market Country means one or more
of the following: Canada, France, Germany, Italy, Japan, Spain, Switzerland, United Kingdom, and United States of America. 
 (17) Necessary
Additional IPR means any Intellectual Property Rights (a) owned by RECIPIENT, and (b) identified by the Institute and agreed to in writing by RECIPIENT, that are not Project Results but are necessary to Exploit the Project Results
for the specific purposes set forth in the applicable Section of this Attachment D. 
 (18) Project Results means any and all Institute-Funded
Technology and Institute-Funded IPR. 
 (19) Revenue means the gross consideration, whether cash (for example, but not by way of limitation,
any milestone fees, license fees, sublicense fees, or assignment fees) or non-cash (for example, but not by way of limitation, securities, direct equity interest, indirect equity interest, trade or barter
considerations, and the like), received from Sales to a Third Party by or on behalf of the RECIPIENT and its licensees (including RECIPIENT’s affiliates and sublicensees of RECIPIENT’s licensee), net of: (a) trade or quantity
discounts or rebates, credits, allowances or refunds given for rejected or returned Commercial Products or Commercial Services, (b) any sales, value-added or other tax or governmental charge levied on the sale, transportation or delivery of a
Commercial Product or Commercial Service (but excluding any income tax owed by the RECIPIENT), and (c) any separately stated charges for freight, postage, shipping and insurance. The foregoing notwithstanding, any consideration:
(i) received and used by RECIPIENT or its licensees for the purpose of research or development of Commercial Products and Commercial Services, or (ii) received from Sales made solely in the performance of clinical trials designed to obtain
regulatory approval for a Commercial Product or Commercial Service, or (iii) received by RECIPIENT or its licensees from Sales made for compassionate use where no profit was obtained by RECIPIENT or its licensees shall not be included in this
term. 
 (20) Revenue Term means the period commencing on the date of the First Commercial Sale of a Commercial Product or Commercial Service
and ending, on a country-by-country basis, when there is not, or there no longer exists, any Exclusivity for the Commercial Product or Commercial Service in such
country. If there is no Exclusivity for a Commercial Product or Commercial Service in any Major Market Country, the Revenue Term shall mean the period commencing on the date of the First Commercial Sale of such Commercial Product or Commercial
Service and ending twelve (12) years later. 
 (21) Sale or Sales means any sale, license, lease, transfer, conveyance or
other Exploitation or disposition of a Commercial Product or Commercial Service for which consideration from a first Third Party is received. For clarity, transfer or assignment of a Commercial Product or Commercial Service in connection with a
merger, consolidation, transfer or sale of all, or substantially all, of RECIPIENT’s business or assets, or change of control or similar transaction involving the RECIPIENT will not constitute a Sale. 

(22) Third Party means a party other than (a) the RECIPIENT, (b) any affiliate or licensee of the RECIPIENT, either directly or
through any sublicenses, or (c) an entity that enjoys any special course of dealing with any of (a) or (b) above. 
 Other terms may be defined
elsewhere in this Attachment or in the Contract. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 ATTACHMENT E 

REPORTING REQUIREMENTS 
 This Attachment E
is hereby incorporated into and made a part of that certain CANCER RESEARCH GRANT CONTRACT (“Contract”) by and between the Cancer Prevention and Research Institute of Texas (“CPRIT” or the
“INSTITUTE”) and the RECIPIENT. A capitalized term used in this Attachment shall have the meaning given to term in the Contract or in the Attachments to the Contract, unless otherwise defined herein. In the event of a
conflict between the provisions of this Attachment and the provisions of the Contract, this Attachment shall control. 
 INSTITUTE and RECIPIENT agree as
follows: 
 ANNUAL REPORTING 
 Section E1.01 Annual
Reports. The RECIPIENT shall submit reports annually to the INSTITUTE within 60 days of the anniversary of the Effective Date of this Contract or at such other time as may be specified herein. The reports shall be submitted by the means and in
the form(s) required by the INSTITUTE and shall be signed by the Principal Investigator/Program Director and the RECIPIENT’s Authorized Signing Official. To the extent possible, the reports shall only include information that may be shared
publicly. However, if it is necessary to submit information in the reports that the RECIPIENT considers confidential in order to fully comply with the terms of this Contract, then the RECIPIENT shall use reasonable efforts to mark such information
as “confidential” and shall, to the extent practicable, to segregate such information within the reports to facilitate its redaction should redaction ever be necessary or appropriate. 

Section E1.02 Contents of Reports. Each report shall contain a signed verification (electronic signature is acceptable) of RECIPIENT’s compliance
with each of its obligations as set forth in the Contract and shall include the following for the period covered by such report, as may then be applicable: 
  

	 	(a)	 Project Data. During the term of the Contract, RECIPIENT shall include in its annual report each of the
following (except that the final annual report due under this part (a) shall be due within ninety (90) days after the end of the term of the Contract): 

 

	 	(1)	 A brief statement of the progress made to under the Scope of Work, including the progress to achieve the
Project Goals and Timelines set forth in Attachment A. 

  

	 	(2)	 A brief statement of the Project Goals for the twelve months following submission of the report.

  

	 	(3)	 New jobs created in the preceding twelve month period as a result of the Grant funds awarded to RECIPIENT.

  

	 	(4)	 An inventory of the Equipment purchased for the Project using Grant funds. 

 

	 	(5)	 A HUB report in accordance with Section 3.08 “Historically Underutilized Businesses” of the
Contract. 

  

	 	(b)	 Commercialization Data. During the term of the Contract and continuing thereafter for so long as
RECIPIENT has ongoing obligations to the INSTITUTE with respect to protection, development, commercialization and licensing of Project Results pursuant to Attachment D, RECIPIENT shall provide information about commercialization activities in a
format specified by the INSTITUTE. 

  

	 	(c)	 Revenue Sharing Data. During the term of the Contract and continuing thereafter for so long as RECIPIENT
has ongoing obligations to the INSTITUTE with respect to revenue sharing pursuant to Attachment D: 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 (1) A statement of the identities of the funding sources, amounts and dates of funding for all funding
sources for the Project. 
 (3) A brief statement of the RECIPIENT’s efforts to secure additional funds to support the Project. 

(4) All financial information necessary to verify the calculation of the revenue sharing amounts specified in Attachment D. 

(d) Additional Data. In addition to the foregoing, RECIPIENT shall use commercially reasonable efforts to also promptly report any other information
required by this Contract or otherwise reasonably requested by the INSTITUTE, the Legislature, or any other funding or regulatory bodies covering the RECIPIENT’s activities under this Contract. 

