Document:

EX-4.12

 Exhibit 4.12 

 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

**** INDICATES CONFIDENTIAL MATERIAL OMITTED PURSUANT TO A 

REQUEST FOR CONFIDENTIAL TREATMENT AND FILED WITH THE 

SECURITIES AND EXCHANGE COMMISSION SEPARATELY WITH A REQUEST 

FOR CONFIDENTIAL TREATMENT. 
  

 EXCLUSIVE LICENSE AGREEMENT 

BETWEEN 

GENENTECH, INC. 

AND 

NOVOGEN LTD. 

AS OF OCTOBER 25, 2016 

  
 Confidential material
omitted and filed separately with the Commission. 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 TABLE OF CONTENTS 

 

							
	 ARTICLE 1 DEFINITIONS
	  	 	I	 
			
	 1.1
	    	“ACCOUNTING STANDARD”	  	 	1	 
	 1.2
	    	“AFFILIATE”	  	 	1	 
	 1.3
	    	“ALLIANCE MANAGER”	  	 	1	 
	 1.4
	    	“APPLICABLE LAWS”	  	 	1	 
	 1.5
	    	“BUSINESS DAY(S)”	  	 	2	 
	 1.6
	    	“COMMERCIALLY REASONABLE EFFORTS”	  	 	2	 
	 1.7
	    	“CONFIDENTIAL INFORMATION”	  	 	2	 
	 1.8
	    	“CONTROL(S)” OR “CONTROLLED”	  	 	2	 
	 1.9
	    	“COVERS” OR “COVERED BY”	  	 	2	 
	 1.10
	    	“DEVELOPMENT REPORTS”	  	 	2	 
	 1.11
	    	“DISPUTE”	  	 	2	 
	 1.12
	    	“EMA”	  	 	2	 
	 1.13
	    	“EXPLOIT”	  	 	2	 
	 1.14
	    	“FDA”	  	 	3	 
	 1.15
	    	“FIELD”	  	 	3	 
	 1.16
	    	“FILING” OR “FILED”	  	 	3	 
	 1.17
	    	“FIRST COMMERCIAL SALE”	  	 	3	 
	 1.18
	    	“GENENTECH COMPOUND”	  	 	3	 
	 1.19
	    	“GENENTECH COMPOUND KNOW-HOW”	  	 	3	 
	 1.20
	    	“GENENTECH CONFIDENTIAL INFORMATION”	  	 	3	 
	 1.21
	    	“GENENTECH KNOW-HOW”	  	 	3	 
	 1.22
	    	“INTELLECTUAL PROPERTY RIGHTS”	  	 	3	 
	 1.23
	    	“KEY MARKET”	  	 	3	 
	 1.24
	    	“LICENSED IP”	  	 	3	 
	 1.25
	    	“LICENSED KNOW-HOW”	  	 	3	 
	 1.26
	    	“LICENSED PATENT RIGHTS”	  	 	4	 
	 1.27
	    	“LICENSED PRODUCES)”	  	 	4	 
	 1.28
	    	“LOSSES”	  	 	4	 
	 1.29
	    	“MARKETING APPROVAL” 	  	 	4	 
	 1.30
	    	“MILESTONE EVENT”	  	 	4	 
	1.31	    	“NET SALES”	  	 	4	 
	 1.32
	    	“NOVOGEN CONFIDENTIAL INFORMATION”	  	 	4	 
	 1.33
	    	“NOVOGEN MARKS”	  	 	4	 
	 1.34
	    	“PATENT(S)”	  	 	4	 
	 1.35
	    	“PATENT RIGHTS”	  	 	4	 
	 1.36
	    	“PERSON”	  	 	4	 
	 1.37
	    	“REGULATORY AUTHORITY”	  	 	4	 
	 1.38
	    	“RIGHT OF REFERENCE”	  	 	5	 
	 1.39
	    	“SUBLICENSEE”	  	 	5	 
	 1.40
	    	“TERRITORY”	  	 	5	 
	 1.41
	    	“THIRD PARTY”	  	 	5	 

  
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	 1.42
	    	“Technology Transfer Plan”	  	 	5	 
	 1.43
	    	“TECHNOLOGY TRANSFER TERM”	  	 	5	 
	 1.44
	    	“TERM”	  	 	5	 
	 1.45
	    	“UNITED STATES”	  	 	5	 
	 1.46
	    	“VALID CLAIM PRODUCT”	  	 	5	 
	 1.47
	    	“VALID PATENT CLAIM”	  	 	5	 
		
	 ARTICLE 2 RESEARCH, DEVELOPMENT AND COMMERCIALIZATION EFFORTS
	  	 	5	 
			
	 2.1
	    	EXCLUSIVE NOVOGEN RIGHT	  	 	5	 
	 2.2
	    	NOVOGEN DILIGENCE	  	 	5	 
	 2.3
	    	RIGHT OF REFERENCE	  	 	6	 
	 2.4
	    	TECHNOLOGY TRANSFER	  	 	6	 
	 2.5
	    	ALLIANCE MANAGEMENT	  	 	6	 
	 2.6
	    	MANUFACTURING AND SUPPLY	  	 	7	 
	 2.7
	    	GOVERNANCE	  	 	7	 
		
	 ARTICLE 3 LICENSE GRANTS
	  	 	7	 
			
	 3.1
	    	NOVOGEN PATENT LICENSE	  	 	7	 
	 3.2
	    	NOVOGEN GENENTECH KNOW-HOW LICENSE	  	 	7	 
	 3.3
	    	NOVOGEN GENETECH COMPOUND KNOW-HOW LICENSE	  	 	7	 
	 3.4
	    	GENENTECH NON-EXCLUSIVE LICENSE	  	 	7	 
	 3.5
	    	No IMPLIED LICENSES	  	 	7	 
	 3.6
	    	SUBLICENSE RIGHT	  	 	8	 
		
	 ARTICLE 4 PAYMENTS BY NOVOGEN TO GENENTECH
	  	 	8	 
			
	 4.1
	    	UP-FRONT PAYMENT	  	 	8	 
	 4.2
	    	MILESTONE PAYMENT FOR LICENSED PRODUCT	  	 	8	 
	 4.3
	    	SINGLE MILESTONE PAYMENT	  	 	9	 
	 4.4
	    	ROYALTIES FOR VALID CLAIM PRODUCTS	  	 	9	 
	 4.5
	    	KNOW-HOW ROYALTIES FOR NON-VAUD CLAIM PRODUCTS	  	 	9	 
	 4.6
	    	DUPLICATIONS	  	 	10	 
	 4.7
	    	ROYALTY REDUCTION	  	 	10	 
	 4.8
	    	TIMING OF ROYALTY PAYMENTS	  	 	10	 
	 4.9
	    	No DEDUCTIONS FROM PAYMENTS	  	 	10	 
	 4.10
	    	SINGLE ROYALTY 	  	 	10	 
	 4.11
	    	ROYALTY TERM	  	 	10	 
	 4.12
	    	CONTINUED LICENSE	  	 	11	 
		
	 ARTICLE 5 REPORTS, AUDITS, AND FINANCIAL TERMS
	  	 	11	 
			
	 5.1
	    	NET SALES DEFINITION	  	 	11	 
	 5.2
	    	REPORTS	  	 	12	 
	 5.3
	    	ADDITIONAL FINANCIAL TERMS	  	 	12	 
	 5.4
	    	ACCOUNTS AND AUDIT	  	 	13	 
		
	 ARTICLE 6 INTELLECTUAL PROPERTY; PATENT PROSECUTION, MAINTENANCE AND
ENFORCEMENT
	  	 	14	 

  
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	 6.1
	    	PROSECUTION, MAINTENANCE AND ENFORCEMENT	  	 	14	 
	 6.2
	    	TRADEMARKS	  	 	15	 
	 6.3
	    	CHALLENGE TO LICENSED PATENT RIGHTS LICENSED BY NOVOGEN	  	 	15	 
		
	 ARTICLE 7 TERM AND TERMINATION
	  	 	15	 
			
	 7.1
	    	TERM	  	 	15	 
	 7.2
	    	TERMINATION	  	 	15	 
	 7.3
	    	EFFECT OF TERMINATION OR EXPIRATION	  	 	16	 
	 7.4
	    	ONGOING OBLIGATIONS	  	 	17	 
	 7.5
	    	SURVIVAL	  	 	17	 
		
	 ARTICLE 8 REPRESENTATIONS AND WARRANTIES
	  	 	17	 
			
	 8.1
	    	GENENTECH REPRESENTATIONS	  	 	17	 
	 8.2
	    	NOVOGEN REPRESENTATIONS	  	 	18	 
	 8.3
	    	EXCLUSIONS	  	 	18	 
	 8.4
	    	DISCLAIMER	  	 	19	 
		
	 ARTICLE 9 INDEMNIFICATION
	  	 	19	 
			
	 9.1
	    	INDEMNIFICATION BY NOVOGEN	  	 	19	 
	 9.2
	    	INDEMNIFICATION BY GENENTECH	  	 	19	 
	 9.3
	    	PROCEDURE	  	 	20	 
	 9.4
	    	INSURANCE	  	 	20	 
	 9.5
	    	LIMITATION ON DAMAGES	  	 	21	 
		
	 ARTICLE 10 CONFIDENTIALITY
	  	 	21	 
			
	 10.1
	    	CONFIDENTIAL INFORMATION	  	 	21	 
	 10.2
	    	EXCEPTIONS	  	 	21	 
	 10.3
	    	DISCLOSURES AND PUBLIC ANNOUNCEMENTS	  	 	22	 
	 10.4
	    	TERMINATION	  	 	23	 
	 10.5
	    	PRIOR AGREEMENTS	  	 	23	 
	 10.6
	    	PUBLICATION	  	 	23	 
		
	 ARTICLE 11 DISPUTE RESOLUTION
	  	 	23	 
			
	 11.1
	    	INTERNAL RESOLUTION	  	 	23	 
	 11.2
	    	ARBITRATION	  	 	24	 
	 11.3
	    	SUBJECT MATTER EXCLUSIONS	  	 	25	 
		
	 ARTICLE 12 MISCELLANEOUS
	  	 	25	 
			
	 12.1
	    	ASSIGNMENT AND DELEGATION	  	 	25	 
	 12.2
	    	ENTIRE AGREEMENT	  	 	25	 
	 12.3
	    	AMENDMENTS	  	 	26	 
	 12.4
	    	APPLICABLE LAW	  	 	26	 
	 12.5
	    	FORCE MAJEURE	  	 	26	 
	 12.6
	    	SEVERABILITY	  	 	26	 
	 12.7
	    	NOTICES	  	 	27	 
	 12.8
	    	USE OF NAMES	  	 	27	 

  
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	 12.9
	    	INDEPENDENT CONTRACTOR	  	 	28	 
	 12.10
	    	WAIVER	  	 	28	 
	 12.11
	    	INTERPRETATION	  	 	28	 
	 12.12
	    	COUNTERPARTS	  	 	28	 
		
	 EXHIBITS
	  			
			
	 Exhibit A
	    	Licensed Patent Rights	  			
			
	 Exhibit B
	    	GDC-0084 Structure	  			
			
	 Exhibit C
	    	Technology Transfer Plan	  			
			
	 Exhibt D
	    	Novogen Clinical Study Design	  			
			
	 Exhibt E
	    	Press Release	  			
			
	 Exhibit F
	    	Proposed Publications	  			

  
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EXECUTION VERSION 
  

EXCLUSIVE LICENSE AGREEMENT 
 This
Exclusive License Agreement (“Agreement”) is made and entered into as of the 25th day of October, 2016 (the “Effective Date”) by and between Novogen
Limited, ACN 063 259 754, a corporation with a principal place of business at Suite 502, Level 5, 20 George Street, Hornsby, NSW 2077, Australia (“Novogen”) and Genentech, Inc., a Delaware corporation, with offices
located at 1 DNA Way, South San Francisco, CA 94080 (“Genentech”). Novogen and Genentech are each referred to herein individually as a “Party” and collectively as the “Parties.”

 RECITALS 
 WHEREAS, Genentech possesses
certain expertise and technologies related to proprietary small molecule compounds which bind to and inhibit the Pi3K pathway; 
 WHEREAS, Novogen is a
biotechnology company with expertise and capability in developing human therapeutics; and 
 WHEREAS, Genentech and Novogen wish to enter into an exclusive
licensing arrangement whereby Novogen will have exclusive rights to research, develop and commercialize a certain Genentech compound in exchange for upfront, milestone and royalty payments. 

NOW, THEREFORE, in consideration of the mutual covenants contained herein, and for other good and valuable consideration, the amount and sufficiency of which
are hereby acknowledged, the Parties hereby agree as follows: 
 ARTICLE 1 

DEFINITIONS 
 1.1
“Accounting Standard” means the International Financial Reporting Standards or the United States generally accepted accounting principles, actually in use by Novogen and consistently applied. 

1.2 “Affiliate” means any Person that, directly or indirectly (through one or more intermediaries) controls, is
controlled by, or is under common control with a Party. For purposes of this Section 1.2, “control” means (i) the direct or indirect ownership of fifty percent (50%) or more of the voting stock or other voting interests or
interest in the profits of the Party, or (ii) the ability to otherwise control or direct the decisions of board of directors or equivalent governing body thereof. Notwithstanding the foregoing, for purposes of this Agreement, Chugai
Pharmaceutical Co., Ltd (for purposes of this definition, “Chugai”) and Foundation Medicine, Inc. (for purposes of this definition, “FMI”). and all business entities controlled by Chugai or FMI, shall not be
considered Genentech Affiliates, unless and until Genentech elects to include one or more of such business entities as a Genentech Affiliate, by providing written notice to Novogen of such election. 

1.3 “Alliance Manager” has the meaning set forth in Section 2.5.1. 

1.4 “Applicable Laws” means all applicable statutes, ordinances, regulations, rules, or orders of any kind whatsoever
of any government or regulatory authority, or court, of competent jurisdiction. 

  
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 1.5 “Business Dav(s)” means any day, other than a Saturday, Sunday or
day on which commercial banks located in San Francisco are authorized or required by law or regulation to close. 
 1.6
“Commercially Reasonable Efforts” means, with respect to Research, development and commercialization of a product, Novogen’s use of those efforts and resources, consistent with the exercise of prudent scientific and
business judgment, including taking into account the interests of Novogen’s shareholders, as are applied by Novogen to other pharmaceutical products of comparable commercial potential, stage of medical/scientific development, probability of
technical success, technical and regulatory profile, market and data exclusivity and patent protection, in a particular geographic locale. 

1.7 “Confidential Information” means (i) all information and materials (of whatever kind and in whatever form or
medium) disclosed by or on behalf of a Party to the other Party (or its designee) in connection with this Agreement, including any Licensed Know-How, whether prior to or during the Term and whether provided
orally, electronically, visually, or in writing; (ii) all copies of the information and materials described in (i) above; and (iii) the existence and each of the terms and conditions of this Agreement. Confidential Information shall
not include, to the extent a Party can demonstrate, through its contemporaneous written records, information and materials (a) known to the receiving Party, or in the public domain, at the time of its receipt by a Party, or which thereafter
becomes part of the public domain other than by virtue of a breach of this Agreement or the obligations of confidentiality under this Agreement; (b) received without an obligation of confidentiality from a Third Party having the right to
disclose without restrictions such information; (c) independently developed by the receiving Party without use of or reference to Confidential Information disclosed by the other Party as evidenced by written records; and (d) released from
the restrictions set forth in this Agreement by the express prior written consent of the disclosing Party. 
 1.8
“Controls)” or “Controlled” means the possession by a Party, as of the Effective Date or during the Term, of (i) with respect to materials, data or information, physical possession or the right to such
physical possession of those items, with the right to provide them to Third Parties or to the other Party; and (ii) with respect to Intellectual Property Rights, rights sufficient to grant the applicable license(s) or sublicense(s) under this
Agreement, without violating the terms of any agreement with any Third Party or incurring any payment obligations to a Third Party. 
 1.9
“Covers” or “Covered by” or the like, with reference to a particular Licensed Product means that the making, using, selling, offering for sale, or importing of such Licensed Product would, but for ownership
of, or a license granted under this Agreement to, the relevant Patent infringe a Valid Patent Claim within the Licensed Patent Rights in the country in which the activity occurs. 

1.10 “Development Reports” has the meaning set forth in Section 2.7. 

1.11 “Dispute” means any controversy, claim or legal proceeding arising out of or relating to this Agreement, or the
breach, termination, or invalidity thereof. 
 1.12 “EMA” means the European Medicines Agency, or any successor
thereto. 
 1.13 “Exploit” means (i) in relation to a product means making or having made, hiring, supplying,
selling, importing or otherwise disposing of a product, using, or keeping it for the purpose of doing any of the foregoing; and (ii) in relation to a method or process means use of the method or process or doing any act mentioned in (i) in
respect of a product. 

  
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 1.14 “FDA” means the U.S. Food and Drug Administration or
corresponding governmental authority in another country, or any successor thereto. 
 1.15 “Field” means all uses.

 1.16 “Filing” or “Filed” with respect to an application for Marketing Approval means that
such application has been filed with the appropriate Regulatory Authority and, consistent with the current practices of the FDA or such other Regulatory Authority, such Regulatory Authority has made a determination that the application for Marketing
Approval is sufficiently complete to permit a substantive review. 
 1.17 “First Commercial Sale” means, with
respect to a particular Licensed Product in a given country, the first bona fide arm’s length commercial sale of such Licensed Product following Marketing Approval in such country by or under authority of Novogen or its Sublicensees to a Third
Party; provided, however, that in any country which requires or may make available national reimbursement in certain circumstances, the first commercial sale shall be the sale following such national reimbursement. 

1.18 “Genentech Compound” means GDC-0084 or any salt, polymorph, hydrate,
solvate, or metabolite, as set forth on Exhibit B. 
 1.19 “Genentech Compound
Know-How” means- any scientific or other technical information and material disclosed by Genentech to Novogen relating exclusively to the Genentech Compound, including chemical structures,
information contained within draft publications, data, assays, protocols, methods, processes, techniques, designs and databases, including the information and materials listed on Exhibit C. 

1.20 “Genentech Confidential Information” means Confidential Information disclosed or provided by, or on behalf of,
Genentech to Novogen or its designees. 
 1.21 “Genentech Know-How” means
all information and materials disclosed by Genentech to Novogen other than the Genentech Compound Know-How and the Licensed Patent Rights. 

