Document:

exv10w5

Exhibit
10.5

Text Marked By [* * *] Has Been Omitted Pursuant To A Request For Confidential Treatment And

Was Filed Separately With The Securities And Exchange Commission.

AMENDMENT NO. 4 TO THE

PATENT AND TECHNOLOGY LICENSE AGREEMENT

     This AMENDMENT NO. 4 to the Exclusive PATENT AND TECHNOLOGY LICENSE AGREEMENT between the
PARTIES dated September 11, 2006, as amended on December 21, 2007, September 3, 2008, and again on
July 8, 2009 (the “LICENSE AGREEMENT”), effective the 11th day of February, 2010 (which is the date
this AMENDMENT NO. 4 has been fully executed by all PARTIES), is made by and between: (1) THE BOARD
OF REGENTS (“BOARD”) of THE UNIVERSITY OF TEXAS SYSTEM (“SYSTEM”), an agency of the State of Texas,
whose address is 201 West 7th Street, Austin, Texas 78701, on behalf of THE UNIVERSITY OF TEXAS M.
D. ANDERSON CANCER CENTER (“UTMDACC”), a member institution of SYSTEM; (2) THE HENRY M. JACKSON
FOUNDATION FOR THE ADVANCEMENT OF MILITARY MEDICINE, INC. (“HJF”), a Maryland tax-exempt
corporation, whose address is 1401 Rockville Pike, Suite 600, Rockville, Maryland 20852, on its own
behalf and on behalf of THE UNIFORMED SERVICES UNIVERSITY OF THE HEALTH SCIENCES (“USU”), an
institution of higher learning within the Department of Defense, an agency of the United States
Government, located at 4301 Jones Bridge Road, Bethesda, Maryland 20814-4779; and (3) APTHERA, INC.
(formerly known as ADVANCED PEPTIDE THERAPEUTICS, INC.; hereafter referred to as “LICENSEE”).
BOARD, HJF and LICENSEE may be referred to herein collectively as the “PARTIES”.

RECITALS

	A.	 	The LICENSE AGREEMENT requires LICENSEE to achieve certain performance milestones within a
specified period of time and to pay Annual Maintenance Fees on a certain schedule.

	B.	 	BOARD and HJF desire to provide LICENSEE with additional time in which to complete two of
those performance milestones and to alter the Annual Maintenance Fee schedule.

	C.	 	Accordingly, BOARD, HJF and LICENSEE desire to amend the LICENSE AGREEMENT pursuant to the
terms and conditions set forth herein.

 

 

     NOW, THEREFORE, in consideration of the mutual covenants contained herein, the sufficiency of
which is hereby acknowledged, the PARTIES hereby agree to the following:

AMENDMENT

	1.	 	Section 4.1(d)(iii) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced
with the following:

	 	  4.1(d)(iii)	 	 [***] due without invoice within five (5) business days immediately after
LICENSEE receives an aggregate of $500,000 of additional capital after December 4,
2009.

	2.	 	A Section 4.8 shall be added to the Agreement as follows:

	 	 	During the term of the LICENSE AGREEMENT, UTMDACC’s Vice President, Technology Based
Ventures or his/her designee (the “UTMDACC OBSERVER”) must be notified in writing at least
ten (10) days in advance of all meetings of the LICENSEE’s Board of Directors (the
“LICENSEE BOARD”), provided, however, that in the event the LICENSEE BOARD holds an
emergency meeting as a result of any event or circumstance reasonably requiring or
warranting a meeting of the LICENSEE BOARD on shorter notice, in which case the UTMDACC
OBSERVER shall be notified of such emergency meeting at the same time as the members of the
LICENSEE BOARD are notified, and such UTMDACC OBSERVER will have the right to observe in
person or by teleconference all meetings of the LICENSEE BOARD and shall receive a copy of
all materials provided to members of the LICENSEE BOARD at about the same time as such
materials are distributed to the members of the LICENSEE BOARD, provided, however, that the
UTMDACC OBSERVER shall maintain the confidentiality of all financial, confidential and
proprietary information of the LICENSEE acquired as a result of his or her observation of
such LICENSEE BOARD meetings.