Section E1.03 Record Keeping and Audits. The provisions of Article IV of the Contract shall apply fully to all information reported to the INSTITUTE
pursuant to this Attachment, except that the right of the State of Texas to audit and the RECIPIENT’s obligation to maintain Records shall continue until four years after the date of each such report made by RECIPIENT hereunder. 

Section E1.04 Confidentiality of Documents and Information. The provisions of Section 2.13 “Confidentiality of Documents and
Information” of the Contract shall apply fully to all Confidential Information reported, delivered or submitted to the INSTITUTE pursuant to this Attachment E. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 Grant ID: DP150127 

PI/PD/CR: Amato Giaccia 

Organization: Ruga CorporationEX-10.2

 Exhibit 10.2 

Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Exchange Act of
1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

EXCLUSIVE LICENSE AGREEMENT 
 This
Agreement between THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY (“Stanford”), an institution of higher education having powers under the laws of the State of California, and Ruga Corporation, (“RUGA”), a
corporation having a principal place of business at 550 Hamilton Avenue, Suite 220, Palo Alto CA 94301, is effective on the 25th day of January, 2012 (“Effective Date”). 

1 BACKGROUND 
 Stanford has an assignment of an invention
for cancer treatment and compounds that are active against for treatment of cancer. This was invented in the laboratory of Drs. Jennifer Cochran and Amato Giaccia entitled “Biologic inhibitors for therapeutic targeting the receptor tyrosine
kinase AXL.” This invention was made in the course of research supported by the Coulter Foundation. Previously, the parties entered into an option with terms for this docket and RUGA now wishes to exercise its option and license the technology.
Stanford wants to have the invention perfected and marketed as soon as possible so that resulting products may be available for public use and benefit. 

2 DEFINITIONS 
  

	2.1	 “Exclusive” means that, subject to Articles 3 and 5, Stanford will not grant further licenses under
the Licensed Patents in the Exclusive Licensed Field of Use in the Licensed Territory. 

  

	2.2	 “Exclusive Licensed Field of Use” means the treatment, prevention, or palliation of diseases,
conditions, syndromes and maladies of humans and animals. 

  

	2.3	 “Licensed Patent” means Solely Owned Patents and Jointly Owned Patents. Any claim of an unexpired
issues Licensed patent is presumed to be valid unless it has been held to be invalid by a final judgment of a court of competent Jurisdiction from which no appeal can be or is taken. 

 

	2.4	 “Jointly Owned Patents” means (a) any and all U.S. Patent Applications related or derived from
Solely Owned Patents as defined below that name as inventors at least one inventor who is named as an inventor in a Solely Owned Patent and is obligated to assign his/her rights in such invention to Stanford and at least one inventor who is
obligated to assign his/her rights in such invention to RUGA; (b) any and all foreign patent applications corresponding thereto for any of these patent applications defined herein; (c) any and all patents that issue from any of these
patent applications defined herein; and (d) any and all reissues, reexaminations or foreign equivalents thereof of any of these patents defined herein. 

  

	2.5	 Solely Owned Patents” mean Stanford’s U.S. Patent Applications, Serial Number 611336,478, filed
January 22, 2010; any patent applications corresponding thereto, and any divisional, continuation, continuation-in-part filed within two (2) years of the
Effective Date (and any foreign application corresponding thereto) that is supported by the specification of the parent application, or reexamination application, and each patent that issues or reissues from any of these patent applications. Any
claim of an unexpired issued Licensed Patent is presumed to be valid unless it has been held to be invalid by a final judgment of a court of competent jurisdiction from which no appeal can be or is taken. “Licensed Patent” excludes any continuation-in-part (CIP) patent application or patent initially filed more than two (2) years of the Effective Date. 

 

	2.6	 “Licensed Product” means a product or part of a product in the Licensed Field of Use where the
making, using, importing or selling of which, absent this license, infringes, induces infringement, or contributes to infringement of a Licensed Patent. 

  

  
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under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

	2.7	 “Licensed Territory” means worldwide. 

 

	2.8	 “Non-Exclusive Licensed Field of Use” means the diagnosis of
humans and animals. 

  

	2.9	 “Major Market” shall mean the United States, the United Kingdom, France, Germany, Italy, Spain or
Japan. 

  

	2.10	 “Net Sales” means all gross revenue derived through RUGA or sublicensees from the sales of Licensed
Products covered by a Valid Claim Patent. Net Sales excludes the following items (but only as they pertain to the making, using, importing or selling of Licensed Products, are included in gross revenue, and are separately billed):

 (A) import, export, excise and sales taxes, compulsory government payments and custom duties; 

(B) costs of insurance, packing, and transportation from the place of manufacture to the customer’s premises or point of installation;

 (C) discounts, cash discounts, retroactive price reductions and rebates actually allowed or granted; 

(D) credit for returns, allowances, chargebacks or trades; and 

(E) bad debt (provided that any such bad debt that is actually recovered shall be included in Net Sales in the period in which it is so
recovered). 
  

	2.11	 “Stanford Indemnitees” means Stanford and Stanford Hospitals and Clinics, and their respective
trustees, officers, employees, students, and agents. 

  

	2.12	 “Technology” means the Licensed Patents and that additional information or materials listed in
Appendix D that will be provided by Stanford to RUGA. Technology may or may not be confidential in nature. 

  

	2.13	 “Valid Claim” means a claim of an issued patent within the Licensed Patents that has not lapsed,
expired, been canceled, or becomes abandoned, and has not been held invalid by a court or other appropriate body of competent jurisdiction, unappealable or unappealed with the time allowed for appeal, and which has not been admitted to be invalid or
unenforceable through reissue, disclaimer or otherwise, which would be infringed in the country of sale by the making, having made, using, offer for sale, selling or importing Licensed Product, but for the licenses granted to RUGA herein. Any claim
of a pending application will be deemed to be invalid if such application is pending for more than seven (7) years, until such time is it becomes part of an issued patent. 

3 GRANT 
  

	3.1	 Grant. Subject to the terms and conditions of this Agreement, Stanford grants RUGA an Exclusive license
under the Solely Owned Patents and Jointly Owned Patents in the Exclusive Licensed Field of Use and a nonexclusive license under the Solely Owned Patents in the Non-Exclusive Licensed Field of Use, to make,
have made, use, import, offer to sell and sell Licensed Products in the Licensed Territory. 