1.22 “Intellectual Property Rights” means those rights conferred by statute, at common law or in equity and wherever
existing including: (i) patents, inventions, designs, copyright, trademarks, brand names, product names, domain names, rights in circuit layouts, know how, trade secrets and any other rights subsisting in the results of
intellectual effort in any field, whether or not registered or capable of registration; (ii) any application or right to apply for registration of any of the foregoing; (iii) any registration of any of those
rights or any registration of any application referred to in paragraph (ii); and (iii) all renewals, divisions and extensions of these rights. 

1.23 “Key Market” means the following jurisdictions: United States, Canada, United Kingdom, European Union, Australia,
China, Japan and South Korea. 
 1.24 “Licensed IP” means the Licensed Patent Rights and the Licensed Know-How. 
 1.25 “Licensed Know-How”
means the Genentech Compound Know-How and the Genentech Know-How. 

  
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 1.26 “Licensed Patent Rights” means (i) Patents described in
Exhibit A: (ii) any patent(s) issuing anywhere in the world from any application (including divisional, additions, continuations, continuations-in-part and
renewals) that claims priority (directly or indirectly) to the patent or patent application of (i); (iii) any patents that are reissues, reexaminations, extensions, or foreign counterparts of any of the foregoing; and (iv) any application from
which any of the foregoing patents issue; in all cases, only to the extent a patent or patent application under paragraph (i), (ii), (iii) or (iv) above (A) claims a Licensed Product, its manufacture (including materials and processes used in
the manufacture of a Licensed Product) or its use and (B) is necessary to make, have made, use, sell, offer for sale and import the Genentech Compound. 

1.27 “Licensed Productfs)” means any product incorporating or including the Genentech Compound. 

1.28 “Losses” has the meaning set forth in Section 9.1. 

1.29 “Marketing Approval” means all approvals, licenses, permits, registrations or authorizations of any Regulatory
Authority, necessary for the manufacturing, use, storage, import, export, transport, marketing and sale of Licensed Products in a country or regulatory jurisdiction. 

1.30 “Milestone Event” means the milestone event set forth in Section 4.2. 

1.31 “Net Sales” has the meaning set forth in Section 5.1.1 

1.32 “Novogen Confidential Information” means Confidential Information disclosed or provided by, or on behalf of,
Novogen to Genentech or Genentech’s designees. 
 1.33 “Novogen Marks” has the meaning set forth in
Section 6.2. 
 1.34 “Patent(s)” means a patent or a patent application, including any divisions, additions,
continuations, continuations-in-part, invention certificates, substitutions, reissues, reexaminations, extensions, registrations, patent term extensions, supplementary
protection certificates and renewals of any of the above. 
 1.35 “Patent Rights” has the meaning set forth in
Section 6.3 
 1.36 “Person” means any person or entity, including any individual, trustee, corporation,
partnership, trust, unincorporated organization, limited liability company, business association, firm, joint venture or governmental agency or authority. 

1.37 “Regulatory Authority” means any national (e.g., the FDA), supra-national (e.g., the EMA), regional, state or
local regulatory agency, department, bureau, commission, council or other governmental entity, in any jurisdiction of the world, involved in the granting of any approvals, licenses, permits, registrations or authorizations of any Regulatory
Authority, necessary for the manufacturing, use, storage, import, export, transport, marketing and sale of Licensed Products in a country or regulatory jurisdiction. 

  
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 1.38 “Right of Reference” means a written and signed statement by
Genentech to the applicable Regulatory Authority that authorizes such Regulatory Authority to reference information submitted previously to such Regulatory Authority, including as described in 21 CFR § 312.23(b), or the equivalent authorization
in a jurisdiction other than the United States. 
 1.39 “Sublicensee” means any Third Party which enters into an
agreement with Novogen involving the grant to such Third Party of any rights under the licenses granted to Novogen under this Agreement. 

1.40 “Territory” means the entire world. 

1.41 “Third Party” means a Person that is not a Party. 

1.42 “Technology Transfer Plan” means the plan attached as Exhibit C. 

1.43 “Technology Transfer Term” means the period commencing on the Effective Date and expiring ninety (90) days
following the Effective Date. 
 1.44 “Term” has the meaning set forth in Section 7.1. 

1.45 “United States” means the United States of America, its territories and possessions as of the Effective Date,
including the Commonwealth of Puerto Rico. 
 1.46 “Valid Claim Product” means a Licensed Product for which the
sale, offer for sale, use, manufacture, or importation would infringe, but for the license granted by Genentech to Novogen, a Valid Patent Claim in the Licensed Patent Rights. 

1.47 “Valid Patent Claim” means a claim of an issued and unexpired patent in the Licensed Patent Rights that has not
been (i) disclaimed, (ii) dedicated to the public, (iii) abandoned or (iv) declared invalid, unenforceable or revoked by a court or other governmental agency of competent jurisdiction, unappealable or unappealed within the time
allowed for appeal, and which has not been admitted to be invalid or unenforceable through reissue or disclaimer or otherwise. 
 ARTICLE
2 
 RESEARCH, DEVELOPMENT AND COMMERCIALIZATION EFFORTS 

 

	 	2.1	Exclusive Novogen Right. 

 Novogen has the sole right and responsibility for (including
responsibility for all costs), and control over, all research, development, manufacturing and commercialization activities, including all regulatory activities, with respect to the Genentech Compound and the Licensed Products. 

 

	 	2.2	Novogen Diligence. 

 Novogen shall use Commercially Reasonable Efforts to research, develop, and
commercialize at least one Licensed Product subject always to compliance with Applicable Laws and instructions or recommendations of any Regulatory Authority. For the avoidance of doubt, it is the intention of the Parties as at the date of this
Agreement that such efforts will include conducting a clinical study of between one hundred and twenty (120) and one hundred fifty (150) patients, as described in Exhibit D. although the. Parties acknowledge and agree that such
clinical study has not been approved by a Regulatory Authority and may be subject to change. 

  
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	 	2.3	Right of Reference. 

 Upon request, Genentech shall promptly provide to Novogen a Right of
Reference to the extent necessary to allow Novogen to conduct any clinical studies or regulatory activities (including any submissions and filings with a Regulatory Authority) relating to the Genentech Compound. 

 

	 	2.4	Technology Transfer. 

 2.4.1. Genentech to transfer. During the Technology
Transfer Term, Genentech shall transfer to Novogen the information and materials listed on the Technology Transfer Plan attached hereto as Exhibit C. 

2.4.2. Appointment of Project Team Leader. During the Technology Transfer Term, Genentech shall appoint a suitably qualified and
skilled project team leader (PTL) who shall serve as the single point of contact for Novogen. Such PTL, or his or her designee(s), shall be made available by telephone upon reasonable request and during normal Genentech business hours for no more
than forty-eight (48) hours during the Technology Transfer Term. At Genentech’s sole discretion, following the Technology Transfer Term, if Novogen requests time from Genentech’s PTL in any particular month, Genentech shall have the
right to charge Novogen at an hourly rate to be determined by Genentech. Genentech shall invoice Novogen for any such charges, and Novogen shall remit payment to Genentech within thirty (30) days of receipt of such invoice. 

 

	 	2.5	Alliance Management. 

 2.5.1. Establishment. Promptly following the
Effective Date, each Party shall designate an appropriately qualified and skilled individual to act throughout the Term as the primary contact for such Party for the business relationship and for the resolution of nontechnical matters related to
this Agreement (each, such Party’s “Alliance Manager”). 
 2.5.2. Responsibilities and Decision-making.
The Alliance Managers shall facilitate the business interactions between the Parties and assist in the resolution of all issues not relating solely to the Technology Transfer in a timely manner. 

2.5.3. Replacement. A Party may replace its Alliance Manager at any time by informing the other Party’s Alliance Manager in
writing (including by email). 

  
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	 	2.6	Manufacturing and Supply. 

 Novogen shall be responsible, at its sole cost and expense, for
manufacturing Licensed Products for its clinical use and commercial sale, using due care and commercially sound approaches. 
  

	 	2.7	Governance. 

 Novogen shall provide to Genentech annual written reports due every twelve
(12) months following the Effective Date summarizing Novogen’s research, development, manufacturing and commercialization activities for Licensed Products (“Development Reports”) in the time since the last such
annual report was provided to Genentech. Novogen shall reasonably respond to any questions raised by Genentech in connection with such Development Reports. 

ARTICLE 3 
 LICENSE
GRANTS 
  

	 	3.1	Novogen Patent License. 

 Genentech hereby grants to Novogen an exclusive, sublicensable, license
to the Licensed Patent Rights to make, have made, use, sell offer for sale, or import the Genentech Compound and Licensed Products in the Field in the Territory. . 
  

	 	3.2	Novogen Genentech Know-How License. 

 Genentech hereby
grants to Novogen a non-exclusive, sublicensable, license to the Genentech Know-How to research, develop and commercialize the Genentech Compound and Licensed Products
in the Field in the Territory including to Exploit the Genentech Know-How, Genentech Compound and Licensed Products in the Field in the Territory. 

 

	 	3.3	Novogen Genetech Compound Know-How License. 

 Genentech
hereby grants to Novogen an exclusive, sublicensable, license to the Genentech Compound Know-How to research, develop and commercialize the Genentech Compound and Licensed Products in the. Field in the
Territory including to Exploit the Genentech Compound Know-How, Genentech Compound and Licensed Products in the Field in the Territory. 

 

	 	3.4	Genentech Non-Exclusive License. 

 Novogen hereby grants
back, to Genentech (and its Affiliates) a world-wide, fully-paid up, royalty-free, irrevocable, non-exclusive license under the Licensed IP to make, have made, and use the Genentech Compound and Licensed
Products solely for research purposes (including the right to have any of the foregoing conducted by a Third Party on behalf of Genentech). For the avoidance of doubt, this license does not authorize Genentech to commercialize or sell any products
containing the Genentech Compound or any Licensed Product. 
  

	 	3.5	No Implied Licenses. 

 The Parties acknowledge that the licenses granted under this Article 3 are
limited to the scope expressly granted, and all other rights under all Patents, know-how and all other Intellectual Property Rights owned or Controlled by Genentech or Novogen are expressly reserved. Where a
license granted by one Party to the other Party under this Article 3 is for a particular purpose or with respect to a particular product, the granting Party retains all of its rights with respect to those Intellectual Property Rights for those
purposes not expressly licensed under this Agreement. 

  
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	 	3.6	Sublicense Right. 

 3.6.1. Subject to Section 3.8.2, Novogen may sublicense
the rights under the licenses granted in this Agreement, and any rights under such sublicense may be further sublicensed to multiple tiers of sublicensees (each, a “Sublicense Agreement”). With respect to any Sublicense Agreement:
(a) Novogen shall be responsible for the payment of all amounts provided for hereunder, regardless of whether the terms of any Sublicense Agreement provide for such amount to be paid by the Sublicensee directly to Genentech, (b) the
Sublicensee shall agree in writing to be subject to, and bound by, terms and conditions substantially similar to the corresponding terms and conditions of this Agreement; and (c) Novogen shall remain responsible to Genentech for all acts
performed by the Sublicensee pursuant to any such Sublicense Agreement and shall ensure compliance with the obligations of Sublicensee hereunder. 

3.6.2. Prior to the commencement of a clinical study, Novogen may not sublicense the rights under the licenses granted in this Agreement
without Genentech’s prior written approval, which shall not be unreasonably withheld. 
 ARTICLE 4 

PAYMENTS BY NOVOGEN TO GENENTECH 
  

	 	4.1	Up-Front Payment. 

 In consideration for the access to
Licensed IP under this Agreement as of the Effective Date, Novogen shall pay to Genentech within thirty (30) days following the Effective Date, a one-time,
non-refundable, non-creditable, payment of five million dollars (U.S. $5,000,000). 
  

	 	4.2	Milestone Payment for Licensed Product. 

 With respect to the first Licensed Product, Novogen
shall pay to Genentech XXXX within thirty (30) days of the First Commercial Sale of the Licensed Product in the first of the following jurisdictions: XXXX. 

  
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	 	4.3	Single Milestone Payment. 

 With respect to the Milestone Event, only one payment shall ever be
due and payable with respect to the occurrence of the milestone. For the avoidance of doubt, a maximum of only one payment of XXXX will be made under Section 4.2. Such payment shall be non-refundable and shall not be creditable against any other
amount due to Genentech pursuant to this Agreement. 
  

	 	4.4	Royalties for Valid Claim Products. 

 In consideration for the rights granted hereunder, in each
calendar quarter during the Term in which Novogen, its Affiliates or a Sublicensee records Net Sales of Valid Claim Products, and subject to and in accordance with the terms and conditions of this Agreement, Novogen shall pay to Genentech on a
Licensed Product-by-Licensed Product and country-by-country basis an amount equal to:

 (a) XXXX of aggregate, annual worldwide Net Sales of Valid Claim Products for the portion of such sales up to or equal to the first XXXX
and 
 (b) XXXX of aggregate, annual worldwide Net Sales of Valid Claim Products for the portion of such sales greater XXXX and up to or
equal to XXXX and 
 (c) XXXX of aggregate, annual worldwide Net Sales of Valid Claim Products for the portion of such sales greater than
XXXX 
  

	 	4.5	Know-How Royalties for Non-Valid Claim Products. 

In consideration for the rights granted hereunder, in each calendar quarter during the Term in which Novogen, its Affiliates or a Sublicensee records Net Sales
of Licensed Products not covered by a Valid Patent Claim, and subject to and in accordance with the terms and conditions of this Agreement, Novogen shall pay to Genentech on a Licensed
Product-by-Licensed Product and country-by-country basis an amount equal to. 

(a) XXXX of aggregate, annual worldwide Net Sales of Licensed Products not covered by a Valid Patent Claim for the portion of such sales up to
or equal to the XXXX and 
 (b) XXXX of aggregate, annual worldwide Net Sales of Licensed Products not covered by a Valid Patent Claim for
the portion of such sales greater than XXXX and up to or equal to XXXX and 
 (c) XXXX of aggregate, annual worldwide Net Sales of Licensed
Products not covered by a Valid Patent Claim for the portion of such sales greater than XXXX 

  
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	 	4.6	Duplications. 

 For the avoidance of doubt, during the Term, Novogen shall pay to Genentech
a royalty with respect to each Licensed Product on a country-by-country basis either under Section 4.4 or Section 4.5. In no circumstances will Novogen be
required to pay a royalty simultaneously pursuant to both Section 4.4 and Section 4.5 with respect to a particular Licensed Product in a particular country. 
  

	 	4.7	Royalty reduction. 

 In the event that Novogen, upon the advice of competent counsel properly
qualified to provide the advice, requires and obtains a license under a Third Party Patent(s) where such composition of matter patent covers the Genentech Compound included in a Licensed Product(s), Novogen may reduce the amount otherwise payable by
Novogen to Genentech under Section 4.4 in any calendar quarter with respect to such Licensed Product(s) XXXX of the amounts paid by Novogen to such Third Party in the same calendar quarter for the rights to such Third Party Patent(s); provided
however, in no event shall the amount otherwise payable under Section 4.4 to Genentech with respect to such Licensed Product(s) be reduced by more than XXXX of what would otherwise be due on the sale of such Licensed Produces). For the
avoidance of doubt, the amount by which any amount otherwise payable under Section 4.4 is reduced in accordance with this Section 4.7, will not itself be considered a royalty payment. 

 

	 	4.8	Timing of Royalty Payments. 

 All royalty payments due under this Article 4 shall be paid in
quarterly installments and be paid within ninety (90) days following the end of each calendar quarter. 
  

	 	4.9	No Deductions from Payments. 

 Except for the royalty adjustments set forth in
Section 4.7, and any withholding in accordance with Section 5.3.3, as between the Parties, Novogen is solely responsible for payment of any fee, royalty or other payment due to any Third Party in connection with the research, development,
manufacture, distribution, use, sale, import or export of a Licensed Product, and Novogen shall not have the right to offset any amounts paid to such Third Party, including fee, royalty or other payment, against any amount payable to Genentech
hereunder. 
  

	 	4.10	Single Royalty. 

 Notwithstanding anything herein to the contrary, with respect to any Licensed
Product only a single royalty payment shall be due and payable, regardless if such Licensed Product is Covered by more than one Valid Patent Claim. 
  

	 	4.11	Royalty Term. 

 The term of the royalty obligations set forth in this Article 4 shall begin
on a country by country basis upon the First Commercial Sale of a Licensed Product and will continue on a Licensed Product-by-Licensed Product basis and on a country-by-country basis, until the later of (i) ten (10) years after the First Commercial Sale in a country or (ii) the date of expiration of the last Valid Patent
Claim within the Licensed Patent Rights Covering the Licensed Product in a country, provided however that royalties will be due on all Licensed Product manufactured prior to such date of expiration or (iii) the date of expiration of regulatory
or data exclusivity for such Licensed Product. 

  
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	 	4.12	Continued License. 

 4.12.1. At the end of each royalty term for a Licensed
Product (as described in Section 4.11), Novogen will have a fully paid-up, perpetual, royalty free, irrevocable, transferrable license to all Licensed IP relating to such Licensed Product in the relevant
country. 
 4.12.2. At the end of the Term, subject to Section 4.12.3, Novogen will have a fully
paid-up, perpetual, royalty free, worldwide, irrevocable, transferrable license to the Licensed IP. 

4.12.3. Novogen will not be entitled to the license in Section 4.12.2 where this Agreement is terminated for material breach of Novogen.

 ARTICLE 5 

REPORTS, AUDITS, AND FINANCIAL TERMS 
  

	 	5.1	Net Sales Definition. 

 5.1.1. “Net Sales” means the gross
amounts invoiced for commercial sales of Licensed Products by Novogen, its Affiliates, and its Sublicensees (in final form for end use, but exclusive of inter-company transfers), less the following deductions from such invoiced amounts which are
actually incurred or accrued: 
 5.1.1.1 sales deductions, including cash discounts, volume rebates, mandatory discounts, and normal and
customary trade, quantity or prompt settlement discounts (including chargebacks and allowances) actually allowed; 
 5.1.1.2 amounts repaid
or credited by reason of rejection, returns or recalls of goods, cash based incentives, rebates or bona fide price reductions determined by the party in good faith; 

5.1.1.3 chargebacks and rebates, including those granted to managed health care organizations, hospitals, wholesalers, buying groups,
retailers or to federal, state/provincial, local and other governments, their agencies and purchasers and reimbursers. 
 5.1.1.4 excise
taxes, indirect taxes, customs duties, customs levies and import fees imposed on the sale, importation, use or distribution of the Licensed Products; 

5.1.1.5 any other similar and customary deductions that are consistent with the Accounting Standard. 

Except as may otherwise be set forth herein, Net Sales shall be calculated on an accrual basis in accordance with Accounting Standard. 