	3.	 	A Section 4.9 shall be added to the Agreement as follows:

	 	 	During the term of the LICENSE AGREEMENT, HJF’s Director, Technology Transfer &
Commercialization or his/her designee (the “HJF OBSERVER”) must be notified in writing at
least ten (10) days in advance of all meetings of the LICENSEE BOARD, provided, however,
that in the event the LICENSEE BOARD holds an emergency meeting as a result of any event or
circumstance reasonably requiring or warranting a meeting of the LICENSEE BOARD on shorter
notice, in which case the HJF OBSERVER shall be notified of such emergency meeting at the
same time as the members of the LICENSEE BOARD are notified, and such HJF OBSERVER will
have the right to observe in person or

 

 

	 	 	by teleconference all meetings of the LICENSEE BOARD and shall receive a copy of all
materials provided to members of the LICENSEE BOARD at about the same time as such
materials are distributed to the members of the LICENSEE BOARD, provided, however, that the
HJF OBSERVER shall maintain the confidentiality of all financial, confidential and
proprietary information of the LICENSEE acquired as a result of his or her observation of
such LICENSEE BOARD meetings.

	4.	 	Section 13.3(c) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	13.3	 	(c) upon thirty (30) calendar days written notice from UTMDACC, if LICENSEE
fails to commence a Phase II Clinical Trial or Phase III Clinical Trial in the United
States or the European Union on or before June 30, 2011, unless, before the end of
such thirty (30) day period, LICENSEE provides evidence satisfactory to UTMDACC that
it has commenced the Clinical Trial; or

	5.	 	Section 13.3(d) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	13.3	 	(d) upon thirty (30) calendar days written notice from UTMDACC, if LICENSEE
fails to acquire at least four million dollars ($4,000,000.00) in funding (whether by
debt, equity, merger, reverse merger, grant, corporate partnering or sublicensing) and
provides evidence of same to UTMDACC on or before July 31, 2010; or

	6.	 	LICENSEE shall pay UTMDACC an Amendment Fee (in consideration for UTMDACC and HJF allowing
the Amendment) of [***] without invoice within fifteen (15) calendar days of the date this
AMENDMENT NO. 4 is fully executed by all PARTIES.

	7.	 	The PARTIES acknowledge and agree that, except as set forth in this AMENDMENT NO. 4 the terms
and conditions of the LICENSE AGREEMENT shall remain unchanged and in full force and effect;
provided, however, that nothing contained in the LICENSE AGREEMENT shall have the effect of
preventing or limiting, in any way, the terms of this AMENDMENT NO. 4. If any conflict arises
between the terms of this AMENDMENT NO. 4 and the terms of the LICENSE AGREEMENT, this
AMENDMENT NO. 4 shall govern as to the conflicting terms.

 

 

	8.	 	This AMENDMENT NO. 4 shall be binding upon and inure to the benefit of the parties hereto and
their respective heirs, administrators, executors, successors, and assigns.

 

 

     IN WITNESS WHEREOF, the PARTIES hereto have caused their duly authorized representatives to
execute this AMENDMENT NO 4.

	 	 	 	 	 	 	 	 	 	 	 
	BOARD OF REGENTS OF THE	 		 	APTHERA, INC.	 	 
	UNIVERSITY OF TEXAS SYSTEM	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	By

	 	/s/ John Mendelsohn, M.D.
 

	 	 	 	By
	 	/s/ Robert E. Kennedy
 

	 	 
	 

	 	John Mendelsohn, M.D.
	 	 	 	 	 	Name: Robert E. Kennedy	 	 
	 

	 	President
	 	 	 	 	 	Title: President and CFO	 	 
	 

	 	The University of Texas	 	 	 	 	 	 	 	 
	 

	 	M. D. Anderson Cancer Center	 	 	 	 	 	 	 	 
	 
	Date: 2/11/09	 	 	 	Date: 2/1/10	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	THE UNIVERSITY OF TEXAS

	 	 	 	

THE HENRY M. JACKSON FOUNDATION FOR	 	 	 	 
	M. D. ANDERSON CANCER CENTER	 	 	 	
THE ADVANCEMENT OF MILITARY MEDICINE, INC.	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	By

	 	/s/ Leon Leach
 

Leon Leach
	 	 	 	By
	 	/s/ John W. Lowe
 

John W. Lowe
	 	 
	 

	 	Executive Vice President
	 	 	 	 	 	President	 	 
	 

	 	The University of Texas	 	 	 	 	 	 	 	 
	 

	 	M. D. Anderson Cancer Center	 	 	 	Date: 2/2/10	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Date: 2/10/10	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Approved as to Content:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	By

	 	/s/ Christopher C. Capelli	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 
	 

	 	Christopher C. Capelli	 	 	 	 	 	 	 	 
	 

	 	Vice President, Technology Transfer	 	 	 	 	 	 	 	 
	 

	 	M. D. Anderson Cancer Center	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Date: 2/5/10exv10w6

Exhibit
10.6

Text Marked By [* * *] Has Been Omitted Pursuant To A Request For Confidential Treatment And

Was Filed Separately With The Securities And Exchange Commission.