  

	3.2	 Term. The license term is on a
country-by-country basis for the life of the last to expire of the Licensed Patents in such country, at which time, RUGA shall have a fully-paid, perpetual, irrevocable,
sublicensable and assignable license to the Technology. 

  
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	3.3	 Retained Rights. Stanford retains the right, on behalf of itself and all other nonprofit academic
research institutions, to practice the Licensed Patents and use Technology for any non-profit purpose, including sponsored research and collaborations. RUGA agrees that, notwithstanding any other provision of
this Agreement, it has no right to enforce the Licensed Patents against any such institution that is using the Licensed Patents for any non-profit purpose. If there is
a·non-profit organization whose activities adversely affect the commercial market of RUGA, Stanford and RUGA will discuss the situation and modify the License Agreement if and as appropriate. Stanford
and any such other institution has the right to publish any information included in the Technology or a Licensed Patent after providing RUGA with 30 days prior notice and an opportunity to review such publication. 

 

	3.4	 Specific Exclusion. Stanford does not: 

(A) grant to RUGA any other licenses, implied or otherwise, to any patents or other rights of Stanford other than those rights granted under
Licensed Patent, regardless of whether the patents or other rights are dominant or subordinate to any Licensed Patent, or are required to exploit any Licensed Patent or Technology; 

(B) commit to RUGA to bring suit against third parties for infringement, except as described in Article 14; and 

(C) agree to furnish to RUGA any technology or technological information other than the Technology or to provide RUGA with any assistance
except as set forth in this Agreement. 
 4 SUBLICENSING 
  

	4.1	 Permitted Sublicensing. RUGA may grant sublicenses in the Exclusive Licensed Field of Use only during
the Exclusive term and only if RUGA (directly or through its partners or sublicensees) is, at the time of sublicense, developing or selling Licensed Products, and as of the date of the grant of such sublicense, RUGA or its partners or sublicensees
has met the then applicable diligence requirements in Appendix A for at least one Licensed Product. In addition, sublicense with any exclusivity must include reasonable diligence requirements. RUGA may grant sublicenses in the Non-Exclusive Licensed Field of Use only with the consent of Stanford, which will not be unreasonably withheld or delayed. 

  

	4.2	 Required Sublicensing. If RUGA is unable or unwilling to serve or develop a potential market or market
territory for which there is a company willing to be a sublicensee, RUGA will, at Stanford’s request, consider a commercially reasonable sublicense with any such sublicensee. Stanford would like licensees to address unmet needs, such as those
of neglected patient populations or geographic areas, giving particular attention to improved agricultural, therapeutics and diagnostics for the developing world. 

 

	4.3	 Sublicense Requirements. Any sublicense: 

(A) is subject to this Agreement; 

(B) will reflect that any sublicensee will not further sublicense without the consent of Stanford, which will not be unreasonably withheld or
delayed; 

  
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under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 (C) will prohibit sublicensee from paying royalties to an escrow account; 

(D) will expressly include the provisions of Articles 8, 9, and 10 for the benefit of Stanford; 

(E) will include the provisions of Article 4.4 and require the transfer of all the sublicensee’s obligations to RUGA, including the
payment of royalties specified in this Agreement, to Stanford or its designee, if this Agreement is terminated, in which case Stanford shall permit such sublicensee to continue to practice under the Licensed Patents and Technology. 

 

	4.4	 Litigation by Sublicensee. Any sublicense must include the following clauses: 

(A) In the event sublicensee brings an action seeking to invalidate any Licensed Patent: 

(1) sublicensee will double the payment paid to the RUGA during the pendency of such action. Moreover, should the outcome of such action
determine that any claim of a patent challenged by the sublicensee is both valid and infringed by a Licensed Product, sublicensee will pay triple times the payment paid under the original sublicense; 

(2) sublicensee will have no right to recoup any royalties paid before or during the period challenge; 

(3) any dispute regarding the validity of any Licensed Patent shall be litigated in the courts located in Santa Clara County, and the parties
agree not to challenge personal jurisdiction in that forum; 
 (4) sublicensee shall not pay royalties into any escrow or other similar
account 
 Sublicensee will provide written notice to Stanford at least three months prior to bringing an action seeking to invalidate a
Licensed Patent. Sublicensee will include with such written notice an identification of all prior art it believes invalidates any claim of the Licensed Patent. 
  

	4.5	 Copy of Sublicenses. RUGA will submit to Stanford a copy of each sublicense. 

 

	4.6	 Sharing of Sublicensing Income. RUGA will pay the following percentages on all sublicensing payments,
excluding Earned Royalties (earned royalties will be treated as a pass through to Stanford as if RUGA made the sale as provided in the Section 2.10 Net Sales definition). For purposes hereof, “sublicensing payments” shall mean the
total gross proceeds (exclusive of Earned Royalties) from a sublicensee, including any license fees, maintenance fees, or milestone payments, whether consisting of cash or any other forms of consideration, which are actually received by RUGA in
consideration of the grant of a sublicense of the Licensed Patents, provided however, “sublicensing payments” shall not include proceeds attributed in such sublicense or such agreement, arrangement or other relationship to bona fide
(i) debt financing; (ii) equity (and conditional equity, such as warrants, convertible debt and the like) investments in RUGA at market value; (iii) reimbursements of patent prosecution, maintenance and enforcement costs actually
incurred by RUGA; and (iv) reimbursement for the cost of research and/or development services and manufacturing and supply to be provided on a going forward basis by RUGA for the applicable sublicensee. Notwithstanding the foregoing, RUGA shall
not have any obligation to make any payments to Stanford in connection with any sublicenses of any Jointly Owned Patent and the term “sublicensing payments” as used in this Section 4.6 shall not include any gross proceeds received by
RUGA in consideration of the grant of a sublicense of any Jointly Owned Patent. RUGA pay the following percentages of sublicensing payments: 

(A) Sublicensing payments received before IND is filed in the U.S. or equivalent for another Major Market: [*****] of all sublicensing
payments; 

  
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 (B) Sublicensing payments received after an IND is filed in the U.S or equivalent for another
Major Market prior to completion of Phase I Clinical Trial: [*****] of all sublicensing payments; 
 (C) Sublicensing payments received
before the Phase II Clinical Trial is complete and after Phase I Clinical Trial is completed: [*****] of all sublicensing payments; 
 (D)
Sublicensing payments received earlier of after Phase II Clinical Trial is completed as: [*****] of all sublicensing payments. 
 In the
event that a sublicensing payment is due under this Section 4.6 and as a result of the same event giving rise to such sublicensing payment, RUGA is obligated to pay Stanford under Section 7.3, the maximum payable to Stanford shall to the
greater of the amount due under this Section 4.6, or under Section 7.3. 
  