5.1.2. Licensed Products Sold in Combinations. 

5.1.2.1 In the event that a Licensed Product is sold in combination (in the same package, including as a
co-formulation) with one or more other active ingredients that are not the subject of this Agreement (a “Combination”), the gross amount invoiced for such Licensed Product shall be
calculated by multiplying the gross amount invoiced for such Combination by the fraction A/(A+B), where “A” is the gross amount invoiced for such Licensed Product sold separately and “B” is the gross amount invoiced for such
other active ingredient(s) sold separately. 

  
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 5.1.2.2 In the event that such other active ingredient(s) are not sold separately (but such
Licensed Product is), the gross amount invoiced for such Licensed Product shall be calculated by multiplying the gross amount invoiced for such Combination by the fraction A/C, where “A” is the gross amount invoiced for such Licensed
Product, and “C” is the gross amount invoiced for the Combination. 
 5.1.2.3 In the event that such Licensed Product is not sold
separately, Net Sales for royalty calculations shall be determined by Novogen in good faith. 
  

	 	5.2	Reports. 

 5.2.1. Royalty Reports. Within sixty (60) days after the
end of each calendar quarter in which a royalty payment under Article 4 is required to be made, Novogen shall send to Genentech a report of Net Sales of the Licensed Products for which a royalty is due, which report sets forth for such calendar
quarter the following information: (i) total Net Sales of all Licensed Products sold in the Territory during such calendar quarter, (ii) Net Sales on a
country-by-country basis, (iii) the exchange rate used to convert Net Sales from the currency in which they are earned to United States dollars; and (iv) the
total royalty payments due (collectively, the “Quarterly Report”). 
  

	 	5.3	Additional Financial Terms. 

 5.3.1. Currency. All payments to be made
under this Agreement shall be made in United States dollars or such other currency designated by Genentech and reasonably acceptable to Novogen. Amounts invoiced in a currency other than United States dollars must be expressed in the United States
dollar equivalent as well as any local currency. Net Sales outside of the United States shall be first determined in the currency in which they are earned and shall then be converted into an amount in United States dollars using the daily median
conversion rate reported by Reuters, Ltd. on the last Business Day of each month for the Net Sales relevant to that month. All currency conversions for amounts other than amounts calculated on the basis of Net Sales shall use the median conversion
rate reported by Reuters, Ltd. on the last Business Day before payment is due. 
 5.3.2. Payment Type. Amounts paid by one Party to
the other under this Agreement shall be paid in U.S. dollars, in immediately available funds, by means of wire transfer to an account identified by the payee. 

5.3.3. Withholding of Taxes. Each Party may withhold from payments due to the other Party amounts for payment of any withholding tax
that is required by law to be paid to any taxing authority with respect to such payments. The Party withholding the tax shall provide to the other Party reasonable documentation to enable that Party subject to withholding to claim exemption from
such withholding taxes and to receive a full refund of such withholding tax or claim a foreign tax credit. The Party withholding the tax shall give evidence, as reasonably requested, as to the payment of such tax. 

5.3.4. Late Payments. Any amounts not paid within thirty (30) days after the date due under this Agreement are subject to interest
from the date due through and including the date upon which payment is received. Interest is calculated, over the period between the date due and the date paid, at a rate equal to two percentage point (2%) over the six (6) month
London Interbank Offered Rate. 

  
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	 	5.4	Accounts and Audit. 

 5.4.1. Records. Novogen shall keep full, true and
accurate books of account containing the particulars of Net Sales and the calculation of royalties. Novogen shall keep such books of account and the supporting data and other records at its principal place of business or such other location as
reasonably notified to Genentech. Such books and records must be maintained and available for examination in accordance with this Section for three (3) calendar years after the end of the calendar year to which they pertain, and otherwise as
reasonably required to comply with Accounting Standard. 
 5.4.2. Appointment of Auditor. Genentech may appoint a recognized
accounting firm reasonably acceptable to Novogen to inspect the relevant books of account of Novogen to verify any reports or statements provided, or amounts paid or invoiced (as appropriate), by Novogen. The accounting firm (and any individuals, if
applicable) appointed to perform the examination under this Agreement must execute a confidential disclosure agreement with Novogen, or otherwise be subject to terms governing non-use and non-disclosure of information that Novogen has agreed in writing are acceptable. 
 5.4.3. Procedures
for Audit. Novogen is required to make its records available for inspection only during regular business hours, only at such place or places where such records are customarily kept, and only upon receipt of at least thirty (30) days written
advance notice from Genentech. Subject to Section 5.4.5, Genentech will pay the costs of any audit. 
 5.4.4. Audit Report. The
independent accountant will be instructed to provide to Genentech an audit report containing its conclusions regarding the audit, and specifying whether the amounts paid were correct, and, if incorrect, the amount of any underpayment or overpayment.

 5.4.5. Underpayment and Overpayment. After review of the auditor’s report: (i) if there is an uncontested underpayment
by Novogen for the period in question, then Novogen shall pay to Genentech the full amount of that uncontested underpayment, and (ii) if there is an uncontested overpayment by Novogen for the period in question, then Genentech shall provide to
Novogen a credit against future payments (such credit equal to the full amount of that overpayment), or, if Novogen is not obligated to make any future payments, then Genentech shall pay to Novogen the full amount of that overpayment. Contested
amounts are subject to dispute resolution under Article 11. If the total amount of any underpayment (as agreed to by Novogen or as determined under Article 11) exceeds five percent (5%) of the amount previously paid by Novogen for the period subject
to audit, then Novogen shall pay the reasonable costs for the audit. The full amount of any underpayment by Novogen determined to be payable to Genentech pursuant to this Section 5.4.5 shall accrue interest calculated in accordance to
Section 5.3.4. 

  
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 ARTICLE 6 

INTELLECTUAL PROPERTY; PATENT PROSECUTION, MAINTENANCE AND ENFORCEMENT 

 

	 	6.1	Prosecution. Maintenance and Enforcement. 

 6.1.1. Prosecution and Maintenance
of Patents. 
 (a) Novogen Rights to Patent Prosecution and Maintenance of Licensed Patent Rights. As between the Parties, Novogen
shall be solely responsible for the preparation, filing, prosecution and maintenance of Patents within Licensed Patent Rights; Novogen shall, in good faith, prosecute the Patents diligently and in accordance with prudent business judgement
(including taking into account the interests of Novogen’s shareholders), provided, however, that Novogen shall not make any election not to prosecute an application or maintain a Patent within the Licensed Patents in any Key Market without
first obtaining Genentech’s written permission, not to be unreasonably withheld. Genentech will have an opportunity to review and comment on correspondence with the patent offices, and Novogen shall incorporate Genentech’s reasonable
comments. All costs (including outside counsel, annuities and other official fees) of preparing, filing, prosecuting and maintaining such Patents shall be borne solely by Novogen, unless otherwise provided in this Section 6.1. 

(b) Transfer of Prosecution and Maintenance. If Novogen elects, in accordance with Section 6.1.1(a) above, not to prosecute and/or
maintain any Patents within the Licensed Patent Rights, in any country, Novogen shall provide at least sixty (60) days written notice to Genentech; provided, however, that the timing of such election not to prosecute and/or maintain any such
Patents does not encumber or diminish any Licensed Patent Rights. Thereafter, Genentech may, but is not required to, undertake, at its sole expense and in its sole discretion, the prosecution and maintenance of such Patents. Novogen shall have the
opportunity to review and comment on correspondence with the patent offices and Genentech shall consider Novogen’s reasonable comments. For purposes of this Agreement, such Patents continue to be included in the Licensed Patent Rights. 

6.1.2. Enforcement of Patents. Each Party shall promptly notify the other in the event it becomes aware of any actual or probable
infringement of any Patent within the Licensed Patent Rights. 
 (a) Novogen Right to Enforce Licensed Patent Rights. As between the
Parties, Novogen shall have the first right, in its sole discretion and at its sole expense, to take action against any alleged infringer of, or in defense of any Third Party claim regarding the enforceability or validity of, any Patent within the
Licensed Patent Rights. In the event that Novogen declines within six (6) months of notification of such alleged infringement to either (i) take action against such alleged infringement (e.g., by settlement) or (ii) initiate and
thereafter maintain legal proceedings against the alleged infringer, Genentech, at its option, may initiate such proceedings at its sole expense. Any recovery obtained by either Party as the result of such legal proceedings shall be allocated as
follows: first, as reimbursement of all otherwise unreimbursed legal fees and expenses incurred by either Genentech or Novogen, and then second, any amounts remaining will be divided equally between the Parties. 

6.1.3. Cooperation. Each Party shall fully cooperate with, and supply all reasonable assistance requested by, the other, in the
prosecution, maintenance, procurement of patent term extensions, supplementary protection certificates and the like, and defense and enforcement of any Patent within the Licensed Patent Rights as provided hereunder, including, if necessary, by being
joined as a party to the conflict or lending their name to the proceedings (including as applicant). 

  
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	 	6.2	Trademarks. 

 Novogen shall be responsible for the selection, registration, maintenance,
enforcement and defense of all trademarks for use in connection with the sale or marketing of Licensed Products in the Field in the Territory (the “Novogen Marks”), as well as all expenses associated therewith. All uses of
the Novogen Marks shall comply with all Applicable Laws and regulations (including those laws and regulations particularly applying to the proper use and designation of trademarks in the applicable countries). Novogen shall not, without
Genentech’s prior written consent, use any trademarks or house marks of Genentech (including the Genentech corporate name), or marks confusingly similar thereto, in connection with Novogen’s commercialization of Licensed Products under
this Agreement. Novogen shall own all Novogen Marks. 
  

	 	6.3	Challenge to Licensed Patent Rights Licensed bv Novogen. 

 (a) The Parties
acknowledge and agree that they are entering the Agreement in lieu of enforcing their respective patent rights, defenses and remedies concerning the Licensed Patent Rights under relevant laws, including under 35 U.S.C.
100-376 et seq. (collectively, the “Patent Rights”). Each Party further acknowledges that each and every term in the Agreement, including the fees, milestone payments and the royalties
set forth in Article 4 herein, reflects the value of avoiding the risk and uncertainty associated with litigating the Patent Rights and the risk of being subject to certain rights, defenses and/or remedies. 

(b) The Parties acknowledge and agree that Genentech may terminate the Agreement at Genentech’s sole and absolute discretion, in the
event Novogen, Affiliates, and/or Sublicensees challenge, directly or indirectly, the validity, enforceability and/or scope of any claim within the Licensed Patent Rights in a court or patent office or other governmental agency. In the event of
termination by Genentech pursuant to this Section 6.3(b), any fees, milestone payments and/or royalties or other payment owed to Genentech prior to such termination shall be non-refundable. 

ARTICLE 7 
 TERM AND
TERMINATION 
  

	 	7.1	Term. 

 The term of this Agreement shall commence on the Effective Date and, unless sooner
terminated by mutual agreement or pursuant to any other provision of this Agreement, shall terminate on the date on which all obligations under this Agreement between the Parties with respect to the payment of milestones or royalties with respect to
Licensed Products have passed or expired (the “Term”!. 
  

	 	7.2	Termination. 

 7.2.1. Material Breach. 

Prior to the Milestone Event, either Party may terminate this Agreement for any material breach by the other Party, provided that the terminating Party
gives the breaching Party written notice of such breach and if the Party receiving notice of breach fails to cure, or fails to dispute, that breach within sixty (60) days, then the Party originally delivering the notice of breach may terminate
this Agreement on written notice of termination. 

  
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 7.2.2. Dispute as to breach. If the allegedly breaching Party under Section 7.2.1
in good faith disputes such material breach or disputes the failure to cure or remedy such material breach and provides written notice of that dispute to the other Party within the above time periods, then the matter will be addressed under the
dispute resolution provisions in Article 11, and the notifying Party may not terminate this Agreement until it has been determined under Article 11, that the allegedly breaching Party is in material breach of this Agreement, and such breaching Party
further fails to cure such breach within thirty (30) days after the conclusion of that dispute resolution procedure. Notwithstanding anything to the contrary in this Section 7.2, in the event that Novogen fails to timely submit payment of
the upfront payment referenced in Section 4.1 within the thirty (30) Business Days following the Effective Date, such failure shall be deemed a material breach of this Agreement and not subject to the cure period set forth herein above.

 7.2.3. Bankruptcy. A Party shall have the right to terminate this Agreement upon written notice to the other Party (the
“Second Party”), in the event that the Second Party seeks protection of any bankruptcy or insolvency law, a proceeding in bankruptcy or insolvency is filed by or against the Second Party, or there is an adjudication by a court of
competent jurisdiction that the Second Party is bankrupt or insolvent. 
  

	 	7.3	Effect of Termination or Expiration. 

 7.3.1. Termination bv
Genentech. 
 Subject to Section 4.12, upon any termination of this Agreement by Genentech under Section 7.2.1 or 7.2.3 for breach by Novogen or
bankruptcy or insolvency of Novogen: 

  
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 (a) All rights and licenses granted to Novogen under Article 3 shall immediately terminate.

 (b) Novogen shall promptly return to Genentech all unused materials provided under the Technology Transfer Plan. 

(c) Novogen shall discontinue making any representation regarding its status as a licensee of Genentech for all Licensed Products. Novogen
shall cease conducting any activities with respect to the marketing, promotion, sale or distribution of Licensed Products. 
 (d) All rights
granted under this Agreement shall revert to Genentech. 
 7.3.2. Termination bv Novogen. 

If following the initiation of a clinical study, Novogen, using Commercially Reasonable Efforts, considers that it will not be able to commercialize the
Genentech Compound or any Licensed Product, Novogen may terminate this Agreement by giving at least 60 days’ notice to Genentech. If this Agreement is terminated in accordance with this Section 7.3.2.1: (i) All rights and licenses granted
to Novogen under Article 3 shall immediately terminate; (ii) Novogen shall promptly return to Genentech all unused materials provided under the Technology Transfer Plan (iii) Novogen shall discontinue making any representation regarding
its status as a licensee of Genentech for all Licensed Products; (iv) Novogen shall cease conducting any activities with respect to the marketing, promotion, sale or distribution of Licensed Products; and (v) All rights granted under this
Agreement shall revert to Genentech. 
 7.3.3. Safety of patients. For the avoidance of doubt, the Parties agree to provide
reasonable run off and transitional assistance if a clinical trial is ongoing as at the date of termination of the Agreement, to ensure trial participants affected by termination receive adequate medical care. 

 

	 	7.4	Ongoing Obligations. 

 Termination or expiration of this Agreement through any means and for any
reason, shall not relieve the Parties of any obligation accruing prior thereto, including the payment of all sums due and payable, and shall be without prejudice to the rights and remedies of either Party with respect to any antecedent breach of any
of the provisions of this Agreement. 
  

	 	7.5	Survival. 

 In addition to as set forth in Article 7 and otherwise explicitly as set forth in this
Agreement, Article 1, Article 9, Article 10, Article 11, Article 12, Section 4.12, Section 8.4, and, as applicable, Article 5 shall survive expiration or termination of this Agreement for any reason. 

ARTICLE 8 

REPRESENTATIONS AND WARRANTIES 
  

	 	8.1	Genentech Representations. 

 Genentech hereby represents, warrants and covenants to Novogen
that: 
 8.1.1. Genentech has the full right, power and authority, and has obtained all approvals, permits or consents necessary, to enter
into this Agreement and to perform all of its obligations hereunder and to grant the licenses provided hereunder. 

  
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 8.1.2. To Genentech’s knowledge, Genentech has not, prior to the Effective Date, entered
into any agreement and has not granted any now existing, or agreed to grant any future, license, right or privilege which agreement, license, right or privilege conflicts in any way with the licenses granted to Novogen hereunder. 

8.1.3. To the best of its knowledge as of the Effective Date, the use of the Licensed IP in accordance with this Agreement will not infringe
the rights, including Intellectual Property Rights, of any Third Party. 
 8.1.4. At the time of making the Licensed IP available to
Novogen, the validity of the Licensed IP has not been the subject of any Third Party claim, Court action or proceeding before any Patent Office. 
  

	 	8.2	Novogen Representations. 

 Novogen hereby represents and warrants the following to Genentech: 

8.2.1. Novogen has the full right, power and authority, and has obtained all approvals, permits or consents necessary, to enter into this
Agreement and to perform all of its obligations hereunder. 
 8.2.2. Novogen covenants and agrees that in conducting activities contemplated
under this Agreement, it shall materially comply with all Applicable Laws and regulations including those related to the manufacture, use, labeling, importation and marketing of Licensed Products. 

8.2.3. Novogen has not, prior to the Effective Date, entered into any agreement that conflicts in any way with this Agreement or
Novogen’s obligations hereunder. 
  

	 	8.3	Exclusions. 

 Subject to the express warranties granted in Section 8.1, nothing in this Agreement is
or shall be construed as: 
 8.3.1. A warranty or representation by Genentech as to the validity or scope of any claim or patent or patent
application within the Licensed Patent Rights; 
 8.3.2. A warranty or representation by Genentech that anything made, used, sold, or
otherwise disposed of under any license granted in this Agreement is or will be free from infringement of any patent rights or other intellectual property right of any Third Party; and 

8.3.3. A grant by Genentech, whether by implication, estoppel, or otherwise, of any licenses or rights other than that expressly granted under
this Agreement. 

  
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	 	8.4	DISCLAIMER. 

 TO THE EXTENT PERMISSIBLE BY LAW, OTHER THAN AS SET FORTH IN THIS AGREEMENT, NO
WARRANTY IS GIVEN WITH RESPECT TO MATERIALS, OR THE LICENSED IP, EXPRESS OR IMPLIED, EITHER IN FACT OR BY OPERATION OF LAW, BY STATUTE OR OTHERWISE, AND THE PARTIES SPECIFICALLY DISCLAIM ANY EXPRESS OR IMPLIED WARRANTY OF MERCHANTABILITY, FITNESS
FOR A PARTICULAR PURPOSE, VALIDITY OF THE LICENSED IP, OR NON-INFRINGEMENT OF THE INTELLECTUAL PROPERTY OR OTHER RIGHTS OF ANY THIRD PARTY. THE WARRANTIES SET FORTH IN ARTICLE 8 ARE IN LIEU OF ALL OTHER
WARRANTIES, EXPRESS OR IMPLIED, INCLUDING THE IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, VALIDITY, NONINFRINGEMENT AND ALL SUCH OTHER WARRANTIES ARE HEREBY EXPRESSLY DISCLAIMED. 