AMENDMENT NO. 5 TO THE

PATENT AND TECHNOLOGY LICENSE AGREEMENT

     This AMENDMENT NO. 5 to the PATENT AND TECHNOLOGY LICENSE AGREEMENT between the PARTIES dated
September 11, 2006, as amended on December 21, 2007, September 3, 2008, July 8, 2009, and February
11, 2010 (the “LICENSE AGREEMENT”), effective the 10th day of January, 2011 (“AMENDMENT NO. 5
EFFECTIVE DATE”, which is the date this AMENDMENT NO. 5 has been fully executed by all PARTIES), is
made by and between: (1) THE BOARD OF REGENTS (“BOARD”) of THE UNIVERSITY OF TEXAS SYSTEM
(“SYSTEM”), an agency of the State of Texas, whose address is 201 West 7th Street, Austin, Texas
78701, on behalf of THE UNIVERSITY OF TEXAS M. D. ANDERSON CANCER CENTER (“UTMDACC”), a member
institution of SYSTEM; (2) THE HENRY M. JACKSON FOUNDATION FOR THE ADVANCEMENT OF MILITARY
MEDICINE, INC. (“HJF”), a Maryland tax-exempt corporation, whose address is 1401 Rockville Pike,
Suite 600, Rockville, Maryland 20852, on its own behalf and on behalf of THE UNIFORMED SERVICES
UNIVERSITY OF THE HEALTH SCIENCES (“USU”), an institution of higher learning within the Department
of Defense, an agency of the United States Government, located at 4301 Jones Bridge Road, Bethesda,
Maryland 20814-4779; and (3) APTHERA, INC. (formerly known as ADVANCED PEPTIDE THERAPEUTICS, INC.;
hereafter referred to as “LICENSEE”). BOARD, HJF and LICENSEE may be referred to herein
collectively as the “PARTIES.”

RECITALS

	A.	 	The LICENSE AGREEMENT requires LICENSEE to achieve certain performance milestones and funding
requirements within a specified period of time and to pay annual maintenance fees and/or
running royalties on a certain schedule.
	 
	B.	 	LICENSEE seeks additional time in which to complete certain required milestones and obtain
funding as referenced herein and also seeks to alter the annual maintenance fee schedule and
annual minimum royalty schedule. BOARD and HJF wish to allow LICENSEE additional time to
complete such milestones and obtain such funding. BOARD and HJF are also willing to alter the
annual maintenance fee schedule and royalty schedule. BOARD and HJF accordingly agree to
modify the LICENSE AGREEMENT as set forth herein rather than terminate the LICENSE AGREEMENT
or assert a breach of the

1

 

	 	 	LICENSE AGREEMENT based upon LICENSEE’s past noncompliance with the milestones, funding
obligations, or payment schedules referenced herein.

	C.	 	Accordingly, BOARD, HJF and LICENSEE desire to amend the LICENSE AGREEMENT pursuant to the
terms and conditions set forth herein.

NOW, THEREFORE, in consideration of the mutual covenants contained herein, the sufficiency of which
is hereby acknowledged, the PARTIES hereby agree to the following:

AMENDMENT

	1.	 	A new Section 2.17 is hereby added to the LICENSE AGREEMENT as follows:

	 	2.17	 	FINANCING means either (a) a financing in connection with a
reverse merger into an existing public company immediately after which
LICENSEE’s shareholders own a majority of the outstanding shares and
LICENSEE’s management is the surviving management of the merged
company; or (b) other financing or financings when in combination with
or in lieu of the reverse merger, including, but not limited to, debt,
convertible debt, private equity, and grants; provided that such
financing(s) in the case of either (a) or (b) will net LICENSEE a
minimum aggregate funding of $2.0 million.

	2.	 	A new section 2.18 is hereby added to the LICENSE AGREEMENT as follows:

	 	2.18	 	EXCLUSIVE MARKETING RIGHTS means exclusive rights granted
by the U.S. government to market (a) a drug for a rare disease or
condition (“Orphan Drug”) pursuant to the U.S. FDA Code of Federal
Regulations, Title 21, Chapter I, Subchapter D, Part 316 (entitled
“Orphan Drugs”), enacted pursuant to 21 U.S.C. Part B (entitled “Drugs
for Rare Diseases or Conditions”), as may be amended or modified,
and/or (b) a biological drug pursuant to the Biologics Price
Competition and Innovation Act of 2009, 42 U.S.C. § 262(k)(7)(A).