	4.7	 Sublicensing of Jointly Owned Patents. RUGA shall only be obligated to comply with the terms and conditions of
Sections 4.1-4.5 and 4.7 of this Agreement with respect to the sublicensing of any Jointly Owned Patent if RUGA is granting a sublicense under Stanford’s interest in such Jointly Owned Patent. If RUGA is
only granting rights under RUGA’s ownership interest in such Jointly Owned Patent, then the terms and conditions of Sections 4.1-4.5 and 4.8 shall not apply. 

 

	4.8	 Royalty-Free Sublicenses. If RUGA pays all royalties due Stanford from a sublicensee’s Net Sales, RUGA may
grant that sublicensee a royalty-free or noncash: 

 (A) sublicense or 

(B) cross-license. 
 5 GOVERNMENT RIGHTS

 In the event that this Agreement is subject to Title 35 Sections 200-204 of the United States Code. Among
other things, these provisions provide the United States Government with nonexclusive rights in the Licensed Patent. They also impose the obligation that Licensed Product sold or produced in the United States be “manufactured substantially in
the United States.” RUGA will ensure all obligations of these provisions are met. 
 6 DILIGENCE 

 

	6.1	 Milestones. Because the invention is not yet commercially viable as of the Effective Date, RUGA
(directly or through its partners or sublicensees) will use its best efforts to diligently develop, manufacture, and sell a Licensed Product and will diligently develop markets for a Licensed Product in the Exclusive Licensed Field. In addition,
RUGA (directly or through its partners or sublicensees) will use its best efforts to meet the milestones shown in Appendix A for at least one Licensed product, and notify Stanford in writing as each milestone is met. 

 

	6.2	 Progress Report. By March 1 of each year, RUGA will submit a written annual report to Stanford
covering the preceding calendar year. The report will include information sufficient to enable Stanford to satisfy reporting requirements of the U.S. Government and for Stanford to ascertain progress by RUGA toward meeting this Agreement’s
diligence requirements. Each report will describe, where relevant: RUGA’s progress toward commercialization of Licensed Product, including work completed, key scientific discoveries, summary of work-in-progress, current schedule of anticipated events or milestones, market plans for introduction of Licensed Product, and significant corporate transactions involving Licensed Product.

  
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	6.3	 Clinical Trial Notice. RUGA will notify Stanford prior to commencing any clinical trials at Stanford.

 7 ROYALTIES 
  

	7.1	 Issue Royalty. RUGA will pay to Stanford a noncreditable, nonrefundable license issue royalty of [*****]
upon signing this Agreement. 

  

	7.2	 License Maintenance Fee. Beginning on January 1,2013 and each January 1st thereafter, RUGA will pay
Stanford a yearly license maintenance fee as follows: 

 a) First anniversary-[*****] 

b) Second anniversary-[*****] 
 c)
Third Anniversary and thereafter-[*****] 
 Yearly maintenance payments are nonrefundable, but they are creditable each year as described in
Section 7.6. 
  

	7.3	 Milestone Payments. RUGA will pay Stanford the following milestone payments: 

a) IND filing in a Maj or Market-[*****]; 

b) Begin Phase II -[*****] (i.e. dosing of first patient) Begin Phase III-[*****] (i.e. dosing of first
patient); 
 c) Approval of filed BLAINDA in US -[*****]; 

d) Approval of filed BLAINDA equivalent in the first of the United Kingdom, France, Germany, Italy, Spain and Japan -[*****]. 

In the event that a milestone payment is due under this Section 7.3 and as a result of the same event, RUGA receives sublicensing payments
from a sublicensee, the maximum payable to Stanford shall to the greater of the amount due under this Section 7.3, or under Section 4.6. 

In the event that the above milestone is made for a Licensed Product covered solely by a Jointly Owned Patent, the above milestone payments to
Stanford shall be reduced by [*****]. 
  

	7.4	 Earned Royalty. RUGA will pay Stanford earned royalties (Y%) on Net Sales as follows:

 a) [*****] of incremental Net Sales of Licensed Products exceeding [*****]; 

b) [*****] of incremental Net Sales of Licensed Products equal to [*****] and more than [*****]; 

c) [*****] of incremental Net Sales of Licensed Products less than [*****]. 

[*****] 
 If a governmental entity
in any jurisdiction “breaks” a patent licensed from Stanford without the requirement that a royalty be paid to RUGA or Stanford or if Stanford or RUGA is obligated to issue a sublicense to a third party or governmental entity in any
jurisdiction as a matter of law, rule, regulation or government action, and such license contains royalty rates lower than those due from RUGA, the royalties due from RUGA shall be adjusted automatically in such jurisdiction to equal the rates due
from the party receiving the compulsory license or benefit of the Stanford patent having been broken. 

  
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 For any Licensed Product sold as part of a combination product, Net Sales with respect to
such Licensed Product shall be adjusted downward to reflect the existence of more than one active therapeutic ingredient as a component in the sales price of such combination product based on the fair value contributed to the Licensed Product by
each active therapeutic ingredient. With respect to any Licensed Product relying upon a proprietary delivery system for which RUGA owes a royalty to a third party, RUGA may choose to have such delivery system regarded as a therapeutic ingredient
pursuant to this combination product provision or may take account of such royalty obligation to a third party under the stacking provisions described above, but not both. Regardless of such choice, such adjustment shall not exceed a reduction in a
royalty payment by more than [*****]. 
 All the applicable royalties set forth above in this Section 7.4 (including the annual minimum
payment in 7.2) shall be reduced by [*****] for any Licensed Products covered solely by one or more Jointly Owned Patents and sold in the Exclusive Licensed Field of Use. Notwithstanding anything to the contrary in this Agreement, RUGA shall not
have any obligations to make any payments to Stanford based upon the sale in the Non-Exclusive Field of Use of any Licensed Products covered solely by one or more Jointly Owned Patents or based on any recovery
obtained by RUGA pursuant to Section 14.4 with respect to infringement of a Jointly Owned Patent in the Non-Exclusive Field of Use. 