ARTICLE 9 

INDEMNIFICATION 
  

	 	9.1	Indemnification by Novogen. 

 Novogen shall defend, indemnify and hold harmless Genentech and its
respective officers, directors, shareholders, employees and agents from and against any and all Third Party liabilities, claims, suits, and expenses, including reasonable attorneys’ fees (collectively, “Losses”!, arising
out of or in any way attributable to (i) the inaccuracy or breach of any representation or warranty made by Novogen under this Agreement; (ii) the research, development, marketing, approval, manufacture, packaging, labeling, handling,
storage, transportation, use, distribution, promotion, marketing or sale of Licensed Products by or on behalf of Novogen; or (iii) the negligence, willful misconduct or failure to comply with applicable law of Novogen, its Affiliates, or their
respective officers, directors, employees or agents; in each case except to the extent that such Losses are attributable to (a) Genentech’s breach of any representation or warranty made by Genentech under this Agreement,
(b) Genentech’s breach of its obligations under this Agreement, and/or (c) the negligence or willful misconduct of Genentech, its Affiliates or their respective officers, directors or employees. 

 

	 	9.2	Indemnification bv Genentech. 

 Genentech shall defend, indemnify and hold harmless Novogen and
its respective officers, directors, employees and agents from and against any and all Losses arising out of or in any way attributable to (i) the inaccuracy or breach of any representation or warranty made by Genentech under this Agreement; or
(ii) the negligence, willful misconduct or failure to comply with applicable law of Genentech, its Affiliates, or their respective officers, directors or employees; in each case except to the extent that such Losses are attributable to
(a) Novogen’s breach of any representation or warranty made by Novogen under this Agreement, (b) Novogen’s breach of its obligations under this Agreement, and/or (c) the negligence or willful misconduct of Novogen, its
Affiliates or their respective officers, directors, employees or agents. 

  
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	 	9.3	Procedure. 

 The indemnities set forth in this Article 9 are subject to the condition that the
Party seeking the indemnity shall forthwith notify the indemnifying Party on being notified or otherwise made aware of a liability, claim, suit, action or expense and that the indemnifying Party defend and control any proceedings with the other
Party being permitted to participate at its own expense (unless there shall be a conflict of interest which would prevent representation by joint counsel, in which event the indemnifying Party shall pay for the other Party’s counsel); provided
that, the indemnifying Party may not settle the liability, claim, suit, action or expense, or otherwise admit fault of the other Party or consent to any judgment, without the written consent of the other Party (such consent not to be unreasonably
withheld). 
  

	 	9.4	Insurance. 

 9.4.1. Coverage. Novogen shall maintain, at its own cost, the
following insurance coverages: 
 (a) Commencing as of the Effective Date, and thereafter for the period of time required under
Section 9.4.2, Novogen shall obtain and maintain on an ongoing basis, Commercial General Liability insurance, including contractual liability and Products Liability insurance, in the minimum amount of XXXX in aggregate, combined single limit
for bodily injury and property damage liability, increasing to XXXX in aggregate, combined single limit for bodily injury and property damage liability upon the First Commercial Sale of a Licensed Product. The deductible shall not be greater than
XXXX. 
 (b) Novogen shall maintain statutory workers’ compensation limits and employers liability limits shall be at a minimum amount
of XXXX. 
 (c) Novogen as Sponsor of clinical trials with the Licensed Product shall purchase and maintain for the whole duration of the
clinical trial, liability insurance with minimum limits and conditions as legally required in the participating countries. For all other countries with non-defined minimum insurance limits, a minimum combined
single limit of XXXX per occurrence and in the aggregate applies. This insurance shall be primary insurance. 
 (d) Policy limits set forth
in (a) above may be met with a combination of primary, umbrella or excess insurance. 
 9.4.2. Additional Requirements. 

(a) All such insurance coverage shall be primary insurance with respect to Novogen’s own participation under this Agreement, and shall be
maintained with an insurance company or companies having an A.M. Best’s rating of A-VH or better. 

(b) Novogen shall name Genentech as an additional insured by endorsement under its Commercial General Liability and Products Liability
insurance policies. 
 (c) The insurance policies shall be in aggregate and Novogen shall maintain the insurance coverage for at least five
(5) years following completing performance of its obligations under this Agreement. 

  
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 (d) Upon thirty (30) days of signing this Agreement, Novogen shall provide to Genentech
its certificates of insurance evidencing the insurance coverage set forth in this Section 9.4. Novogen shall provide to Genentech at least thirty (30) days prior written notice of any cancellation, nonrenewal or material change in any of
the insurance coverage. Novogen shall, upon receipt of written request from Genentech, provide renewal certificates to Genentech for as long as Novogen is required to maintain insurance coverage hereunder. 

 

	 	9.5	LIMITATION ON DAMAGES. 

 NOTWITHSTANDING ANYTHING CONTAINED IN THIS AGREEMENT TO THE CONTRARY, IN
NO EVENT SHALL GENENTECH OR NOVOGEN BE LIABLE FOR ANY SPECIAL, CONSEQUENTIAL OR INCIDENTAL DAMAGES (INCLUDING LOSS OF PROFITS) WHETHER BASED UPON BREACH OF WARRANTY, BREACH OF CONTRACT, NEGLIGENCE, STRICT TORT OR ANY OTHER LEGAL THEORY. 

ARTICLE 10 

CONFIDENTIALITY 
  

	 	10.1	Confidential Information. 

 During the Term of this Agreement and for ten (10) years
thereafter, without regard to the means of termination, Novogen, with respect to Genentech Confidential Information, and Genentech, with respect to Novogen Confidential Information, agree: 

(a) to use such Confidential Information only for the purposes contemplated under this Agreement 

(b) to treat such Confidential Information as it would its own proprietary information which in no event shall be less than a reasonable
standard of care, 
 (c) to take reasonable precautions to prevent the disclosure of such Confidential Information to a Third Party without
written consent of the other Party, and 
 (d) to only disclose such Confidential Information to those employees, agents and Third Party
contractors who have a need to know such Confidential Information for the purposes set forth herein and who are subject to obligations of confidentiality substantially similar to those set forth herein. 

 

	 	10.2	Exceptions. 

 Notwithstanding the foregoing, a Party may use and disclose Confidential Information
(including any Novogen Confidential Information or Genentech Confidential Information) as follows: 
 (a) if required by applicable law,
rule, regulation, government requirement, court order or mles of a financial market, provided, that where reasonable and possible the disclosing Party promptly notifies the other Party of its notice of any such requirement and provides the other
Party a reasonable opportunity to seek a protective order or other appropriate remedy and/or to waive compliance with the provisions of this Agreement. For the avoidance of doubt, the disclosing Party must use all reasonable endeavors to notify the
other Party of any disclosure requirement; 

  
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 (b) to the extent such use and disclosure is necessary for the filing or publication of any
patent application or patent on inventions provided the Party disclosing the information has considered all reasonable feedback from the other Party; 

(c) as necessary or desirable for securing any regulatory approvals, including pricing approvals, for any Licensed Products, provided, that,
the disclosing Party shall take all reasonable steps to limit disclosure of the Confidential Information outside such regulatory agency and to otherwise maintain the confidentiality of the Confidential Information; 

(d) to take any lawful action that it deems necessary to protect its interest under, or to enforce compliance with the terms and conditions
of, this Agreement; and 
 (e) to the extent necessary, to its Affiliates, Sublicensees, directors, officers, employees, consultants,
vendors and clinicians under written agreements of confidentiality at least as restrictive as those set forth in this Agreement, who have a need to know such information in connection with such Party performing its obligations or exercising its
rights under this Agreement. 
  

	 	10.3	Disclosures and Public Announcements. 

 Neither Party shall issue any press release or other
publicity materials, or make any public presentation with respect to the existence of, or any of the terms or conditions of, this Agreement or the programs or efforts being conducted by the other Party hereunder, in each case without the prior
written consent of such Party, except as expressly permitted by Section 10.2 or this Section 10.3. 
 10.3.1. Within one Business Day
after the Effective Date, Novogen may issue a press release announcing the execution of this Agreement in substantially the form attached hereto as Exhibit E. It is further acknowledged that each Party may desire or be required to issue
subsequent press releases relating to this Agreement or activities hereunder. Where reasonable and possible, the Parties agree to consult with each other reasonably and in good faith with respect to the text and timing of subsequent press releases
prior to the issuance thereof, provided that a Party may not withhold consent to such releases that either Party may determine, based on advice of counsel, are reasonably necessary to comply with applicable law (including disclosure requirements of
the U.S. Securities and Exchange Commission (“SEC”)) or with the requirements of any stock exchange on which securities issued by a Party or its Affiliates are traded. For the avoidance of doubt, the Party making the press release must use
all reasonable endeavors to consult with the other Party in relation to a press release. In the event of a required public announcement, to the extent practicable under the circumstances, the Party making such announcement shall provide the other
Party with a copy of the proposed text of such announcement sufficiently in advance of the scheduled release to afford such other Party a reasonable opportunity to review and comment upon the proposed text. 

10.3.2. The Parties shall coordinate in advance with each other in connection with the filing of this Agreement (including redaction of
certain provisions of this Agreement) with the SEC or other governmental agency or any stock exchange on which securities issued by a Party or its Affiliate are traded, and each Party shall seek confidential treatment for the terms proposed to be
redacted; provided that each Party shall retain ultimate discretion to disclose such information to the SEC or any stock exchange or other governmental agency (as the case may be) as such Party determines, based on advice of legal counsel, is
required to be so disclosed. Other than such obligation, neither Party shall be obligated to consult with or obtain approval from the other Party with respect to any filings with the SEC or any stock exchange or other governmental agency where such
filings do not disclose Confidential Information of the other Party. 

  
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	 	10.4	Termination. 

 Upon termination of this Agreement and upon the request of the disclosing Party,
the receiving Party shall promptly return to the disclosing Party or destroy all copies of Confidential Information received from such Party, and shall return or destroy, and document the destruction of, all summaries, abstracts, extracts, or other
documents which contain any Confidential Information of the other Party in any form, except that each Party shall be permitted to retain a copy (or copies, as necessary) of such Confidential Information which the Party has the right to retain under
this Agreement, or otherwise for archival purposes or as required by any law or regulation. 
  

	 	10.5	Prior Agreements. 

 Genentech and Novogen are parties to a
Non-Disclosure Agreement effective as of XXXX (for purposes of this Section, “CDA”!. As of the Effective Date of this Agreement, all “Information” (as defined in the CD A) exchanged
between the Parties thereunder that relates to the subject matter of this Agreement shall be deemed Confidential Information hereunder and shall no longer be governed by the CD A. 

 

	 	10.6	Publication. 

 10.6.1. Bv Genentech. Genentech retains the right to submit
the publications listed on Exhibit F attached hereto (a “Planned Publication”). Prior to submission of any proposed publication to a Third Party including any Planned Publication, Genentech shall first submit the
proposed publication to Novogen and permit Novogen the opportunity to review the proposed publication for forty five (45) days to identify any of its Intellectual Property Rights disclosed therein. If Novogen notifies Genentech that the
proposed publication includes any Licensed Patent Rights, Genentech Compound Know-How within such forty five (45) day period, Genentech shall delay publication an additional ninety (90) days to
permit Novogen the opportunity to make appropriate patent filings or take such other action as reasonably necessary to protect its Intellectual Property Rights. Except as expressly permitted by this Section 10.6.1, Genentech shall not make any
publication or public presentation of any Licensed Patent Rights, Genentech Compound Know-How without Novogen’s prior written consent. 

10.6.2. By Novogen. For the avoidance of doubt, Novogen shall have the right to publish information (including presentations) relating to Novo
gen’s use of Licensed Products. To the extent such publication includes the work of a Genentech employee, Genentech shall have the right to have such employee named as a co-author or otherwise include an
appropriate acknowledgment. Genentech shall also have the right to publish - information within the Licensed Know-How in accordance with Section 10.6.1. 

ARTICLE 11 
 DISPUTE
RESOLUTION 
  

	 	11.1	Internal Resolution. 

  
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 Except as otherwise expressly provided in this Agreement (including under Section 11.3), any Disputes
shall first be referred to the Parties’ respective Alliance Managers for attempted resolution by such Alliance Managers within thirty (30) days after such referral. If such Dispute is not resolved within such thirty (30) day period,
either Party may have such Dispute referred to a Vice President of Genentech and the Chief Executive Officer of Novogen (or their respective designees) for resolution, prior to proceeding under the other provisions of this Article 11. A Dispute
shall be referred to such executives upon one Party providing the other Party with written notice that such Dispute exists, and such executives, or their designees, shall attempt to resolve such Dispute through good faith discussions. In the event
that such Dispute is not resolved within thirty (30) days of such other Party’s receipt of such written notice, subject to Section 11.3, either Party may initiate the Dispute resolution procedures set forth in Section 11.2. The
Parties agree that any discussions between such executives, or their designees, regarding such Dispute do not constitute settlement discussions, unless the Parties agree otherwise in writing. 

 

	 	11.2	Arbitration. 

 11.2.1. Rules. Except as otherwise expressly provided in this
Agreement, the Parties agree that any Dispute not resolved internally by the Parties pursuant to Section 11.1 shall be resolved through binding arbitration conducted by the American Arbitration Association in accordance with the then prevailing
Commercial Arbitration Rules of the American Arbitration Association (for purposes of this Article 11, the “Rules”), except as modified in this Agreement, applying the substantive law specified in Section 12.4. 

11.2.2. Arbitrators: Location. Each Party shall select one (1) arbitrator, and the two (2) arbitrators so selected shall
choose a third arbitrator. All three (3) arbitrators shall serve as neutrals and have at least ten (10) years of (i) dispute resolution experience (including judicial experience) or (ii) legal or business experience in the
biotech or pharmaceutical industry. In any event, at least one (1) arbitrator shall satisfy the foregoing experience requirement under paragraph (ii). If a Party fails to nominate its arbitrator, or if the Parties’ arbitrators cannot agree
on the third arbitrator, the necessary appointments shall be made in accordance with the Rules. Once appointed by a Party, such Party shall have no ex parte communication with its appointed arbitrator. The arbitration proceedings shall be conducted
in San Francisco, California. The arbitrators shall not have authority to award damages or grant relief inconsistent with the provisions of this Agreement, including Section 9.5. 

11.2.3. Procedures: Awards. Each Party agrees to use reasonable efforts to make all of its current employees available, if reasonably
needed, and agrees that the arbitrators may deem any party as “necessary.” The arbitrators shall be instructed and required to render a written, binding, non appealable resolution and award on each issue that clearly states the basis upon
which such resolution and award is made. The written resolution and award shall be delivered to the Parties as expeditiously as possible, but in no event more than ninety (90) days after conclusion of the hearing, unless otherwise agreed by the
Parties. Judgment upon such award may be entered in any competent court or application may be made to any competent court for judicial acceptance of such an award and order for enforcement. Each Party agrees that, notwithstanding any provision of
applicable law or of this Agreement, it will not request, and the arbitrators shall have no authority to award, punitive or exemplary damages against any Party. 

  
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 11.2.4. Costs. The “prevailing” Party, as determined by the arbitrators,
shall be entitled to (i) its share of fees and expenses of the arbitrators and (ii) its attorneys’ fees and associated costs and expenses. In determining which Party “prevailed,” the arbitrators shall consider (i) the
significance, including the financial impact, of the claims prevailed upon and (ii) the scope of claims prevailed upon, in comparison to the total scope of the claims at issue. If the arbitrators determine that, given the scope of the
arbitration, neither Party “prevailed,” the arbitrators shall order that the Parties (i) share equally the fees and expenses of the arbitrators and (ii) bear their own attorneys’ fees and associated costs and expenses. 

11.2.5. Interim Equitable Relief. Notwithstanding anything to the contrary in this Section 11.2, in the event that a Party
reasonably requires relief on a more expedited basis than would be possible pursuant to the procedure set forth in this Article 11, such Party may seek a temporary injunction or other interim equitable relief in a court of competent jurisdiction
pending the ability of the arbitrators to review the decision under this Section 11.2. Such court shall have no jurisdiction or ability to resolve Disputes beyond the specific issue of temporary injunction or other interim equitable relief. 

11.2.6. Protective Orders: Arbitrability. At the request of either Party, the arbitrators shall enter an appropriate protective order
to maintain the confidentiality of information produced or exchanged in the course of the arbitration proceedings. The arbitrators shall have the power to decide all questions of arbitrability. 

 

	 	11.3	Subject Matter Exclusions. 

 Notwithstanding the provisions of Section 11.2, any Dispute not
resolved internally by the Parties pursuant to Section 11.1 that involves the validity or infringement of a Patent within the Licensed Patent Right (a) that is issued in the United States shall be subject to actions before the United
States Patent and Trademark Office and/or submitted exclusively to the federal court located in the jurisdiction of the district where any of the defendants resides; and (b) that is issued in any other country shall be brought before an
appropriate regulatory or administrative body or court in that country, and the Parties hereby consent to the jurisdiction and venue of such courts and bodies. 

ARTICLE 12 

MISCELLANEOUS 
  

	 	12.1	Assignment and Delegation. 

 Neither this Agreement nor any right or obligation hereunder shall be
assignable in whole or in part, whether by operation of law, or otherwise by either Party without the prior written consent of the other Party. Notwithstanding the foregoing, either Party may assign or transfer its rights and obligations under this
Agreement to a Person that succeeds to all or substantially all of that Party’s business or assets whether by sale, merger, operation of law or otherwise and either Party may assign to an Affiliate. This Agreement shall be binding upon and
inure to the benefit of and be enforceable by the Parties hereto and their respective successors and permitted assignees. Any transfer or assignment of this Agreement in violation of this Section 12.1 shall be null and void. For the purposes of
this Section, a Party will be considered to have assigned its rights if it subcontracts all of its obligations under this Agreement. 
  

	 	12.2	Entire Agreement 

 This Agreement contains the entire agreement between the Parties relating to
the subject matter hereof, and all prior understandings, representations and warranties between the Parties are superseded by this Agreement. 

  
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	 	12.3	Amendments. 

 Changes and additional provisions to this Agreement shall be binding on the Parties
only if agreed upon, laid down in writing and signed effectively by the Parties. 
  

	 	12.4	Applicable Law. 

 This Agreement shall be construed and interpreted in accordance with the laws of
the state of California and all rights and remedies shall be governed by such laws without regard to principles of conflicts of law. 
  

	 	12.5	Force Maieure. 

 If the performance of this Agreement or. any obligations hereunder is prevented,
restricted or interfered with by reason of earthquake, fire, flood or other casualty or due to strikes, riot, storms, explosions, acts of God, war, or a similar occurrence or condition beyond the reasonable control of the Parties, the Party so
affected shall, upon giving prompt notice to the other Parties, be excused from such performance during such prevention, restriction or interference, and any failure or delay resulting therefrom shall not be considered a breach of this Agreement.