	3.	 	A new section 2.19 is hereby added to the LICENSE AGREEMENT as follows:

2

 

	 	2.19	 	CLINICAL DEADLINE means the date that is fifteen (15)
months from the date of the completion of the FINANCING.

	4.	 	A new section 2.20 is hereby added to the LICENSE AGREEMENT as follows:

	 	2.20	 	REGISTRATION CLINICAL TRIAL means a late-stage clinical
trial such as a PHASE III CLINICAL TRIAL or PHASE II/III CLINICAL TRIAL
intended for the purpose of supporting an NDA.

	5.	 	Section 4.1(d)(iii) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced
with the following:

	 	 	 	4.1(d)(iii) (A) [***] due within ten (10) calendar days after the AMENDMENT
NO. 5 EFFECTIVE DATE, and (B) [***] due in quarterly payments of [***]
beginning on the date that is sixty (60) calendar days following
completion of the FINANCING and every ninety (90) calendar days
thereafter. In the event that LICENSEE raises a net $6 million or more
in the FINANCING, the quarterly payments due under Section
4.1(d)(iii)(B) shall become due and payable within ten (10) calendar
days of raising such funds;

	6.	 	Section 4.1(d)(iv) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced
with the following:

	 	 	 	4.1(d)(iv) [***] due on or before August 1, 2011; and

	7.	 	Section 4.1(d)(v) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	 	 	4.1(d)(v) [***] due on or before August 1, 2012; and

	8.	 	Section 4.1(e) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	 	 	4.1(e) Beginning on September 30, 2012, LICENSEE shall pay UTMDACC, on a
quarterly basis (with a quarterly payment due on September 30, 2012),
the greater of: (i)

3

 

	 	 	 	an annual minimum royalty of [***] (payable in four equal
quarterly installments of [***] each); or (ii) a running
royalty (payable quarterly as set forth in Section 4.3, below)
which shall be equal to the combined total of all of the
following running royalties:
	 
	 	(i)	 	as to NET SALES of LICENSED PRODUCTS in a given
jurisdiction covered by at least one VALID CLAIM existing in
such jurisdiction at the time of the relevant SALE: (1) [***]%
of the first [***] of such NET SALES; (2) [***]% of the second
[***] of such NET SALES; and (3) [***]% of all such NET SALES
in excess of [***]; and
	 
	 	(ii)	 	as to NET SALES of any LICENSED PRODUCT in a given
jurisdiction not covered by any VALID CLAIM existing in such
jurisdiction at the time of the relevant SALE: (1) [***]% of
the first [***] of such NET SALES; (2) [***]% of the second
[***] of such NET SALES, and (3) [***]% of all such NET SALES
in excess of [***]; and

	9.	 	Section 4.1(f) shall be deleted in its entirety and replaced with the following:

	 	 	 	4.1(f) The following one-time milestone payments:

	 	 	 
	Milestone	 	Milestone Payment
	(i) Commencement of PHASE III CLINICAL TRIAL for a
LICENSED PRODUCT

	 	[***]
	 
	 	 
	(ii) Filing of an NDA for a LICENSED PRODUCT

	 	[***]
	 
	 	 
	(iii) MARKETING APPROVAL of a LICENSED PRODUCT

	 	[***]
	 
	 	 
	(iv) First SALE of a LICENSED PRODUCT

	 	[***]
	 
	 	 
	(v) Completion of FINANCING

	 	[***]

4

 

	 	 	 	For purposes hereof, “Commencement” means administration of the first dose
to a human. The milestone payment set forth in subsection 4.1(f)(v) shall
be paid by LICENSEE within ten (10) calendar days of the completion of
FINANCING regardless of whether any or all other milestones have been met;
all other of the foregoing milestone payments in Sections 4.1(f)(i)—(iv)
shall be made by LICENSEE to UTMDACC within thirty (30) calendar days of
achieving the milestone event. The milestone payments in this Section
4.1(f) shall [***] reduce the amount of any other payment provided for in
this ARTICLE IV; and

	10.	 	A new section 4.10 is hereby added to the LICENSE AGREEMENT as follows:

	 	4.10	 	The parties shall have no obligations under Section 4.8 and
Section 4.9 hereof after the completion of the FINANCING.