                       
      
 [*****] 

 

	7.5	 Earned Royalty if RUGA Challenges the Patent. Notwithstanding the above, should RUGA bring an
action seeking to invalidate any Licensed Patent, RUGA will pay royalties to Stanford at the rate of 2 x Y percent (2x Y%, the applicable royalty rate per 7.4 above)) of the Net Sales of all Licensed Products sold during the pendency of such action.
Moreover, should the outcome of such action determine that any claim of patent challenged by RUGA is both valid and infringed by a Licensed Product, RUGA will thereafter pay royalties at the rate of3 x Y percent (3xY%) of the Net Sales of all
Licensed Products sold. 

  

	7.6	 Creditable Payments. The license maintenance fee for a year may be offset against earned royalty
payments due on Net Sales occurring in that year, including the [*****]minimum fee. 

 For example: 

(A) if RUGA pays Stanford a $10 maintenance payment for year Y, and according to Section 7.4, $15 in earned royalties are due Stanford for Net
Sales in year Y, RUGA will only need to pay Stanford an additional $5 for that year’s earned royalties; and 
 (B) if RUGA pays Stanford
a $10 maintenance payment for year Y, and according to Section 7.4, $3 in earned royalties are due Stanford for Net Sales in year Y, RUGA will not need to pay Stanford any earned royalty payment for that year. RUGA will not be able to offset the
remaining $7 against a future year’s earned royalties. 
  

	7.7	 Obligation to Pay Royalties. For convenience’s sake, the amount of that royalty due to Stanford for
RUGA’s exercise of its licensed rights hereunder is calculated using Net Sales. Nonetheless, if certain Licensed Products are made, used, imported, or offered for sale before the date this Agreement terminates, and those Licensed Products are
sold after the termination date, RUGA will pay Stanford an earned royalty for its exercise of rights based on the Net Sales of those Licensed Products. 

  

	7.8	 No Escrow. RUGA shall not pay royalties into any escrow or other similar account. 

  
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	7.9	 Currency. RUGA will calculate the royalty on sales in currencies other than U.S. Dollars using the
appropriate foreign exchange rate for the currency quoted by the Wall Street Journal on the close of business on the last banking day of each calendar quarter. If an exchange rate is not published in the Wall Street Journal then the exchange rate
shall be that fixed by the U.S. Government. RUGA will make royalty payments to Stanford in U.S. Dollars unless Ruga derives sales proceeds from a country in which currencies are not convertible or exportable and then Ruga can make royalty payments
to Stanford by depositing such royalties in a bank designated by Stanford in that country. 

  

	7.10	 Non-U.S. Taxes. RUGA will pay all
non-U.S. taxes related to royalty payments. These payments are not deductible from any payments due to Stanford. 

  

	7.11	 Interest. Any payments not made when due will bear interest at the lower of (a) the Prime Rate
published in the Wall Street Journal plus 200 basis points or (b) the maximum rate permitted by law. 

 8 ROYAL TY REPORTS,
PAYMENTS, AND ACCOUNTING 
  

	8.1	 Quarterly Earned Royalty Payment and Report. Beginning with the first sale of a Licensed Product, RUGA
will submit to Stanford a written report (even if there are no sales) and an earned royalty payment within 45 days after the end of each calendar quarter. This report will be in the form of Appendix B and will state the number, description, and
aggregate Net Sales of Licensed Product during the completed calendar quarter. With each report RUGA will include any earned royalty payment due Stanford for the completed calendar quarter (as calculated under Section 7.4).

  

	8.2	 No Refund. In the event that a validity or non-infringement
challenge of a Licensed Patent brought by RUGA is successful, RUGA will have no right to recoup any royalties paid before or during the period challenge. 

  

	8.3	 Termination Report. RUGA will pay to Stanford all applicable royalties and submit to Stanford a written
report within 90 days after the license terminates. RUGA will continue to submit earned royalty payments and reports to Stanford after the license terminates, until all Licensed Products made or imported under the license have been sold.

  

	8.4	 Accounting. RUGA will maintain records showing manufacture, importation, sale, and use of a Licensed
Product for 3 years from the date of sale of that Licensed Product. Records will include general-ledger records showing cash receipts and expenses, and records that include: production records, customers, invoices, serial numbers, and related
information in sufficient detail to enable Stanford to determine the royalties payable under this Agreement. 

  

	8.5	 Audit by Stanford. RUGA will allow Stanford or its designee to examine RUGA’s records to verify
payments made by RUGA under this Agreement upon reasonable notice at reasonable times. 

  

	8.6	 Paying for Audit. Stanford will pay for any audit done under Section 8.5. But if the audit reveals
an underreporting of earned royalties due Stanford of 10% or more for the period being audited, RUGA will pay the audit costs. 

  

	8.7	 Self-audit. RUGA will conduct an independent audit of sales and royalties at least every 2 years if
annual sales of Licensed Product are over $100,000,000. The audit will address, at a minimum, the amount of gross sales by or on behalf of RUGA during the audit period, the amount of funds owed to Stanford under this Agreement, and whether the
amount owed has been paid to Stanford and is reflected in the records of the RUGA. RUGA will submit the auditor’s report promptly to Stanford upon completion. RUGA will pay for the entire cost of the audit. 

  
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 9 EXCLUSIONS AND NEGATION OF WARRANTIES 

 

	9.1	 Negation of Warranties. Stanford provides RUGA the rights granted in this Agreement AS IS and WITH ALL
FAULTS. Stanford makes no representations and extends no warranties of any kind, either express or implied other than as set forth in this Agreement. Among other things, Stanford disclaims any implied warranty: 

(A) of merchantability, of fitness for a particular purpose; 

(B) of non-infringement; or 

(C) arising out of any course of dealing. 
  

	9.2	 Representation of Ownership. Stanford’s Office of Technology Licensing represents and warrants
that: 

 (A) the Licensed Patents are owned by Stanford free and clear of any liens, Stanford has not assigned or licensed
any rights therein to any other party and Stanford has the authority to enter into this Agreement and license the Licensed Patents; 
 (B) to
its knowledge, as of the Effective Date of this Agreement (i) there are no inventions or invention disclosures from Dr. Cochran or Dr. Giaccia, or their research laboratories at Stanford, or any other third party which if patented
would prevent RUGA from practicing the rights licensed hereunder and (ii) the Licensed Patents do not infringe the rights of any third parties; and 

(C) Stanford shall provide RUGA with any analyses or reports commissioned by Stanford’s Office of Technology Licensing regarding the
intellectual property covered by this agreement. 
  

	9.3	 No Representation of Licensed Patent. RUGA also acknowledges that Stanford does not represent or
warrant: 

 (A) the validity or scope of any Licensed Patent, or 

(B) that the exploitation of Licensed Patent or Technology will be successful. 