  

	 	12.6	Severability. 

 The Parties do not intend to violate any public policy or statutory common law.
However, if any sentence, paragraph, Section, Article or combination of this Agreement is in violation of any law or is found to be otherwise unenforceable, such sentence, paragraph, Section, Article or combination of the same shall be deleted and
the remainder of this Agreement shall remain binding, provided that such deletion does not alter the basic purpose and structure of this Agreement. 

  
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	 	12.7	Notices. 

 All notices, requests, demands, and other communications relating to this Agreement
shall be in writing in the English language and shall be delivered in person or by mail, international courier or facsimile transmission (with a confirmation copy forwarded by courier or mail). Notices sent by mail shall be sent by first class mail
or the equivalent, registered or certified, postage prepaid. Notices sent by international courier shall be sent using a service which provides traceability of packages. Notices shall be deemed to have been given on (i) in the case of delivery
in person, when delivered; (ii) in the case of delivery by post, the earlier of the date actually received and the date which is two days after the date of posting if posted to an address in the same country or seven days after the date of
posting by international courier; and (iii) in the case of fax, on receipt by the sender of a transmission control report from the dispatching machine showing the relevant number of pages and the correct destination fax number or name of the
recipient and indicating that the transmission has been made without error, but if the result is that a notice would he taken to be given or made on a day that is not a business day in the place to which the notice is sent or at a time that is later
than 5pm in the place to which the notice is sent, it will be conclusively taken to have been duly given or made at the start of business on the next business day in that place. Notices shall be sent as follows: 

 

	 	12.8	Use of Names. 

  

			
	 Notices to Genentech:
	  	 with a copy to:

	 Genentech, Inc.
	  	 Genentech, Inc.

	 1 DNA Way
	  	 1 DNA Way

	 South San Francisco, CA 94080
	  	 South San Francisco, CA 94080

	 Attention: Corporate Secretary
	  	 Attention: Vice President, Genentech Partnering

	 Telephone: (650) 225-1000
	  	 Telephone: (650) 225-1000

	 Facsimile: (650) 467-9146
	  	 Facsimile:
650-225-3009

		  	
		
	 Notices to Novogen:
	  	 with a copy to:

	 Novogen Ltd.
	  	 Novogen Ltd.

	 PO Box 2333
	  	 PO Box 2333 Hornsby Westfield

	 Hornsby Westfield
	  	 NSW 1635, Australia

	 NSW 1635, Australia
	  	 Attention: The Company Secretary

	 Attention: The Chief Executive Officer
	  	 Telephone: +612 9472 4101

	 Telephone: +612 9472 4101
	  	 Facsimile: +612 9476 0388

	 Facsimile: +612 9476 0388
	  	

 Except as otherwise expressly provided in this Agreement, no right, express or implied, is granted by the Agreement to use in
any manner the name of “Novogen” “Genentech,” or any other trade name or trademark of the other Party in connection with the performance of this Agreement. 

  
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	 	12.9	Independent Contractor. 

 Nothing herein shall create any association, partnership, joint venture,
fiduciary duty or the relation of principal and agent between the Parties hereto, it being understood that each Party is acting as an independent contractor, and neither Party shall have the authority to bind the other or the other’s
representatives in any way. 
  

	 	12.10	Waiver. 

 No delay on the part of either Party hereto in exercising any power or right hereunder
shall operate as a waiver thereof, nor shall any single or partial exercise of any power or right hereunder preclude other or further exercise thereof or the exercise of any other power or right. No waiver of this Agreement or any provision hereof
shall be enforceable against any Party hereto unless in writing, signed by the Party granting such waiver, and shall be limited solely to the extent described in such written waiver. 

 

	 	12.11	Interpretation. 

 This Agreement has been prepared jointly and no rale of strict construction
shall be applied against either Party. In this Agreement, the singular shall include the plural and vice versa and the word “includes” or “including” shall be deemed to be followed by the phrase “without limitation.”
The section headings contained in this Agreement are inserted for convenience only and shall not affect in any way the meaning or interpretation of this Agreement. 
  

	 	12.12	Counterparts. 

 This Agreement may be executed in counterparts, each of which together shall
constitute one and the same Agreement. For purposes of executing this agreement, a facsimile copy of this Agreement, including the signature pages, will be deemed an original. 

[Signature page follows] 

  
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EXECUTION VERSION 
 IN WITNESS
WHEREOF, the Parties have executed this Agreement: 
 Executed by Novogen Ltd ABN 37 063 259 754 

 

					
		    	  
	  	
		    	Signature of director	  	Signature of company secretary*
		    		  	◆delete whichever does not apply
			
	31 OCT 2016    .	    	  James Garner	  	Kate Hill
			
		    	Name (please print)	  	Name (please print)

 Executed by Genentech, Inc. 
  

					
		    	

	  	

	            	    	  
 Signature of
director
	  	  
 Signature of
director or company secretary*

		    		  	*delete whichever does not apply
			
		    	 

	  	

		    	  
 Name (please
print)
	  	  
 Name (please
print)

  
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 EXHIBIT A 

LICENSED PATENT RIGHTS 
  

							
	 Country
	  	 Patent Number
	  	 Application Number
	  	 Status

	 Argentina
	  		  	PI 10104706	  	Filed
	 Austria
	  	E696957	  	11808454.0	  	Granted
	 Australia
	  	2011343712	  	2011343712	  	Granted
	 Australia
	  		  	2015268776	  	Filed
	 Belgium
	  	2651951	  	11808454.0	  	Granted
	 Bulgaria
	  	2651951	  	11808454.0	  	Granted
	 Brazil
	  		  	BR112013014914-0	  	Filed
	 Canada
	  		  	2820078	  	Filed
	 Switzerland
	  	2651951	  	11808454.0	  	Granted
	 Chile
	  		  	01093-2013	  	Filed
	 China P.R.
	  	ZL201180060597.3	  	201180060597.3	  	Granted
	 China P.R.
	  		  	201610206179.5	  	Filed
	 Colombia
	  	5835	  	13-105848	  	Granted
	 Costa Rica
	  		  	2013-0247	  	Filed
	 Cyprus
	  	2651951	  	11808454.0	  	Granted
	 Czech Republic
	  	2651951	  	11808454.0	  	Granted
	 Germany
	  	602011011639.8	  	11808454.0	  	Granted
	 Denmark
	  	2651951	  	11808454.0	  	Granted
	 Algeria
	  	8698	  	130447	  	Granted
	 Eurasian Patent Convention
	  		  	201390879	  	Filed
	 Ecuador
	  		  	SP-2013-12692	  	Filed
	 Estonia
	  	2651951	  	11808454.0	  	Granted
	 Egypt
	  		  	PCT1034/2013	  	Filed
	 European Patent Convention
	  	2651951	  	11808454.0	  	Granted
	 European Patent Convention
	  	2813506	  	14177962.9	  	Granted

  
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	 European Patent Convention
	  		  	16151410.4	  	Filed
	 Spain
	  	2651951	  	11808454.0	  	Granted
	 Finland
	  	2651951	  	11808454.0	  	Granted
	 France
	  	2651951	  	11808454.0	  	Granted
	 Great Britain
	  	2651951	  	11808454.0	  	Granted
	 Gulf Cooperation Council
	  		  	GC2011-20037	  	Filed
	 Greece
	  	3085435	  	11808454.0	  	Granted
	 Hong Kong
	  		  	13113223.7	  	Filed
	 Croatia
	  	P20150127	  	11808454.0	  	Granted
	 Hungary
	  	2651951	  	11808454.0	  	Granted
	 Indonesia
	  		  	W-00201302646	  	Filed
	 Ireland
	  	2651951	  	11808454.0	  	Granted
	 Israel
	  		  	225778	  	Filed
	 India
	  		  	4538/CHENP/2013	  	Filed
	 Italy
	  	2651951	  	502015902331728	  	Granted
	 Japan
	  	5775171	  	2013-544769	  	Granted
	 Republic of Korea
	  	10-1548439	  	2013-7018489	  	Granted
	 Republic of Korea
	  		  	2014-7020819	  	Filed
	 Lithuania
	  	2651951	  	11808454.0	  	Granted
	 Luxembourg
	  	2651951	  	11808454.0	  	Granted
	 Latvia
	  	2651951	  	11808454.0	  	Granted
	 Morocco
	  	35795	  	36026	  	Granted
	 Monaco
	  	2651951	  	11808454.0	  	Granted
	 Malta
	  	2651951	  	11808454.0	  	Granted
	 Mexico
	  	335308	  	MX/A/2013/006858	  	Granted
	 Malaysia
	  		  	PI2013701009	  	Filed
	 Netherlands
	  	2651951	  	11808454.0	  	Granted
	 Norway
	  	EP2651951	  	11808454.0	  	Granted
	 New Zealand
	  	609448	  	609448	  	Granted
	 Peru
	  		  	1418.2013	  	Filed

  
 Confidential material
omitted and filed separately with the Commission. 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

							
	 Philippines
	  	1-2013-501243	  	1-2013-501243	  	Granted.
	 Poland
	  	2651951	  	11808454.0	  	Granted
	 Portugal
	  	2651951	  	11808454.0	  	Granted
	 Romania
	  	2651951	  	11808454.0	  	Granted
	 Republic of Serbia
	  	53768	  	P-2015/0034	  	Granted
	 Sweden
	  	2651951	  	11808454.0	  	Granted
	 Singapore
	  	190890	  	201304056-3	  	Granted
	 Singapore
	  		  	10201510347Q	  	Filed
	 Slovenia
	  	2651951	  	11808454.0	  	Granted
	 Slovak Republic
	  	2651951	  	11808454.0	  	Granted
	 Thailand
	  		  	1301003262	  	Filed
	 Turkey
	  	TR201501621T4	  	11808454.0	  	Granted
	 Taiwan
	  	1441824	  	100146570	  	Granted
	 Taiwan
	  		  	103111141	  	Inactive
	 Ukraine
	  	109688	  	A201308951	  	Granted
	 United States
	  		  	61/423694	  	Inactive
	 United States
	  	8883799	  	13/326524	  	Granted
	 United States
	  		  	14/524204	  	Filed
	 United States
	  		  	61/423,694	  	Inactive
	 United States
	  		  	62/268,149	  	Filed
	 United States
	  		  	62/288,832	  	Filed
	 United States
	  		  	62/291,248	  	Filed
	 Venezuela
	  		  	1773-11	  	Filed
	 Vietnam
	  		  	1-2013-02191	  	Filed
	 Patent Cooperation Treaty
	  		  	 PCT/US2011/065101
 (WO2012/082997)
	  	Inactive
	 South Africa
	  	2013/04128	  	2013/04128	  	Granted

  
 Confidential material
omitted and filed separately with the Commission. 

 

 
 EXHIBIT B 

STRUCTURE OF GDC-0084 

5-(6,6-dimethyl-4-morpholino-8)9-dihydro-6H-[l
)4]oxazino[3,4-e]purin-2-yl)pyrimidin-2-amine
 
  
 Confidential material omitted and filed
separately with the Commission. 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 EXHIBIT C 

TECHNOLOGY TRANSFER PLAN 
 Genentech shall
provide the following materials and information to Novogen within three [3) months following the Effective Date: 
 XXXX 

  
 Confidential material
omitted and filed separately with the Commission. 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 45 kg of API 

XXXX 
 API to be shipped within ten (10) days of
receipt of upfront payment by Genentech. 
 Drug Product 

XXXX 
 XXXX 

XXXX 

  
 Confidential material
omitted and filed separately with the Commission. 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 EXHIBIT D 

Novogen Clinical Study Design 
  

			
	 NOVOGEN
	 	CLINICAL TRIAL PROTOCOL CONCEPT
		 
		 	Proposed Phase II Study of GDC-0084 in Glioblastoma Multiforme

  

	I.	STUDY OBJECTIVE 

 This study is intended to demonstrate’safety and efficacy of GDC-0084 in the treatment of glioblastoma multiforme (GBM) in the adjuvant setting, following surgical, resection and radiotherapy. 

The study is designed to maximise the potential for accelerated approval of the product following completion. 

 

	II.	STUDY POPULATION 

 All subjects will have a histologically-confirmed diagnosis of GBM (WHO Grade IV), and
an unmethylated MGMT status, as confirmed by PCR or alternative genomic analysis. Prior to study entry, subjects will have had optimal surgical resection and subsequent treatment with radiotherapy and temozolomide, in accordance with the ‘Stupp
regimen’. Subjects who have had disease progression or recurrence subsequent to radiotherapy treatment will not be eligible. 
 Other eligibility
criteria will be as commonly deployed for oncology studies. Both male and female subjects will be recruited. 
  

	III.	STUDY DESIGN 

 The study is a multicentre, two-arm, randomised,
double-blind clinical trial, using temozolomide as an active comparator. 
 Following completion of radiotherapy treatment according to the ‘Stupp
regimen’, subjects will be assigned to one of two treatment groups, in a 1:1 ratio. The first group will receive temozolomide, in accordance with the labelled dose and schedule. The second group will receive
GDC-0084 at a dose of 45mg, once daily. 
  

	IV.	ENDPOINTS 

 Primary Endpoint Progression-Free Survival (PFS) 

Secondary Endpoints 
 Overall Survival (OS) 

  
 Confidential material
omitted and filed separately with the Commission. 

  
 D-1 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 Safety and Tolerability Pharmacokinetics 

Exploratory Endpoints Biomarkers (as predictors of response) 

Exploratory Imaging 
 Neurological and Behavioural Instruments (MDASI-BT, neuro-cognitive tests, etc.) 
 Quality of Life (HRQoL) 

 

	V.	STATISTICAL CONSIDERATIONS 

 Sample Size 

It is expected that approximately 160 subjects will be recruited to the study (80 subjects in each of two arms). Subjects may be stratified according to the
Karnofsky Performance Status (KPS) and age. 

  
 Confidential material
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 D-2 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 EXHIBIT E 

PRESS RELEASE 
 ASX RELEASE 

[DATE] 
 NOVOGEN LICENSES PHASE ll-READY MOLECULE FROM GENENTECH FOR DEVELOPMENT IN 
 GLIOBLASTOMA 

 

	 	•	 	GDC-0084, a small molecule phosphoinositide-3-kinase (PI3K) inhibitor developed by

 Genentech, is ready to enter a phase II clinical trial in glioblastoma multiforme (GBM) 

Sydney, [DATE] - Australian oncology-focused biotechnology company, Novogen Ltd (ASX: NRT; NASDAQ: NVGN) today announced that it has entered into a worldwide
licensing agreement with Genentech, a member of the Roche Group, to develop and commercialise GDC-0084, a small molecule inhibitor of the
phosphoinositide-3-kinase (PI3K) pathway. 
 The lead indication for GDC-0084 is glioblastoma multiforme (GBM), which is the most aggressive form of brain cancer, accounting for approximately 15% of primary brain tumours. Median overall survival for GBM is considered to be
approximately 12 - 15 months from the time of diagnosis.1 
 Therapies targeting the PI3K pathway have
been under development by a number of pharmaceutical and biotechnology companies for several years, in various types of cancer. GDC-0084 is distinguished from most molecules in the class by its ability to
cross the blood- brain barrier, potentially making it suitable for cancers of the central nervous system. 
 Genentech has completed a phase I study of GDC-0084 in patients with recurrent GBM, and data was presented at the American Society of Clinical Oncology (ASCO) annual meeting in Chicago, IL in June 20162.
The study recruited 44 patients at five centres in the United States and Spain, including UCLA, Dana-Farber Cancer Institute, and Massachusetts General Hospital. In addition, GDC-0084 has an open
Investigational New Drug (IND) application with the United States Food and Drug Administration (FDA), and the transaction includes a quantity of premanufactured drug substance that is expected to be sufficient to support a proposed phase II clinical
trial. 
  

	1 	World Health Organisation. World Cancer Atlas 2014 

	2 	 PY Wen, T Cloughesy, A Olivero, et al (2016). Poster Presentation 2012, Annual Meeting of
the American Society for Clinical Oncology (Chicago, IL) 

  
 Confidential material
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 D-3 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 Novogen CEO, Dr James Garner, commented, “We are excited that Genentech has entrusted us to take forward
this promising investigational medicine in one of the most challenging areas of cancer treatment. This is a transformative step for Novogen, and the addition of GDC-0084 to our portfolio strengthens our
position as an emerging oncology biotech company. Our pipeline is now diversified across three distinct technology platforms, and we anticipate it will provide a rich flow of value-driving milestones as the company progresses.” 

He added, “The PI3K inhibitor class is well-validated and is of considerable interest to larger pharmaceutical companies. While a number of development
candidates are in clinical trials across a range of cancer types, we believe GDC-0084 is well differentiated and represents an important opportunity to contribute to the treatment of patients with
glioblastoma.” 
 Under the terms of the agreement, Novogen will pay Genentech an upfront payment of USD $5 million and performance-related
milestones linked to regulatory and commercial outcomes. In addition, Genentech will receive royalty payments in-line with industry benchmarks. 

Genentech will immediately initiate transfer of the IND for GDC-0084 to Novogen, as well as key manufacturing and
analytical processes. Novogen anticipates being able to provide an update to the market in the design, project cost, and timelines of the proposed phase II study early in the new year. 

[ENDS] 
 About the GDC-0084 drug candidate 
 GDC-0084 is a small molecule inhibitor of the PI3K /
AKT / mTOR pathway, which is distinguished from other molecules in the class by its ability to penetrate the blood-brain barrier. The molecule was developed by Genentech, who completed a phase I study in recurrent glioblastoma patients, and was
licensed to Novogen in September 2016. A phase II clinical trial is slated to begin in 2017. 
 About Novogen Limited 

Novogen has two proprietary drug discovery platforms (superbenzopyrans and antitropomyosins) with the potential to yield first-in-class agents across a range of oncology indications. The three lead molecules Cantrixil, Anisina, and Trilexium are in preclinical development, with the most advanced molecule, Cantrixil, slated to
enter clinical trials in late 2016. Novogen is also developing GDC-0084, a small molecule PI3K inhibitor licensed from Genentech, for the treatment of glioblastoma multiforme, and a phase II trial is expected
to begin in 2017. 