	11.	 	Section 13.1 shall be deleted in its entirety and replaced with the following:

	 	13.1	 	Subject to Sections 13.2, 13.3, and 13.4 hereinbelow, the
term of this AGREEMENT is from the EFFECTIVE DATE to the longer of (a)
five (5) years from the date upon which all PATENT RIGHTS have expired,
or all claims in the PATENT RIGHTS have been declared invalid or
unenforceable by a court or tribunal in a final decision not subject to
further appeal, or have been abandoned, or (b) the date upon which
EXCLUSIVE MARKETING RIGHTS for a LICENSED PRODUCT have expired;
provided, however, that if EXCLUSIVE MARKETING RIGHTS for a LICENSED
PRODUCT are not in existence on the date set forth in (a) above, then
the term shall expire on the date set forth in (a) above.

	12.	 	Section 13.3(c) is deleted in its entirety and is replaced with the following:

	 	13.3 (c)	 	Upon forty-five (45) calendar days written notice from UTMDACC, if
LICENSEE fails to initiate a REGISTRATION CLINICAL TRIAL in the
intended patient population of node positive, HER2 1+ and/or 2+ breast
cancer in the United States, the European Union, Eastern Europe, Japan,
India, China, or other

5

 

	 	 	 	country(ies) as may be mutually agreed by all of the parties
hereto on or before the CLINICAL DEADLINE, unless before the
end of such forty-five (45) calendar day period, LICENSEE
provides evidence satisfactory to UTMDACC that it has
initiated the REGISTRATION CLINICAL TRIAL. For the avoidance
of doubt, LICENSEE must initiate a REGISTRATION CLINICAL TRIAL
on or before the CLINICAL DEADLINE unless specifically
requested or demanded otherwise by a strategic collaborative
partner (identified by LICENSEE in writing to UTMDACC) or the
U.S. FDA or equivalent foreign regulatory agency, and
LICENSEE’s failure to so initiate a REGISTRATION CLINICAL
TRIAL in the absence of such request or demand shall be a
basis for termination of this AGREEMENT. LICENSEE may extend
the CLINICAL DEADLINE as follows:

	 	i.	 	At the election of the
LICENSEE, prior to the CLINICAL DEADLINE LICENSEE may pay
to UTMDACC a [***] extension fee (the “Option 1 Fee”) and
receive a six (6) month extension of the CLINICAL
DEADLINE (as extended, the “Option 1 Clinical Trial
Date”);
	 
	 	ii.	 	Upon LICENSEE’s timely payment
of the Option 1 Fee and upon the mutual agreement of the
parties, prior to the Option 1 Clinical Trial Date
LICENSEE may pay to UTMDACC a [***] extension fee (the
“Option 2 Fee”) and receive a second six (6) month
extension of the Option 1 Clinical Trial Date (as
extended, the “Option 2 Clinical Trial Date”);
	 
	 	iii.	 	Upon LICENSEE’s timely payments
of the Option 1 Fee and the Option 2 Fee and upon the
mutual agreement of the parties, prior to the Option 2
Clinical Trial Date LICENSEE may pay to UTMDACC a [***]
extension fee (the “Option 3 Fee”) and receive a third
six (6) month extension of the Option 2 Clinical Trial
Date (as extended, the “Option 3 Clinical Trial Date”);
or

6

 

	13.	 	Section 13.3(d) of the LICENSE AGREEMENT shall be deleted in its entirety and replaced with
the following:

	 	 	 	
	 
	 	13.3 (d):	 	 upon thirty (30) calendar days written notice from UTMDACC if
LICENSEE fails to complete a FINANCING and provide evidence of the same
to UTMDACC within six (6) months of the AMENDMENT NO. 5 EFFECTIVE DATE;
or

	14.	 	A new section 13.5 is hereby added to the LICENSE AGREEMENT as follows:

	 	13.5	 	In the event the AGREEMENT is terminated prior to
commencement of marketing of any LICENSED PRODUCT due to LICENSEE’s
default, the parties agree that all assets related to an
investigational new drug, NDA, efforts to obtain MARKETING APPROVAL, or
any clinical trial program (i.e., scientific data, clinical trial study
documents and results, workbooks and laboratory reports and results,
etc.) shall become the property of UTMDACC and HJF. In the event
UTMDACC and HJF wish to acquire bulk active, work in process or
finished good inventory from LICENSEE related to one or more LICENSED
PRODUCTS, LICENSEE agrees to negotiate in good faith for a fair market
price to sell such inventory.