10 INDEMNITY 
  

	10.1	 Indemnification. RUGA will indemnify, hold harmless, and defend all Stanford Indemnitees against any
claim of any kind arising out of or related to the exercise of any rights granted RUGA under this Agreement or the breach of this Agreement by RUGA other than a claim related to or resulting from a breach of the representations and warranties
by Stanford herein or the gross negligence of Stanford. 

  

	10.2	 No Indirect Liability. Stanford is not liable for any special, consequential, lost profit, expectation,
punitive or other indirect damages in connection with any claim arising out of or related to this Agreement, whether grounded in tort (including negligence), strict liability, contract, or otherwise other than a claim related to or resulting from a
breach of the representations and warranties by Stanford herein or the gross negligence of Stanford. 

  

	10.3	 Workers’ Compensation. RUGA will comply with all statutory workers’ compensation and
employers’ liability requirements for activities performed under this Agreement. 

  
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	10.4	 Insurance. During the term of this Agreement, RUGA will maintain Comprehensive General Liability
Insurance, including Product Liability Insurance, with a reputable and financially secure insurance carrier to cover the activities of RUGA and its sublicensees (or shall cause such sublicensees to maintain such insurance or an adequate program of
self-insurance), provided that during which time RUGA is conducting clinical trials with Licensed Product. Commencing with the first use of a Licensed Product in humans, the insurance will provide minimum limits of liability of $5,000,000 and will
include all Stanford Indemnitees as additional insureds. Insurance must cover claims incurred, discovered, manifested, or made during or after the expiration of this Agreement and must be placed with carriers with ratings of at least A-as rated by A.M. Best. Within 15 days of the Effective Date of this Agreement, RUGA will furnish a Certificate of Insurance evidencing primary coverage and additional insured requirements. RUGA will provide to
Stanford 30 days prior written notice of cancellation or material change to this insurance coverage. RUGA will advise Stanford in writing that it maintains excess liability coverage (following form) over primary insurance for at least the minimum
limits set forth above. All insurance of RUGA will be primary coverage; insurance of Stanford and Stanford Hospitals and Clinics will be excess and noncontributory. 

11 EXPORT 
 Licensee and its affiliates and sublicensees
shall comply with all United States laws and regulations controlling the export of licensed commodities and technical data. (For the purpose of this paragraph, “licensed commodities” means any article, material or supply but does not
include information; and “technical data” means tangible or intangible technical information that is subject to US export regulations, including blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications,
manuals and instructions.) These laws and regulations may include, but are not limited to, the Export Administration Regulations (15 CFR 730-774), the International Traffic in Arms Regulations (22 CFR 120-130) and the various economic sanctions regulations administered by the US Department of the Treasury (31 CFR 500-600). 

Among other things, these laws and regulations prohibit or require a license for the export or retransfer of certain commodities and technical data to
specified countries, entities and persons. Licensee hereby gives written assurance that it will comply with, and will cause its affiliates and sublicensees to comply with all United States export control laws and regulations, that it bears sole
responsibility for any violation of such laws and regulations by itself or its affiliates or sublicensees, and that it will indemnify, defend and hold Stanford harmless for the consequences of any such violation other than as a result of a breach of
the representations and warranties by Stanford herein or the gross negligence of Stanford. 
 12 MARKING 

Before any Licensed Patent issues, RUGA will mark Licensed Product with the words “Patent Pending.” Otherwise, RUGA will mark Licensed Product with
the number of any issued Licensed Patent. 

  
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 13 STANFORD NAMES AND MARKS 

14 RUGA WILL NOT IDENTIFY STANFORD IN ANY PROMOTIONAL STATEMENT, OR OTHERWISE USE THE NAME OF ANY STANFORD FACUL TY MEMBER, EMPLOYEE, OR STUDENT, OR ANY
TRADEMARK, SERVICE MARK, TRADE NAME, OR SYMBOL OF STANFORD OR STANFORD HOSPITALS AND CLINICS, INCLUDING THE STANFORD NAME, UNLESS RUGA HAS RECEIVED STANFORD’S PRIOR WRITTEN CONSENT. PERMISSION MAY BE WITHHELD AT STANFORD’S SOLE DISCRETION.
STANFORD SHALL NOTIFY RUGA WITHIN TEN (10) DAYS OF A REQUEST FOR INTENDED USE OF NAME. THE ABSENCE OF A RESPONSE BY STANFORD WITHIN SUCH TEN (10) DAYS SHALL CONSTITUTE IMPLIES PERMISSION FOR RUGA TO USE SUCH NAME. PROSECUTION AND
PROTECTION OF PATENTS 
  

	14.1	 Patent Prosecution. Following the Effective Date and subject to Stanford’s approval, not to be
unreasonably withheld or delayed, RUGA will be responsible for preparing, filing, and prosecuting broad patent claims (including any interference or reexamination actions) for Stanford’s benefit in the Licensed Territory and for maintaining all
Licensed Patents. RUGA will notify Stanford before taking any substantive actions in prosecuting any claims, and Stanford will have final approval (not to be unreasonably withheld or delayed) on how to proceed with any such actions, provided that
such actions concern a Solely Owned Patent. To aid RUGA in this process, Stanford will provide information, execute and deliver documents and do other acts as RUGA shall reasonably request from time to time. RUGA will reimburse Stanford for
Stanford’s reasonable costs incurred in complying with such requests. Stanford and RUGA agree to the terms detailed in Appendix C and agree to have Appendix C fully executed by the appropriate parties upon execution of this Agreement.

  

	14.2	 Patent Costs. Within 60 days after receiving a statement from Stanford, RUGA will reimburse Stanford:

 (A) Unpaid balance on January 24,2012 of $9,755.55 for all expenses invoiced and not reimbursed by Ruga under the
option for Licensed Patent’s patenting expenses, including any interference or reexamination matters, incurred by Stanford before the Effective Date; and 

(B) For all Licensed Patent’s patenting expenses that have not been invoiced as of January 25,2012 and going forward, including any
interference or: reexamination matters, incurred by Stanford, provided however, that with respect to interferences or other inter-party actions, such actions were approved by RUGA. In all instances, Stanford will pay the fees prescribed for large
entities to the United States Patent and Trademark Office. 
  

	14.3	 Infringement Procedure. RUGA will promptly notify Stanford if it believes a third party infringes a
Licensed Patent. During the Exclusive term of this Agreement and if RUGA is developing Licensed Product, RUGA may have the right to institute a suit against this third party as provided in Sections 14.4-14.8.
Stanford shall notify RUGA of any third party infringement action immediately upon becoming aware of such action. 