  
 Confidential material
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 D-4 

					
		  		 	 CONFIDENTIAL

EXECUTION VERSION

  

 EXHIBIT F 

PROPOSED PUBLICATIONS 
 1: Clinical
Pharmacokinetics and Brain Penetration of GDC-0084, an Oral PI3K/mTOR Inhibitor, in Patients with High-Grade Glioma 

Status: Draft in preparation - submission by end of 2016 (Lead author Kari Morrissey) 

Poster presented at ASCPT meeting in March 2016, with the addition of the clinical imaging data from one subject 

2. First-in-human Phase I study to evaluate the brain-penetrant PI3K/mTOR
inhibitor GDC-0084 in patients with progressive or recurrent high-grade glioma 
 Timothy Cloughesy,1 Patrick Y. Wen,2 Alan Olivero,3 Xuyang
Lu,3 Lars Mueller,3 Alexandre Fernandez Coimbra,3 Elizabeth Gerstner,4 Jordi Rodon6 
 Status: Draft in preparation

 Poster presented at ASCO 
 3. CMC Article and a
book chapter on the API synthesis - (Lead author Andy Stumf) 
 Status: Draft in preparation 

 
  

  
 Confidential material
omitted and filed separately with the Commission. 

  
 D-5EX-4.13

 Exhibit 4.13 

**** INDICATES CONFIDENTIAL MATERIAL OMITTED PURSUANT TO A 

REQUEST FOR CONFIDENTIAL TREATMENT AND FILED WITH THE 

SECURITIES AND EXCHANGE COMMISSION SEPARATELY WITH A REQUEST 

FOR CONFIDENTIAL TREATMENT. 
  

					
		 		  	Department of Industry, Innovation and Science
		 	
		 		  	CRC Project Funding Agreement CRC-P53981
		 	
		 		  	Targeting Tropomyosin as a Novel Anti-Cancer Therapy
		 		  	 
		 	
		 		  	 Commonwealth of Australia (Commonwealth)
  

Novogen Ltd (Recipient)

 Version 2.1 (CRC-P SR2, Dec 2016) 

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 1	 

 Details 

 
  

			
	Date	  	
    21    /    March    /  
  2017    

    day            month         
   year

 Parties 
  

			
	Name	  	The Commonwealth of Australia as represented by the Department of Industry, Innovation and Science
	Short form name	  	Commonwealth
		  	ABN 74 599 608 295
		
	Name	  	Novogen Ltd
	Short form name	  	Recipient
		  	ABN 37 063 259 754

 Background 
  

	A	This Agreement is made pursuant to the projects stream of the Programme. The objective of the projects stream is to support industry-identified and industry-led collaborative
research to develop products, services or processes that will solve industry problems and deliver tangible outcomes. 

  

	B	The Commonwealth provides the Funds to the Recipient under this Agreement to support the Project, Targeting Tropomyosin as a Novel Anti-Cancer Therapy, to be undertaken by the Participants. The Participants have,
or will have within the time period stipulated in this Agreement, entered into a Participants Agreement to undertake the Project. 

  

	C	The Participants will, wherever appropriate, engage on an ongoing basis with one or more relevant Industry Growth Centres in order to share knowledge, experience and resources and achieve common goals.

  

	D	The Commonwealth is required by law to ensure accountability for the Funds and accordingly the Recipient is required to be accountable for all Funds received. 

 

	E	The Commonwealth has agreed to provide the Funds to the Recipient for the purposes of the Project, subject to the terms and conditions of this Agreement. 

 

	F	The Recipient accepts the Funds for the purposes of the Project, and subject to the terms and conditions of this Agreement. 

  
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	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 2	 

 Funding Agreement 
  

 
  

							
	 Details
	 		  	 	2	
		
	 Agreed terms
	  	 	5	
		
	 Part 1 – Project and Funds
	  	 	5	
			
	 1.
	 	Definitions and interpretation	  	 	5	
			
	 2.
	 	Priority of documents	  	 	10	
			
	 3.
	 	Duration of Agreement	  	 	10	
			
	 4.
	 	Project	  	 	10	
			
	 5.
	 	Participant obligations	  	 	11	
			
	 6.
	 	Participant Contributions	  	 	14	
			
	 7.
	 	Funds	  	 	15	
			
	 8.
	 	GST and R&D Tax Incentive	  	 	15	
			
	 9.
	 	Use of Funds	  	 	16	
			
	 10.
	 	Repayment	  	 	17	
			
	 11.
	 	Monitoring progress	  	 	18	
			
	 12.
	 	Performance	  	 	18	
		
	 Part 2 – General requirements
	  	 	21	
			
	 13.
	 	Subcontractors and Personnel	  	 	21	
			
	 14.
	 	Assets	  	 	22	
			
	 15.
	 	Intellectual Property Rights	  	 	22	
			
	 16.
	 	Moral Rights	  	 	24	
			
	 17.
	 	Indemnity	  	 	25	
			
	 18.
	 	Insurance	  	 	25	
			
	 19.
	 	Publicity	  	 	26	
			
	 20.
	 	Confidentiality	  	 	26	
			
	 21.
	 	Work health and safety	  	 	28	
			
	 22.
	 	Protection of personal information	  	 	28	
			
	 23.
	 	Conflict of interest	  	 	30	
			
	 24.
	 	Books and records	  	 	30	
			
	 25.
	 	Audit and access	  	 	31	
			
	 26.
	 	Dispute resolution	  	 	32	
			
	 27.
	 	Reduction, suspension and termination	  	 	33	

  
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	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 3	 

							
	28.	 	Survival	  	 	37	
			
	29.	 	Notices and other communications	  	 	37	
			
	30.	 	Miscellaneous	  	 	38	
		
	Schedule 1 – Agreement Details	  	 	41	
		
	Schedule 2 – Project	  	 	45	
		
	Schedule 3 – Reporting	  	 	49	
		
	Schedule 4 – Funds, contributions and budget	  	 	50	
		
	Signing page	  	 	53	

  
  

  
 Confidential material
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	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 4	 

 Agreed terms 

 
 Part 1 – Project and Funds 

 

	1.	Definitions and interpretation 

  

	1.1	Defined terms 

 In this Agreement, except where the contrary intention is expressed, the
following definitions are used: 
  

					
		 	Accounting Standards	  	the standards of that name maintained by the Australian Accounting Standards Board (created by section 226 of the Australian Securities and Investments Commission Act 2001 (Cth)) or other accounting standards which are
generally accepted and consistently applied in Australia.
			
		 	Advisers	  	 (a)    the financial or legal advisers of a party; and

 
 (b)    the respective
officers and employees of those financial or legal advisers.

			
		 	Agreed Terms	  	clauses 1 to 30 of this Agreement, which set out terms and conditions agreed by the parties.
			
		 	Agreement	  	this funding agreement between the Commonwealth and the Recipient, as varied from time to time in accordance with clause 30.4, and includes its schedules and any attachments.
			
		 	Agreement Material	  	any Material created on or following the Commencement Date, for the purpose of or as a result of the Recipient performing its obligations under this Agreement.
			
		 	Agreement Period	  	the period from the Commencement Date to the End Date.
			
		 	Asset	  	any item of tangible property purchased, leased, created or otherwise brought into existence either wholly or in part with use of the Funds, but does not include Agreement Material.
			
		 	Budget	  	the budget set out in Schedule 4, as varied from time to time in accordance with this Agreement.
			
		 	Business Day	  	a day that is not a Saturday, Sunday, public holiday or bank holiday in the place where the act is to be performed or where the Notice is received.

  
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	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 5	 

					
		 	Change in Control	  	 in relation to an entity, a change in the direct or indirect power or capacity of a person to:

 
 a)      determine
the outcome of decisions about the financial and operating policies of the  entity; or
  

b)      control the membership of the board of directors of the entity,

 
 whether or not the power has statutory, legal or equitable force or is based on
statutory, legal or equitable rights and whether or not it arises by means of trusts, agreements, arrangements, understandings, practices, the ownership of any interest in shares or stock of the entity or otherwise, not including a change in control
resulting from ordinary course trading on a stock exchange in the shares of the entity.

			
		 	Commencement Date	  	the date on which this Agreement commences, as specified in item 7 of Schedule 1.
			
		 	Commonwealth	  	the Commonwealth as specified in item 1 of Schedule 1.
			
		 	Commonwealth Material	  	any Material provided to the Recipient by the Commonwealth, including the Material (if any) specified in item 14 of Schedule 1.
			
		 	Commonwealth Representative	  	the person identified in item 3 of Schedule 1.
			
		 	Confidential Information	  	 information that is by its nature confidential and:
  

(a)    is designated by a party as confidential and is described in item 19 of Schedule 1;
or
  
 (b)    a party knows
or ought to know is confidential,
  
 but does not include:

 
 (c)    information that is or
becomes public knowledge otherwise than by breach of this Agreement or any other confidentiality obligation.

			
		 	Corporations Act	  	the Corporations Act 2001 (Cth).
			
		 	CRC Advisory Committee	  	the Cooperative Research Centres Advisory Committee is a committee of Innovation Australia established under the Industry Research and Development Act 1986.
			
		 	CRC Indicia	  	the terms “CRC”, “CRC Projects”, “CRC-P”,“Cooperative Research Centre” and the Programme logo and any additional items specified by the Commonwealth
from time to time.
			
		 	CRC Project (CRC-P)	  	the collaboration between the Participants to undertake the Project as determined by the arrangements set out in the Participants Agreement.
			
		 	Department	  	the Department of Industry, Innovation and Science and its successors that administer the Programme.
			
		 	End Date	  	the date on which this Agreement will end (unless terminated earlier), as specified in item 8 of Schedule 1.

  
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	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 6	 

					
		 	Financial Year	  	the Australian financial year beginning 1 July and ending 30 June.
			
		 	Funds	  	the amounts payable by the Commonwealth under this Agreement as specified in Schedule 4 and any interest earned on those amounts.
			
		 	Guidelines	  	the Programme Guidelines listed under item 9 of Schedule 1, and any other guidelines issued by the Commonwealth from time to time in relation to the Programme and its administration.
			
		 	Industry Entity	  	an entity where the majority of its revenue is not derived from any government, capable of deploying research outputs in a commercial context, excluding a Research Organisation, and excluding entities where the primary function is
administrative or to provide support services to a CRC-P.
			
		 	Industry Growth Centres	  	not-for-profit companies limited by guarantee responsible for delivering the ‘Industry Growth Centres Initiative’.
			
		 	Intellectual Property Rights	  	 all intellectual property rights, including:
  

(a)    copyright, patents, trademarks (including goodwill in those marks), designs, trade secrets,
know how, rights in circuit layouts, domain names and any right to have confidential information kept confidential;
  

(b)    any application or right to apply for registration of any of the rights referred to in
paragraph (a); and
  

(c)    all rights of a similar nature to any of the rights in paragraphs (a) and (b) which
may subsist in Australia or elsewhere,
  
 whether or not such rights are registered or
capable of being registered.

			
		 	Law	  	any applicable statute, regulation, by-law, ordinance or subordinate legislation in force from time to time in Australia, whether made by a State, Territory, the Commonwealth, or a local
government, and includes the common law and rules of equity as applicable from time to time.
			
		 	Material	  	includes property, information, software, firmware, documented methodology or process, documentation or other material in whatever form, including any reports, specifications, business rules or requirements, user manuals, user
guides, operations manuals, training materials and instructions, and the subject matter of any category of Intellectual Property Rights.
			
		 	Milestone	  	a stage of completion of the Project as set out in Schedule 2.
			
		 	Moral Rights	  	the right of integrity of authorship (that is, not to have a work subjected to derogatory treatment), the right of attribution of authorship of a work, and the right not to have authorship of a work falsely attributed, as defined in
the Copyright Act 1968 (Cth).
			
		 	Notice	  	a notice, demand, consent, approval or communication issued under this Agreement.

  
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	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 7	 

					
		 	Outcomes	  	the outcomes of the Project, as set out in Schedule 2.
			
		 	Outputs	  	the end products of a Project, which may include products, publications, patents, prototypes and student completions.
			
		 	Participants	  	the Recipient and Project Partners collectively, being those persons, or bodies who have agreed to support the Project and provide Participant Contributions to the Project, and are signatories to the Participants
Agreement.
			
		 	Participants Agreement	  	the agreement(s) entered into by the Participants for the purposes of carrying out the Project.
			
		 	Participant Contributions	  	the cash, personnel, facilities and services to be provided by Participants to the CRC-P, from their own resources, for the purposes of undertaking the Project as specified in
Schedule 4.
			
		 	Personnel	  	in relation to a party, any employee, officer, agent, or professional adviser of that party, and in the case of the Recipient, of any subcontractor.
			
		 	Pre-existing Material	  	Material owned by a party before execution of this Agreement, including any Material specified in item 15 of Schedule 1.
			
		 	Privacy Act	  	Privacy Act 1988 (Cth) as amended from time to time.
			
		 	Programme	  	the programme referred to in item 6 of Schedule 1.
			
		 	Project	  	the project set out in Schedule 2.
			
		 	Project Partners	  	all the Participants, other than the Recipient.
			
		 	Quarter	  	a period of 3 months or, where the context necessitates part or multiples of that period, ending on 31 March, 30 June, 30 September or 31 December.
			
		 	R&D Tax Incentive	  	is established by Division 355 of the Income Tax Assessment Act 1997 with functions relating to its administration included in the Industry Research and Development Act 1986 (Cth).
			
		 	Recipient	  	the party specified in item 2 of Schedule 1. Also known as the Lead Participant.
			
		 	Recipient Representative	  	the person identified in item 4 of Schedule 1.
			
		 	Reports	  	the reports to be provided under clause 11.2.
			
		 	Research Organisation	  	all higher education providers listed at Table A and Table B of the Higher Education Support Act 2003, as amended from time to time, as well as Federal, State and Territory government departments or agencies which undertake
publicly funded research. This includes, but is not limited to the Commonwealth Scientific and Industrial Research Organisation, Defence Science and Technology Organisation, Australian Institute of Marine Science and Australian Nuclear Science and
Technology Organisation.
			
		 	Resolution Institute	  	the dispute resolution association with that name and the Australian Business Number 69 008 651 232.

  
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	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 8	 

					
		 	Schedules	  	the schedules to this Agreement.
			
		 	Shortfall	  	any deficit in the total contributions received by the Recipient during a Financial Year and the contributions which should have been received by the Recipient during that Financial Year as specified in Schedule 4.
			
		 	SME	  	a small to medium sized business with fewer than 200 employees.
			
		 	Specified Personnel	  	the Personnel (if any) specified in item 13 of Schedule 1.
			
		 	Third Party Material	  	 Material owned by a third party that is:
  

(a)    included, embodied in or attached to the Agreement Material; or

 
 (b)    used in undertaking
the Project.

			
		 	Utilisation	  	technology transfer and take-up and use of research Outputs. Commercial utilisation includes the manufacture, sale, hire or other exploitation of a product or process, or the provision of a
service, incorporating Agreement Material, or licensing of any third party to do any of those things, or otherwise licensing or assigning Agreement Material.
			
		 	WHS Act	  	the Work Health and Safety Act 2011 (Cth) and any corresponding WHS law as defined in that Act.
			
		 	WHS Laws	  	the WHS Act, regulations made under the WHS Act and any Code of Practice approved for the purpose of the WHS Act.

  

	1.2	Interpretation 

 In this Agreement, except where the contrary intention is expressed:

  

	 	(a)	the singular includes the plural and vice versa, and a gender includes other genders; 

  

	 	(b)	another grammatical form of a defined word or expression has a corresponding meaning; 

  

	 	(c)	a reference to a clause, paragraph or schedule is to a clause or paragraph of, or schedule to, this Agreement; 

  

	 	(d)	a reference to a document or instrument includes the document or instrument as novated, altered, supplemented or replaced from time to time; 

 

	 	(e)	a reference to A$, $A, dollar or $ is to Australian currency; 

  

	 	(f)	a reference to time is to Canberra, Australia time; 

  

	 	(g)	a reference to a party is to a party to this Agreement, and a reference to a party to a document includes the party’s executors, administrators, successors and permitted assignees and substitutes;

  

	 	(h)	a reference to a person includes a natural person, partnership, body corporate, association, governmental or local authority or agency or other entity; 

 

	 	(i)	a reference to a statute, ordinance, code or other law includes regulations and other instruments under it and consolidations, amendments, re-enactments or replacements of any of
them; 

  
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	 	(j)	the meaning of general words is not limited by specific examples introduced by including, for example or similar expressions; 

  

	 	(k)	any agreement, representation, warranty or indemnity by two or more parties (including where two or more persons are included in the same defined term) binds them jointly and severally; 

 

	 	(l)	any agreement, representation, warranty or indemnity in favour of two or more parties (including where two or more persons are included in the same defined term) is for the benefit of them jointly and severally;

  

	 	(m)	a rule of construction does not apply to the disadvantage of a party because the party was responsible for the preparation of this Agreement or any part of it; 

 

	 	(n)	if a day on or by which an obligation must be performed or an event must occur is not a Business Day, the obligation must be performed or the event must occur on or by the next Business Day; 

 

	 	(o)	headings are for ease of reference only and do not affect interpretation. 

  

	1.3	Completion of Schedules 

 To the extent that the parties have not completed items in a
Schedule, unless otherwise stated in the Schedule, those items will be taken to be ‘not applicable’ for the purpose of this Agreement. 
  

	2.	Priority of documents 

 If there is inconsistency between any of the documents forming part of
this Agreement, those documents will be interpreted in the following order of priority to the extent of any inconsistency: 
  

	 	(a)	Agreed Terms; 

  

	 	(b)	Schedules; 

  

	 	(c)	any attachments to the Schedules; 

  

	 	(d)	Guidelines; and 

  

	 	(e)	documents incorporated by reference in this Agreement. 

  

	3.	Duration of Agreement 

 This Agreement begins on the Commencement Date and continues until the
End Date or the date on which the Recipient has completed all reporting obligations to the Commonwealth, whichever is the later, unless terminated earlier in accordance with clause 27. 

 

	4.	Project 

  

	4.1	Undertaking the Project 

 The Recipient, in collaboration with the Project Partners,
must: 
  

	 	(a)	undertake the Project to achieve the Outcomes; 

  

	 	(i)	undertake the Project diligently, effectively, to a high professional standard and in accordance with: 

  

	 	(ii)	all applicable Laws; 

  

	 	(iii)	any guidelines specified in item 9 of Schedule 1; and 

  
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	 	(iv)	any Commonwealth policies and specific requirements set out in item 10 of Schedule 1; 

  

	 	(b)	complete the Project within the Agreement Period; and 

  

	 	(c)	meet the due dates for the Milestones, as specified in Schedule 2. 