	15.	 	LICENSEE shall pay UTMDACC an amendment fee (in consideration for UTMDACC and HJF allowing
this amendment) of [***] within fifteen (15) calendar days after the AMENDMENT NO. 5 EFFECTIVE
DATE.

	16.	 	Immediately prior to the close of the FINANCING, (a) LICENSEE shall purchase one hundred
percent (100%) of UTMDACC’s common shares of LICENSEE [***] for [***] paid to UTMDACC; and (b)
LICENSEE shall purchase one hundred percent (100%) of HJF’s common shares of LICENSEE [***]
for [***] paid to HJF. UTMDACC and HJF agree that the payments for shares received from
LICENSEE under this Section 16 of AMENDMENT NO. 5 shall not be subject to distribution as
LICENSE REVENUE under Section 6.2 of the Inter-Institutional Sharing Agreement dated February
9, 2006 between UTMDACC and HJF.

7

 

	17.	 	LICENSEE shall pay UTMDACC all outstanding patent expenses incurred by UTMDACC as of the
AMENDMENT NO. 5 EFFECTIVE DATE (in the amount of [***]) within ten (10) calendar days after
the AMENDMENT NO. 5 EFFECTIVE DATE. LICENSEE’s obligations with respect to the payment of
patent expenses set forth in the LICENSE AGREEMENT (including, for example, obligations in
Sections 4.1(a) and 6.1) shall remain in effect and are not otherwise amended hereby.
	 
	18.	 	The PARTIES acknowledge and agree that, except as set forth in this AMENDMENT NO. 5, the
terms and conditions of the LICENSE AGREEMENT shall remain unchanged and in full force and
effect; provided, however, that nothing contained in the LICENSE AGREEMENT shall have the
effect of preventing or limiting, in any way, the terms of this AMENDMENT NO. 5. If any
conflict arises between the terms of this AMENDMENT NO. 5 and the terms of the LICENSE
AGREEMENT, this AMENDMENT NO. 5 shall govern as to the conflicting terms.
	 
	19.	 	This AMENDMENT NO. 5 shall be binding upon and inure to the benefit of the PARTIES hereto and
their respective heirs, administrators, executors, successors, and assigns.

8

 

     IN WITNESS WHEREOF, the PARTIES hereto have caused their duly authorized representatives to
execute this AMENDMENT NO 5.

	 	 	 	 	 	 	 	 	 	 	 

	BOARD OF REGENTS OF THE	 	 	 	APTHERA, INC.	 	 
	UNIVERSITY OF TEXAS SYSTEM	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	By

	 	/s/ John Mendelsohn, M.D.
	 	 
	 	By
	 	/s/ Robert E. Kennedy	 	 
	 

	 	 

	 	 	 	 	 	 

	 	 
	 

	 	John Mendelsohn, M.D.
	 	 	 	 	 	Name: Robert E. Kennedy	 	 
	 

	 	President
	 	 	 	 	 	Title: President and CFO	 	 
	 

	 	The University of Texas	 	 	 	 	 	 	 	 
	 

	 	M. D. Anderson Cancer Center	 	 	 	 	 	 	 	 
	 
	Date: 1/10/11	 	 	 	Date: 12/18/10	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	THE UNIVERSITY OF TEXAS	 	 	 	 	 	 	 	 
	M. D. ANDERSON CANCER CENTER	 	 	 	THE HENRY M. JACKSON FOUNDATION	 	 
	

By

	 	
/s/ Leon Leach
	 	 	 	 FOR
THE ADVANCEMENT OF

 MILITARY MEDICINE, INC.	 	 
	 

	 	 
	 	 	 	 	 	 	 	 
	 
	 	Leon Leach

Executive Vice President 	 	 	 	

By	 	

/s/ John W. Lowe	 	 
	 
	 	 
	 	 	 	 	 	 	 	 
	 

	 	The University of Texas
	 	 	 	 	 	John W. Lowe	 	 
	 

	 	
M. D. Anderson Cancer Center
	 	 	 	 	 	President	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Date: 1/5/11	 	 	 	Date: 12/20/10	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Approved as to Content:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	By

	 	/s/ Christopher C. Capelli
 

Christopher C. Capelli
	 	 	 	 	 	 	 	 
	 

	 	Vice President, Technology Transfer	 	 	 	 	 	 	 	 
	 

	 	M. D. Anderson Cancer Center	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Date: 12/21/10	 	 	 	 	 	 	 	 

9

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