  

	14.4	 RUGA Suit. RUGA may institute and prosecute a suit so long as it conforms with the requirements of this
Section and RUGA is developing or selling Licensed Product. RUGA will diligently pursue the suit and RUGA will bear the entire cost of the litigation, including expenses and counsel fees reasonably incurred by Stanford. RUGA will keep Stanford
reasonably apprised of all developments in the suit, and will seek Stanford’s input and approval (not to be unreasonably withheld or delayed) on any substantive submissions or positions taken in the litigation regarding the scope, validity and
enforceability of the Licensed Patent. RUGA will not prosecute, settle or otherwise compromise any such suit in a manner that adversely affects Stanford’s interests without Stanford’s prior written consent. Stanford may be named as a party
only if: 

  
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 (A) RUGA’s and Stanford’s respective counsel recommend that such action is
necessary in their reasonable opinion to achieve standing; 
 (B) Stanford is not the first named party in the action; and 

(C) the pleadings and any public statements about the action state that RUGA is pursuing the action and that RUGA has the right to join
Stanford as a party. 
 Nothing in Section 14.3 or this Section 14.4 shall be interpreted as limiting RUGA’s right, as a co-owner of the Jointly Owned Patents, to take action with respect any infringement of a Jointly Owned Patent. 
  

	14.5	 Joint Suit. If Stanford and RUGA so agree, they may institute suit jointly. lasso, they will:

 (A) prosecute the suit in both their names; 

(B) bear the out-of-pocket costs equally; 

(C) share any recovery or settlement equally; and 

(D) agree how they will exercise control over the action. 
  

	14.6	 Stanford Suit. If either 14.4 or 14.5 apply, Stanford has the right to institute suit, and may name RUGA
as a party for standing purposes. If Stanford decides to institute suit, it will notify RUGA in writing. RUGA will assign and hereby does assign to Stanford all rights, causes of action, and damages resulting from the alleged infringement. Stanford
will bear the entire cost of the litigation and will retain the entire amount of any recovery or settlement. 

  

	14.7	 Recovery. If RUGA sues under Section 14.4, then any recovery in excess of any unrecovered
litigation costs and fees will be shared with Stanford as follows: 

 (A) any payment for past sales will be deemed Net
Sales, and RUGA will pay Stanford royalties at the rates specified in Section 7.4 subject to the reductions for other third party licensees; 

(B) any payment for future sales will be deemed a payment under a sublicense, and royalties will be shared as specified in Article 4 subject to
the reductions for other third party licensees; and 
 (C) RUGA and Stanford will negotiate in good faith appropriate compensation to
Stanford for any non-cash settlement or non-cash cross-license. 
  

	14.8	 Abandonment of Suit. If either Stanford or RUGA commences a suit and then wants to abandon the suit, it
will give timely notice to the other party. The other party may continue prosecution of the suit after Stanford and RUGA agree on the sharing of expenses and any recovery in the suit. 

15 TERMINATION 
  

	15.1	 Termination by RUGA. RUGA may terminate this Agreement by giving Stanford written notice at least 30
days in advance of the effective date of termination selected by RUGA. 

  

	15.2	 Termination by Stanford.  

(A) Stanford may also terminate this Agreement if RUGA: 

(1) is delinquent on any report or payment; 

(2) is not diligently developing and commercializing a Licensed Product; 

  
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 (3) misses a milestone described in Appendix A; 

(4) is in breach of any material provision; or 

(5) provides any materially false report. 

(B) Termination under this Section 15.2 will take effect 30 days after written notice by Stanford unless RUGA remedies the problem in that
30-day period. 
  

	15.3	 Surviving Provisions. Surviving any termination or expiration are: 

(A) RUGA’s obligation to pay royalties accrued or accruable; 

(B) any claim of RUGA or Stanford, accrued or to accrue, because of any breach or default by the other party; and 

(C) the provisions of Articles 8, 9, and 10 and any other provision that by its nature is intended to survive. 

For clarity, no royalties shall accrue based on sales, after the termination effective date, of any Licensed Products covered solely by one or more Jointly
Owned Patents. 
 16 ASSIGNMENT 
  

	16.1	 Permitted Assignment by RUGA. Subject to Section 16.3, RUGA may assign this Agreement as part of a
sale, regardless of whether such a sale occurs through an asset sale, stock sale, merger or other combination, or any other transfer of: 

(A) RUGA’s entire business or to an entity controlled by RUGA or controlled by either of the principals of RUGA; or 

(B) that part of RUGA’s business that exercises all rights granted under this Agreement. 

 

	16.2	 Any Other Assignment by RUGA. Any other attempt to assign this Agreement by RUGA is null and void.

  

	16.3	 Conditions of Assignment. Prior to any assignment under Section 16.1 the following conditions must
be met: 

 (A) RUGA must give Stanford written notice of the assignment, including the new assignee’s contact
information; and 
 (B) the new assignee must agree in writing to Stanford to be bound by this Agreement; and 

(C) Stanford must have received a $50,000 assignment fee. 
  

	16.4	 After the Assignment. Upon a permitted assignment of this Agreement pursuant to Article 16, RUGA will be
released of liability under this Agreement and the term “RUGA” in this Agreement will mean the assignee. 

 17 ARBITRATION

  

	17.1	 Dispute Resolution by Arbitration. Any dispute between the parties regarding any payments made or due
under this Agreement will be settled by arbitration in accordance with the JAMS Arbitration Rules and Procedures. The parties are not obligated to settle any other dispute that may arise under this Agreement by arbitration. 

  
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	17.2	 Request for Arbitration. Either party may request such arbitration. Stanford and RUGA will mutually
agree in writing on a third party arbitrator within 30 days of the arbitration request. The arbitrator’s decision will be final and non-appealable and may be entered in any court having jurisdiction.

  

	17.3	 Discovery. The parties will be entitled to discovery as if the arbitration were a civil suit in the
California Superior Court. The arbitrator may limit the scope, time, and issues involved in discovery. 

  

	17.4	 Place of Arbitration. The arbitration will be held in Santa Clara County, California unless the parties
mutually agree in writing to another place. 

  

	17.5	 Patent Validity. Any dispute between the parties regarding the validity of any Licensed Patent shall be
litigated in the courts located in Santa Clara County, California, and the parties agree not to challenge personal jurisdiction in that forum. 