  

	4.2	Acknowledgement of support 

 The Recipient must, and must ensure that all Project
Partners, in all: 
  

	 	(a)	publications (including reprints, and despite whether published by the Recipient or other persons) that are a result of the Project; 

 

	 	(b)	products, processes or inventions produced as a direct result of the Project activities; and 

  

	 	(c)	promotional and advertising materials, public announcements, events and activities in relation to the Project; 

acknowledge the financial and other support received from the Commonwealth: 

 

	 	(d)	through reference to the Programme; 

  

	 	(e)	in relation to 4.2 (c), through prominent display of the CRC Indicia; and 

  

	 	(f)	by reference to any acknowledgement specified in item 11 of Schedule 1 or as otherwise approved by the Commonwealth prior to its use. 

 

	4.3	Warranties 

 The Recipient represents and warrants that: 

 

	 	(a)	it has the right to enter into this Agreement; 

  

	 	(b)	it and its subcontractors and Personnel, including its Specified Personnel, have the necessary experience, skill, knowledge, expertise and competence to undertake the Project and (where appropriate) will hold such
licences, permits or registrations as are required under any State, Territory or Commonwealth legislation to undertake the Project, and are fit and proper people; 

 

	 	(i)	if the Recipient is a trustee, it enters this Agreement personally and in its capacity as trustee and has the power to perform its obligations under this Agreement. 

 

	 	(c)	if relevant and applicable, it is compliant with the Workplace Gender Equality Act 2012 (Cth) (WGE Act) and that: 

  

	 	(i)	if it becomes non-compliant with the WGE Act during the Agreement Period, the Recipient must notify the Commonwealth as soon as practicable; 

 

	 	(ii)	if the Agreement Period exceeds 18 months, the Recipient must provide a current letter of compliance under the WGE Act within 18 months from the Commencement Date and following this, annually to the Commonwealth; and

  

	 	(iii)	compliance with the WGE Act does not relieve the Recipient from its responsibility to comply with its other obligations under this Agreement. 

 

	5.	Participant obligations 

  

	5.1	Participants Agreement 

 All Participants must enter into a Participants Agreement to
undertake the Project. For the entire term of this Agreement, the Participants Agreement will require the Participants to: 
  

	 	(a)	undertake the Project at the times and in the manner specified in the Schedules to this Agreement; 

  
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	 	(b)	make the Participant Contributions to the Recipient which are specified in Schedule 4 of this Agreement; 

  

	 	(c)	cooperate with and provide to the Recipient any information about the Participant Contributions and other activities reasonably required by the Recipient; 

 

	 	(d)	be bound to equivalent terms and conditions to those of this Agreement, except where due to the context it is not relevant to do so; and 

 

	 	(e)	where terms of this Agreement are expressed to survive termination or expiry of this Agreement, the equivalent terms used in the Participants Agreement will also be expressed to survive termination or expiry of the
Participants Agreement. 

  

	5.2	In the event the Recipient is unable to meet obligations 

 The Recipient must notify the
Commonwealth immediately upon becoming aware of any circumstances that are likely to adversely affect the Recipient’s ability to comply with the terms of this Agreement, in particular its solvency or ability to ensure that the Project is
carried out in accordance with this Agreement. The giving of Notice by the Recipient pursuant to this clause 5.2, will not, in any way, limit the obligations of the Recipient under this Agreement or excuse the Recipient in any way from the
performance of those obligations. 
  

	5.3	Participants Agreement to be consistent with obligations under this Agreement 

 The
Recipient must: 
  

	 	(a)	ensure the Participants Agreement and any other contractual arrangements allow the Recipient to meet its obligations under this Agreement, and ensure the Participants Agreement requires the Project Partners to comply
with obligations consistent with those contained in: 

  

	 	(i)	Clause 5.4 (Breach of the Participants Agreement); 

  

	 	(ii)	Clause 15.3 (Intellectual Property Rights in Agreement Material); 

  

	 	(iii)	Clause 18 (Insurance); 

  

	 	(iv)	Clause 20 (Confidentiality); 

  

	 	(v)	Clause 21 (Work health and safety); 

  

	 	(vi)	Clause 22 (Protection of personal information); 

  

	 	(vii)	Clause 23 (Conflict of interest); 

  

	 	(viii)	Clause 24 (Books and records); 

  

	 	(ix)	Clause 25 (Audit and access); 

  

	 	(x)	Clause 28 (Survival); 

  

	 	(xi)	Clause 30.14 (Relationship); 

  

	 	(xii)	Clause 30.16 (False or misleading information); 

  

	 	(xiii)	Clause 30.17 (Safe and ethical research); and 

  

	 	(xiv)	Clause 30.18 (Responsible conduct of research). 

  
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	 	(b)	make reasonable endeavours to enforce any rights the Commonwealth may have in the Participants Agreement, including but not limited to those rights arising as a result of clause 5.3(a), where directed to do so by the
Commonwealth; 

  

	 	(c)	ensure no variation or alteration is made to any arrangement described in clause 5.3(a) that is, or may be, inconsistent with this Agreement without the prior written consent of the Commonwealth; and 

 

	 	(d)	provide the Commonwealth with a copy of any proposed alteration or variation described under clause 5.3(c) within 10 Business Days of completion of the change. 

 

	5.4	Breach of the Participants Agreement 

 The Recipient must, within 5 Business Days of
becoming aware of a breach or suspected breach of the Participants Agreement that would affect the Recipient’s ability to comply with its obligations under this Agreement: 

 

	 	(a)	provide Notice to the Commonwealth of that breach or suspected breach; 

  

	 	(b)	provide all information reasonably required by the Commonwealth in relation to the breach or suspected breach; 

  

	 	(c)	identify to the Commonwealth the steps the Recipient intends to take to remedy the matter; 

  

	 	(d)	keep the Commonwealth informed of any action it takes to remedy the breach; and 

  

	 	(e)	provide Notice to the Commonwealth once the breach is remedied. 

  

	5.5	Project Partners 

 The Recipient must ensure that all Project Partners are listed in item
5 of Schedule 1 and must ensure that at all times it has among the Participants, and approved by the Commonwealth, at least: 
  

	 	(a)	Two Australian Industry Entities (including at least one SME); and 

  

	 	(b)	One Australian Research Organisation. 

  

	5.6	Change of Project Partners 

 Subject to clauses 5.5 and 5.7 and any further obligations
under this Agreement, the Recipient may substitute or change Project Partners during the Agreement Period, with the Commonwealth’s prior written approval. 
  

	5.7	Notification of change of Project Partners 

 Payment of Commonwealth Funds is dependent
on the ongoing support of the Project by Project Partners. The Recipient must notify the Commonwealth 30 days prior to any proposed substitution or change of a Project Partner. This Notice must include: 

 

	 	(a)	the details of the exiting Project Partner and their reason for leaving, and details of any incoming Project Partner and a breakdown comparison of their contributions to enable side by side comparison of component
parts; 

  

	 	(b)	the amount of any Shortfall for that Financial Year, or any future Financial Years that is anticipated to arise from the substitution or change in Project Partner, and any steps the Recipient proposes to take to resolve
or otherwise deal with the Shortfall; 

  

	 	(c)	an assessment as to the degree to which the viability or capacity to undertake the Project and achieve the Milestones is likely to be affected. 

  
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 If after receiving a Notice under this clause 5.7, the Commonwealth is reasonably satisfied that
the proposed substitution or change of a Project Partner is likely to impact on the Recipient’s capacity to undertake the Project or achieve the Milestones, the Commonwealth, at its sole discretion and on 10 Business Days’ Notice to
the Recipient, may without limiting any of its other rights under this Agreement, reduce or suspend payment of the Funds until the Commonwealth is satisfied that a suitable substitute or replacement Project Partner is proposed. 

 

	5.8	Other government funding 

  

	 	(a)	The Recipient must give the Commonwealth full details of any financial assistance for activities in connection with the Project which a Participant receives from another Commonwealth, State or Territory government
source or agency after the Commencement Date of this Agreement, (Other Financial Assistance) including the amount and source of the funding and the name of the programme under which it was provided, within 30 days of the Participant receiving
notice that the Other Financial Assistance has been approved. 

  

	 	(b)	The Commonwealth may reduce, suspend or defer its payments as set out in Schedule 4 in the event a Participant receives Other Financial Assistance, but only to the extent that this financial assistance duplicates
Commonwealth Funds. 

  

	6.	Participant Contributions 

  

	6.1	Participant Contributions 

 The Participants must provide the Participant Contributions
to the Project as specified in Schedule 4. 
  

	6.2	Shortfall in Participant Contributions 

 The Recipient must notify the Commonwealth, as
part of each Report provided to the Commonwealth under clause 11.2, of any Shortfall in the Participant Contributions, as specified in Schedule 4, for the corresponding period. The notification of any Shortfall in a Report must include the
following: 
  

	 	(a)	the amount and value of the Shortfall; 

  

	 	(b)	the reasons for the Shortfall; 

  

	 	(c)	any remedial action proposed or undertaken; and 

  

	 	(d)	any impact the Shortfall is expected to have on the current or future capacity of the Recipient to undertake the Project and/or meet its obligations under this Agreement. 

 

	 	(e)	The Commonwealth will not require notification under this clause 6.2 or issue a Notice under clause 6.3, unless the Shortfall is equal to, or exceeds 10% of the: 

 

	 	(i)	cash contributions specified in Schedule 4; or 

  

	 	(ii)	value of the non-staff in-kind contributions specified in Schedule 4; or 

 

	 	(iii)	staff in-kind (FTE) contributions, specified in Schedule 4; 

for that reporting period. 
  

	6.3	Recipient to make good any Shortfall in Participant Contributions 

  

	 	(a)	Where the Recipient is required to provide notification of a Shortfall under clause 6.2 the Commonwealth may, by Notice, require the Recipient to make good the Shortfall and/or take other remedial action and to report
on any matters specified in the Notice within the period specified in the Notice (or if not specified within 10 Business Days). The Recipient must comply with any such Notice issued by the Commonwealth within the time period specified.

  
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	 	(b)	If the Recipient is unable to obtain Participant Contributions to make good the Shortfall and/or does not take other remedial action as specified in the Notice to the Commonwealth’s satisfaction within the period
specified in the Notice, or does not report on any matters specified in the Notice, the Commonwealth may in its absolute discretion, and without limiting any of its other rights under this Agreement or at law, reduce the total amount of Funds by all
or a part of the value of the Shortfall. 

  

	 	(c)	Nothing in clause 6.3 affects the Commonwealth’s rights under clause 27 [Reduction, Suspension and Termination]. 

  

	6.4	Calculation of Shortfall 

 When calculating the total amount of a Shortfall under
clause 6, the value of any staff in-kind contributions which were not provided by a Participant, and which therefore contributed to the Shortfall, will be calculated based on the FTE value specified in
Schedule 4. 
  

	7.	Funds 

  

	7.1	Payment 

 Subject to: 

 

	 	(a)	clauses 8.4, 27.1 and 27.2; 

  

	 	(b)	sufficient funding being available for the Programme; and 

  

	 	(c)	the Recipient complying with this Agreement, 

 the Commonwealth will pay the Funds to the
Recipient as set out in Schedule 4. 
  

	7.2	Due date for payment 

 The Commonwealth must make quarterly payments within 30 days of
the Commonwealth’s acceptance and approval of satisfactory, relevant Reports, as per Schedule 4. 
  

	7.3	Taxes 

 The Recipient must pay all: 

 

	 	(a)	stamp duty (including penalties and interest) assessed or payable in respect of this Agreement and the Project; and 

  

	 	(b)	subject to clause 8, all taxes, duties and government charges imposed or levied in Australia or overseas in connection with the performance of this Agreement. 

 

	8.	GST and R&D Tax Incentive 

  

	8.1	Construction 

 In this clause 8 words and expressions which are not defined in this
Agreement but which have a defined meaning in the GST Law have the same meaning as in the GST Law. 
  

	8.2	Consideration GST exclusive 

 Unless otherwise expressly stated, all prices or other sums
payable or consideration to be provided under this Agreement are exclusive of GST. 

  
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	8.3	Payment of GST 

 If GST is payable by a supplier on any supply made under this Agreement,
the recipient of the supply will pay to the supplier an amount equal to the GST payable on the supply, in addition to and at the same time that the consideration for the supply is to be provided under this Agreement. 

 

	8.4	Recipient Created Tax Invoice 

  

	 	(a)	The Recipient agrees to allow the Commonwealth to issue it with a Recipient Created Tax Invoice (RCTI) for any taxable supplies it makes in relation to the Project. 

 

	 	(b)	The Recipient agrees not to issue tax invoices in respect of any taxable supplies. 

  

	 	(c)	The parties acknowledge that they are registered for GST and will notify the other party if they cease to be registered for GST. 

  

	8.5	R&D Tax Incentive 

 To assist certain Participants claim the R&D Tax Incentive,
the Recipient must expend (or allocate) contributions from Participants on (or to) R&D activities, as defined under subdivision 355B section 355-20 of the Income Tax Assessment Act 1997 and maintain
records of the date when such expenditure on which R&D activities occurred. 
  

	9.	Use of Funds 

  

	9.1	What Funds can be used for 

  

	 	(a)	The Recipient must spend the Funds only for the purposes of undertaking the Project. 

  

	 	(b)	The Recipient must spend the Funds and the Participant Contributions only in accordance with the Budget. 

  

	 	(c)	Subject to clause 9.1(d), the Recipient may vary the Budget by re-allocating expenditure between heads of expenditure specified in the Budget. 

 

	 	(d)	Any variation under clause 9.1(c) which increases or decreases the amount allocated to a head of expenditure by more than 10% cannot be made without the Commonwealth’s prior written approval. 

 

	9.2	What Funds cannot be used for 

 The Recipient must not spend the Funds: 

 

	 	(a)	for capital works or for the purchase or construction of facilities such as buildings or laboratories; 

  

	 	(b)	for renovation or extension of buildings and facilities unless approved by the Commonwealth in writing; 

  

	 	(c)	for any activities for which the Participants have previously been funded, or are currently being funded by the Australian Government or a State or Territory government either directly or indirectly through any other
funding scheme; 

  

	 	(d)	to reimburse a Participant for the costs associated with existing staff or other resources committed by the Participant to the Project as in-kind contributions under this
Agreement; 

  

	 	(e)	to pay a Participant for the indirect support costs of research in relation to cash-funded Project staff located in their organisation; or 

 

	 	(f)	for the indirect support costs of research conducted overseas. 

  
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	9.3	When Funds cannot be used 

  

	 	(a)	Without limiting any other right or remedy of the Commonwealth, the Commonwealth may by Notice direct the Recipient not to spend Funds if: 

 

	 	(i)	the Recipient has not completed a Report that was due before the date of notification; 

  

	 	(ii)	the Recipient has not achieved a Milestone that was due to be achieved before the date of notification; or 

  

	 	(iii)	the Recipient is otherwise in breach of this Agreement. 

  

	 	(b)	The Recipient must not spend any Funds after it receives Notice from the Commonwealth under clause 9.3(a) unless and until the Commonwealth notifies the Recipient otherwise. 

 

	9.4	Bank account 

 The Recipient must ensure that: 

 

	 	(a)	proper accounting standards and controls are exercised in respect of the Funds and the Participant Contributions; 

  

	 	(b)	all Funds are held in an account (the Account) with an authorised deposit-taking institution authorised under the Banking Act 1959 (Cth) to carry on banking business in Australia; 

 

	 	(c)	the Account is held in the name of the Recipient, which the Recipient solely controls and which is separate from the Recipient’s other operational accounts, for the purpose of accounting for, and administering any
Funds paid to the Recipient; 

  

	 	(d)	identify the receipt and expenditure of the Funds separately within the Recipient’s accounting records so that at all times the Funds are identifiable and ascertainable; 

 

	 	(e)	the Account bears a rate of interest reasonably required by the Commonwealth and that any interest on the balance is credited to the Account; 

 

	 	(f)	the Commonwealth is notified, prior to the receipt of any Funds, of details sufficient to identify the account, and on notification from the Commonwealth, provide the Commonwealth and the authorised deposit-taking
institution with an authority for the Commonwealth to obtain any details relating to the use of the account; 

  

	 	(g)	any money forming part of the Funds or Participant Contributions is deposited in the Account; and 

  

	 	(h)	if the Account changes, that it complies with 9.4(c) and (d) above and notify the Commonwealth within 7 days of any changes to the Account, providing details of the new account. 

 

	9.5	No additional Funds 

 The Commonwealth is not responsible for the provision of additional
money to meet any expenditure in excess of the Funds. 
  

	10.	Repayment 

  

	10.1	During the Agreement Period 

 The Commonwealth is entitled to recover from the Recipient
any amount of money which, at any time, in the Commonwealth’s opinion, has been spent other than in accordance with this Agreement. 

  
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	10.2	At the end of the Agreement Period 

 After the End Date, the Commonwealth is entitled to
recover from the Recipient: 
  

	 	(a)	any Funds which have not been spent, or legally committed for expenditure by the Recipient in accordance with this Agreement and payable by the Recipient as a current liability (written evidence of which will be
required); and 

  

	 	(b)	the amount of any Funds which, in the Commonwealth’s opinion, have been spent other than in accordance with this Agreement. 

  

	10.3	Repayment Notice 

  

	 	(a)	The Commonwealth may give the Recipient a Notice requiring the Recipient to repay to the Commonwealth (or deal with as specified by the Commonwealth) an amount which the Commonwealth is entitled to recover under clause
10.1 or 10.2. 

  

	 	(b)	If the Commonwealth gives a Notice under clause 10.3(a), the Recipient must repay the amount specified in the Notice in full (or deal with it as specified by the Commonwealth) within 30 days of the date of the Notice.

  

	11.	Monitoring progress 

  

	11.1	Progress meetings 

 The parties will meet at the times and in the manner reasonably
required by the Commonwealth to discuss any issues in relation to this Agreement or the Project. The Recipient must ensure that the Recipient Representative, and the Commonwealth must ensure the Commonwealth Representative, are reasonably available
to attend such meetings and answer any queries relating to the Project raised by either party. 
  

	11.2	Reporting 

 The Recipient must provide the Commonwealth with Reports in accordance with
Schedule 3. 
  

	11.3	Contents of Reports 

 The Recipient must comply with any direction the Commonwealth may
issue in writing to the Recipient in respect of a Report the Recipient is required to provide under clause 11.2 specifying: 
  

	 	(a)	a format for the Report (or for part of the Report); and 

  

	 	(b)	information the Recipient is to include in the Report (or part of the Report); and 

  

	 	(c)	the person or persons who are to certify that information contained in a Report (or part of a report) is accurate. 

For the purposes of clause 11.3, the Commonwealth will be taken to have issued a direction in writing concerning a matter referred to in
clause 11.3 if it includes that information in a Guideline or any similar document and that document is available to the Recipient. 
  