18 NOTICES 
  

	18.1	 Legal Action. RUGA will provide written notice to Stanford at least three months prior to bringing an
action seeking to invalidate any Licensed Patent or a declaration of non-infringement. RUGA will include with such written notice an identification of all prior art it believes invalidates any claim of the
patent. 

  

	18.2	 All Notices. All notices under this Agreement are deemed fully given when written, addressed, and sent
as follows: 

 All general notices to RUGA are mailed to: 
  

			
	Name:	  	 [*****]

		
	Address:	  	 [*****] 

		
		  	 [*****] 

		
	Email:	  	 [*****] 

 All financial invoices to RUGA (i.e., accounting contact) are e-mailed to: 

 

			
	Name:	  	 [*****] 

		
	Address:	  	 [*****] 

		
		  	 [*****] 

		
	Email:	  	 [*****] 

 All progress report invoices to RUGA (i.e., technical contact) are e-mailed to: 

 

			
	Name:	  	 [*****] 

		
	Address:	  	 [*****] 

		
		  	 [*****] 

		
	Email:	  	 [*****] 

  
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 All general notices to Stanford are e-mailed or mailed to: 

Office of Technology Licensing 

1705 EI Camino Real 
 Palo Alto,
CA 94306-1106 
 info@otlmail.stanford.edu 

All payments to Stanford are mailed to: 

Stanford University 
 Office of
Technology Licensing 
 Department #44439 

P.O. Box 44000 
 San Francisco,
CA 94144-4439 
 All progress reports to Stanford are e-mailed or mailed to: 

Office of Technology Licensing 

1705 EI Camino Real 
 Palo Alto,
CA 94306-1106 
 info@otlmail.stanford.edu 

Either party may change its address with written notice to the other party. 

19 MISCELLANEOUS 
  

	19.1	 Waiver. No term of this Agreement can be waived except by the written consent of the party waiving
compliance.’ 

  

	19.2	 Choice of Law. This Agreement and any dispute arising under it is governed by the laws of the State of
California, United States of America, applicable to agreements negotiated, executed, and performed within California. 

  

	19.3	 Exclusive Forum. The state and federal courts having jurisdiction over Stanford, California, United
States of America, provide the exclusive forum for any court action between the parties relating to this Agreement. RUGA submits to the jurisdiction of such courts, and waives any claim that such a court lacks jurisdiction over RUGA or constitutes
an inconvenient or improper forum. 

  

	19.4	 Headings. No headings in this Agreement affect its interpretation. 

 

	19.5	 Electronic Copy. The parties to this document agree that a copy of the original signature (including an
electronic copy) may be used for any and all purposes for which the original signature may have been used. The parties further waive any right to challenge the admissibility or authenticity of this document in a court of law based solely on the
absence of an original signature. 

  
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 The parties execute this Agreement in duplicate originals by their duly authorized officers or
representatives. 
  

					
	
	 THE BOARD OF TRUSTEES OF THE LELAND

	
	 STANDFORD JUNIOR UNIVERSITY

			
		 	Signature	 	/s/ Katharine Ku                                
		 	Name	 	Katharine Ku
		 	Title	 	Director, Office of Technology Licensing
		 	Date	 	January 24, 2012
	
	 RUGA CORPORATION

			
		 	Signature	 	/s/ Ray Tabibiazar                            
		 	Name	 	Ray Tabibiazar
		 	Title	 	President and CEO
		 	Date	 	January 24, 2012

  
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 APPENDIX A 

[*****] 

  
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 APPENDIXB 

SAMPLE REPORTING FORM 
 Stanford Docket No. S 

This report is provided pursuant to the license agreement between Stanford University and (RUGA Name) License Agreement Effective Date: Name(s) of Licensed
Product(s): 
  

					
	 Report Covering Period
	  			
	 Yearly Maintenance Fee
	  	$	             	 
	 Number of Sublicenses Executed
	  			
	 Gross Sales
	  	$	 	 
	 Net Sales
	  	$	 	 
	 Royalty Calculation
	  			
	 Royalty Subtotal
	  	$	 	 
	 Credit
	  	$	 	 
	 Royalty Due
	  	$	             	 

 Comments: 

  
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 APPENDIXC 

CLIENT AND BILLING AGREEMENT 
 The Board of
Trustees of the Leland Stanford Junior University (“STANFORD”); and                         , a Corporation of the
State of,                     ,with a principal place of business at
                        , (“RUGA”); have agreed to use the law firm of
                    (“FIRM”) to prepare, file and prosecute the pending patent applications listed in Exhibit A attached hereto and
maintain the patents that issue thereon (“Patents”). 
 WHEREAS, FIRM desires to perform the legal services related to obtaining and maintaining
the Patents; and 
 WHEREAS, STANFORD remains the client of the FIRM; and 

WHEREAS, RUGA is the licensee of STANFORD’s interest in the Patents; 

NOW THEREFORE, in consideration of the premises and the faithful performance of the covenants herein contained, IT IS AGREED: 

1. FIRM can interact directly with RUGA on all patent prosecution matters related to the Patents and will copy STANFORD on all correspondence. STANFORD will be
notified by FIRM prior to any substantive actions and will have final approval on proceeding with such actions. 
 2. RUGA is responsible for the payment of
all charges and fees by FIRM related to the prosecution and maintenance of the Patents. FIRM will invoice RUGA and must copy STANFORD on all invoices. RUGA must pay FIRM directly for all charges and must copy STANFORD on each payment. 

3. Notices and copies of all correspondence should be sent to the following: 

To RUGA: 
 Name, Title 

RUGA Name 
 Address 

To STANFORD: 
 Name 

Office of Technology Licensing· 

Stanford University 
 1705 EI
Camino Real 
 Palo Alto, CA 94306-1106 
 To
FIRM: 
 Attorney Name 
 Law
Firm Address 
 4. The parties to this document agree that a copy of the original signature (including an electronic copy) may be used for any and all
purposes for which the original signature may have been used. The parties further waive any right to challenge the admissibility or authenticity of this document in a court of law based solely on the absence of an original signature. 

  
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 ACCEPTED AND AGREED TO: 
  

			
	STANFORD
		
	By:	 	  

	Name:	 	Katharine Ku
	Title:	 	Director
	Date:	 	
	
	RUGA Name
		
	By:	 	  

	Name:	 	
	Title:	 	
	Date:	 	
	
	Law Firm Name
		
	By:	 	  

	Name:	 	
	Title:	 	
	Date:	 	

  
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 APPENDIX D 

[*****] 

  
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