	12.	Performance 

  

	12.1	Reviews of the CRC Project 

  

	 	(a)	Ad hoc reviews may be undertaken or required by the Commonwealth from time to time, including but not limited to cases where substantial changes to the Project are proposed, or Milestones are not being met.

  

	 	(b)	The Commonwealth will bear the cost of any review under clause 12.1, subject to the Recipient meeting its own costs in accordance with the Guidelines. 

  
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	 	(c)	The Commonwealth may, by Notice, require the Recipient to take actions in relation to the outcomes or recommendations of any review under clause 12.1, or recommendations of the CRC Advisory Committee, in accordance
with: 

  

	 	(i)	the timeframe (if any) specified in the Notice; 

  

	 	(ii)	any requirements in the Guidelines; or 

  

	 	(iii)	any reasonable directions of the Commonwealth. 

  

	12.2	Evaluation 

 Without limiting any of its obligations under this Agreement the Recipient
must assist the Commonwealth with and participate in, within the timeframe and in the manner required by the Commonwealth in accordance with the Guidelines , any: 
  

	 	(a)	evaluation of the: 

  

	 	(i)	performance of the CRC Project; 

  

	 	(ii)	conduct of the Project; 

  

	 	(iii)	Recipient’s compliance with this Agreement; 

  

	 	(b)	surveys, questionnaires and other evaluation procedures related to the performance of the Recipient, the CRC-P or the Programme; and 

 

	 	(c)	preparation of reports reasonably required under this clause 12.2. 

  

	12.3	Cooperation 

 In relation to any review or evaluation under clause 12, the Recipient
must: 
  

	 	(a)	provide all reasonable assistance to; 

  

	 	(b)	respond to all reasonable requests of; and 

  

	 	(c)	provide any information reasonably required by; 

 the Commonwealth or its authorised
representative. 
  

	12.4	Commonwealth rights 

  

	 	(a)	If the Recipient does not: 

  

	 	(i)	meet any of the obligations under clause 12; 

  

	 	(ii)	comply with a Notice given under clause 12.1(c) within the specified timeframe; or 

  

	 	(iii)	comply with the Guidelines in relation to a review or evaluation under clause 12; 

 to the
satisfaction of the Commonwealth, the Commonwealth may at its sole discretion, without limiting any of its other rights under this Agreement or at law, exercise its right to reduce or suspend payment of the Funds, or terminate the Agreement, under
clause 27. 
  

	 	(b)	Without limiting any of the Commonwealth’s rights arising elsewhere under this Agreement, if the Commonwealth determines, in its sole discretion, whether pursuant to a review or evaluation under clause 12 or
otherwise, that the Recipient is not performing satisfactorily under this Agreement, the Commonwealth may by Notice take any action it considers appropriate, including but not limited to: 

 

	 	(i)	requiring the Recipient to undergo further reviews; 

  
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	 	(ii)	requiring the Recipient to comply with additional reporting and/or monitoring requirements; or 

  

	 	(iii)	reducing or suspending payment of the Funds, or terminating the Agreement, under clause 27. 

  
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 Part 2 – General requirements 
  

	13.	Subcontractors and Personnel 

  

	13.1	Subcontracting 

  

	 	(a)	The Recipient must: 

  

	 	(i)	not subcontract the performance of any of its obligations under this Agreement other than to those entities set out in item 12 of Schedule 1 without the prior written approval of the Commonwealth, which will not be
unreasonably withheld; 

  

	 	(ii)	not, in any event, enter into a subcontract under this Agreement with a subcontractor named by the Director of the Workplace Gender Equality Agency in a report to the responsible Minister as an employer currently not
complying with the reporting requirements of the WGE Act; and 

  

	 	(iii)	ensure that any subcontractor approved under this Agreement is contractually required to comply with obligations consistent with those contained in: 

 

	 	(A)	Clause 18 (Insurance); 

  

	 	(B)	Clause 20 (Confidentiality); 

  

	 	(C)	Clause 21 (Work health and safety); 

  

	 	(D)	Clause 22 (Protection of personal information); 

  

	 	(E)	Clause 23 (Conflict of interest); 

  

	 	(F)	Clause 24 (Books and records); 

  

	 	(G)	Clause 25 (Audit and access); 

  

	 	(H)	Clause 28 (Survival); 

  

	 	(I)	Clause 30.16 (False or misleading information); 

  

	 	(J)	Clause 30.17 (Safe and ethical research); and 

  

	 	(K)	Clause 30.18 (Responsible conduct of research). 

  

	 	(b)	When granting written approval under clause 13.1(a)(i), and without limiting considerations the Commonwealth may have regard to, the Commonwealth will have regard to whether the proposed subcontractor is a related body
corporate. 

  

	 	(c)	The Recipient is fully responsible for undertaking the Project even if the Recipient subcontracts any aspect of the Project and for the performance of all of the Recipient’s obligations under this Agreement.

  

	13.2	Use of Specified Personnel 

 The Recipient must: 

 

	 	(a)	undertake the Project or any part of the Project to which their particular expertise relates, with the active involvement of, and using the expertise of, the Specified Personnel or any persons who are appointed to
replace them in accordance with clause 13.3(b); and 

  

	 	(b)	ensure that each of the Specified Personnel is aware of and complies with the Recipient’s obligations in undertaking the Project. 

  
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	13.3	If the Specified Personnel are not available 

 Where one or more of the Specified
Personnel is or will become unable or unwilling to be involved in the Project, the Recipient must: 
  

	 	a)	notify the Commonwealth in writing immediately of any change to the Specified Personnel; and 

  

	 	b)	when replacing Specified Personnel, ensure that any such replacement personnel directly involved in the Project has the time commitment, qualifications and competency to undertake the Project to the standard required by
the Agreement and have similar or better suited expertise and ability to those of the Specified Personnel they are replacing. 

  

	13.4	Commonwealth may request replacement of Personnel 

 The Commonwealth may at any time request the
Recipient to remove from work in respect of this Agremeent any of the Specified Personnel or any of the Recipient’s subcontractors or Personnel. The Recipient must promptly arrange for the removal of such subcontractors or Personnel, and
arrange for a replacement in accordance with the requirements under clause 13.3 (b). 
  

	14.	Assets 

  

	14.1	Ownership 

 Subject to the terms of any lease or other arrangement, the Recipient owns
any Asset. 
  

	14.2	Use and dealings 

  

	 	(a)	During the Agreement Period, the Recipient must use any Asset only for the purposes of the Project, or other purposes consistent with the Outcomes. 

 

	 	(b)	During the Agreement Period, the Recipient must: 

  

	 	(i)	not encumber, dispose or deal with any Asset valued at $50,000 (excluding GST) or above other than in accordance with this clause 14, without the Commonwealth’s prior approval; 

 

	 	(ii)	hold all Assets securely and safeguard them against theft, loss, damage, or unauthorised use and ensure they are adequately insured as described in clause 18; 

 

	 	(iii)	maintain all Assets in good working order; and 

  

	 	(iv)	be fully responsible for, and bear all risks relating to, the use or disposal of all Assets. 

  

	15.	Intellectual Property Rights 

  

	15.1	Pre-existing Material and Third Party Material 

This clause 15 does not affect the ownership of the Intellectual Property Rights in any Pre-existing
Material or Third Party Material. 
  

	15.2	Third Party Material 

  

	 	(a)	The Recipient must obtain all necessary copyright and other Intellectual Property Rights permissions before making any Third Party Material available for the purpose of this Agreement or the Project. 

 

	 	(b)	The Recipient must specify which parts (if any) of the Intellectual Property Rights are Third Party Material and who owns the Intellectual Property Rights in that material. 

  
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	15.3	Intellectual Property Rights in Agreement Material 

  

	 	(a)	The Intellectual Property Rights in the Agreement Material vest in the Recipient and/or the Project Partners on creation, as determined and agreed in the Participants Agreement. 

 

	 	(b)	To the extent that: 

  

	 	(i)	the Commonwealth needs to use any of the Agreement Material in connection with this Agreement or the Programme, or for any other legitimate carriage of its responsibilities, including but not limited to:

  

	 	(A)	the use of Reports provided by the Recipient to the Commonwealth; or 

  

	 	(B)	the exercise of its rights under clause 25; 

 the Recipient grants to, or must obtain for, the
Commonwealth a perpetual, world-wide, royalty free, non-exclusive licence (including the right to sublicense) to use, reproduce, adapt, modify and communicate that Material; or 

 

	 	(ii)	the Recipient needs to use any of the Commonwealth Material (excluding the CRC Indicia) for the purpose of performing its obligations under this Agreement, the Commonwealth grants to the Recipient, subject to any
conditions, directions or restrictions of the Commonwealth specified in item 14 of Schedule 1, a world-wide, royalty free, non-exclusive, non-transferable licence
(including the right to sublicence) to use, reproduce, adapt, modify and communicate the Commonwealth Material solely for the purpose of undertaking the Project, or 

 

	 	(iii)	the Recipient needs to use any of the CRC Indicia for the purposes of clause 4.2, the Commonwealth grants to the Recipient, subject to any conditions, directions or restrictions of the Commonwealth specified in item 14
of Schedule 1, a world-wide, royalty free, non-exclusive, non-transferable licence (including the right to sublicense, with the exception of the Recipient being
able to grant a sublicense to the Project Partners) to use, reproduce and communicate the CRC Indicia solely for the purposes of undertaking the Project. 

  

	 	(c)	The licence granted to the Commonwealth under clause 15.3(b)(i) does not include a right to exploit the Agreement Material, Pre-existing Material or Third Party Material for the
Commonwealth’s commercial purposes. 

  

	 	(d)	The Recipient must, or where the Agreement Material vests in the Project Partner must ensure that, at all times during the Agreement Period, the Recipient and/or Project Partner has in place and adheres to documented
procedures to ensure that, before any Agreement Material is published or disclosed to any person other than the Commonwealth or a Participant, consideration is given to the potential prejudice to the subsistence or Utilisation of the Agreement
Material, including the possibility that publication or disclosure might preclude the grant of a patent or cause the loss of Intellectual Property Rights. 

  

	 	(e)	The Recipient must, or where the Agreement Material vests in the Project Partner must ensure that, the Recipient and/or Project Partner uses its best endeavours to ensure Utilisation of Agreement Material (but not
including reports or other such material to be provided to the Commonwealth for the Commonwealth’s benefit) by the Participants. 

  

	 	(f)	The Recipient must, or where the Agreement Material vests in the Project Partner must ensure that, any Utilisation of Agreement Material, including by any third party, is consistent with any Milestones, the nature of
the Project and the objectives of the Programme, including the maximisation of benefits accruing to Australia. 

  
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	 	(g)	The Recipient must ensure that in order to maximise the benefits from research, after appropriate commercialisation and Utilisation decisions have been taken, consideration is given, where relevant, to dissemination of
the results from the Project. 

  

	 	(h)	If at any time, the Commonwealth is of the reasonable view that the Utilisation of the Agreement Material by the Recipient and/or Project Partner, including any third party, is not consistent with clause 15.3(f), the
Commonwealth may, by Notice at its sole and unfettered discretion: 

  

	 	(i)	require the Recipient to repay some or all of the Funds spent Utilising the Agreement Material; 

  

	 	(ii)	reduce or suspend payment of the Funds, or terminate the Agreement, under clause 27; or 

  

	 	(iii)	exercise any other right it may have under this Agreement. 

  

	15.4	Commonwealth Material 

 The Commonwealth will provide to the Recipient the Commonwealth Material and the
Recipient must ensure that the Commonwealth Material is used strictly in accordance with any conditions or restrictions specified in item 14 of Schedule 1 and any direction by the Commonwealth. 

 

	16.	Moral Rights 

  

	16.1	Obtaining consents 

 To the extent permitted by applicable Laws and for the benefit of
the Commonwealth, the Recipient must: 
  

	 	(a)	give, where the Recipient is an individual, in a form acceptable to the Commonwealth; 

  

	 	(b)	use its best endeavours to ensure that each of the Personnel used by the Recipient in the production or creation of the Agreement Material gives, in a form acceptable to the Commonwealth; and 

 

	 	(c)	use its best endeavours to ensure that any holder of Moral Rights in Third Party Material included in the Agreement Material gives, 

genuine consent in writing to the use of the Agreement Material for the Specified Acts, even if such use would otherwise be an infringement of
its or their Moral Rights and notify the Commonwealth if this consent is not obtained. 
  

	16.2	Specified Acts 

  

	 	(a)	In this clause 16, unless otherwise specified in item 17 of Schedule 1, Specified Acts means: 

  

	 	(i)	falsely attributing the authorship of any Agreement Material, or any content in the Agreement Material (including literary, dramatic, artistic works and cinematograph films within the meaning of the Copyright Act
1968 (Cth)); 

  

	 	(ii)	materially altering the style, format, colours, content or layout of the Agreement Material and dealing in any way with the altered Agreement Material; 

 

	 	(iii)	reproducing, communicating, adapting, publishing or exhibiting any Agreement Material; and 

  

	 	(iv)	adding any additional content or information to the Agreement Material. 

  
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	 	(b)	For the purposes of clause 16.2(a), Agreement Material includes any Pre-existing Material and Third Party Material to the extent that it is included in, forms part of or is
attached to the Agreement Material. 

  

	17.	Indemnity 

  

	 	(a)	The Recipient will at all times indemnify, hold harmless and defend the Commonwealth, its officers and employees including members of the CRC Advisory Committee and any independent experts used by the CRC Advisory
Committee (referred to in this clause 17 as “those indemnified”) from and against any loss or liability, including: 

  

	 	(i)	loss of, or damage to, property of the Commonwealth; 

  

	 	(ii)	claims by any person in respect of personal injury or death; 

  

	 	(iii)	claims by any person in respect of loss of, or damage to, any property; and 

  

	 	(iv)	costs and expenses including the costs of defending or settling any claim referred to in clause 17(a)(ii) or clause 17(a)(iii), 	 

 arising out of or as a consequence of: 

 

	 	(v)	use or disposal of Assets; 

  

	 	(vi)	an infringement, or an alleged infringement, of the Intellectual Property Rights of any person, which occurred by reason of an act done by the Commonwealth in relation to any part of the Project; 

 

	 	(vii)	any actual, likely or threatened breach of the Recipient’s, its Personnel’s or subcontractor’s obligations relating to Confidential Information or personal information; or 

 

	 	(viii)	without limiting the preceding paragraphs, any breach of this Agreement by the Recipient, or negligence on the part of the Recipient, its Personnel or subcontractors or wrongful or unlawful act or omission on the part
of the Recipient, its Personnel or subcontractors. 

  

	 	(b)	The Recipient’s liability to indemnify those indemnified under clause 17(a) will be reduced proportionally to the extent that any negligent act or omission of those indemnified contributed to the loss.

  

	18.	Insurance 

  

	18.1	Obligation to maintain insurance 

 Unless otherwise specified in item 18 of Schedule 1,
in connection with the Project, the Recipient must have and maintain: 
  

	 	(a)	Workers’ compensation insurance for an amount required by the relevant State or Territory legislation; 

  

	 	(b)	Public liability insurance for an adequate amount per claim, or occurrence giving rise to a claim, in respect of activities undertaken under this Agreement (where occurrence means either a single occurrence or a series
of occurrences if these are linked or occur in connection with one another from one original cause, as the case may be); 

  

	 	(c)	insurance over any Asset acquired pursuant to clause 14 of this Agreement for its full replacement value; and 

  

	 	(d)	any other insurance required by law or by the Commonwealth (acting reasonably). 

  
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	18.2	Certificates of currency 

 The Recipient must, on request by the Commonwealth, provide
current relevant confirmation of insurance documentation from its insurers or insurance brokers certifying that it has insurance as required by clause 18.1. 
  

	19.	Publicity 

 The Commonwealth reserves the right to publicise and report on the awarding of the
Funds, and may do this by, amongst other means, including the Participants’ names, the amount of Funds and the title and a brief description of the Project in media releases, general announcements about the Programme, annual reports, and in
order to fulfil its obligations under the Commonwealth Grants Rules and Guidelines. 
  

	20.	Confidentiality 

  

	20.1	Prohibition on disclosure 

  

	 	(a)	Subject to clause 20.4, the Recipient must not, without the prior written consent of the Commonwealth, disclose any Commonwealth’ Confidential Information to a third party, or use such Confidential Information
other than for the purpose of the Project. 

  

	 	(b)	Subject to clause 20.4, the Commonwealth must not, without the prior written consent of the Recipient, disclose any Recipient’ Confidential Information to a third party, or use such Confidential Information other
than for the purpose of the Project. 

  

	20.2	Conditions of approval 

 In giving written consent to use or disclose Commonwealth
Confidential Information, the Commonwealth may impose such conditions as it thinks fit. The Recipient must comply with any term or condition imposed by the Commonwealth under this clause 20.2. 

 

	20.3	Advisers and third parties 

 The Commonwealth may at any time require the Recipient to
arrange for: 
  

	 	(a)	its Advisers; 

  

	 	(b)	its Personnel, other employees and subcontractors or the Project Partners involved in the Project; or 

  

	 	(c)	any other third party, to whom Commonwealth Confidential Information may be disclosed pursuant to clause 20.4(a) or clause 20.4(b), 

to give a written undertaking relating to the use and non-disclosure of the Commonwealth’s
Confidential Information in the form approved by the Commonwealth. 
  

	20.4	Exceptions to obligations 

 The obligations on each party under clause 20.1 or 20.10 will
not be taken to have been breached to the extent that Confidential Information of the other party: 
  

	 	(a)	is disclosed by a party to its Advisers or employees solely in order to comply with obligations, or to exercise rights, under this Agreement; 

 

	 	(b)	is disclosed to a party’s internal management personnel, solely to enable effective management or auditing of activities related to this Agreement; 

 

	 	(c)	is disclosed by the Commonwealth to the responsible Minister; 

  

	 	(d)	is disclosed by the Commonwealth, in response to a request by a House or a Committee of the Parliament of the Commonwealth of Australia; 

  
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	 	(e)	is shared by the Commonwealth within the Department, or with another Commonwealth agency, where this serves the Commonwealth’s legitimate interests; 

 

	 	(f)	is disclosed by the Commonwealth to the Auditor-General, the Commonwealth Ombudsman or the Australian Information Commissioner; 

  

	 	(g)	is required by Law to be disclosed; 

  

	 	(h)	is shared by the Commonwealth to Innovation Australia or its delegates for the purposes of the administration of the R&D Tax Incentive; or 

 

	 	(i)	is in the public domain otherwise than due to a breach of this Agreement. 

  

	20.5	Obligation on disclosure 

 Where a party discloses Confidential Information of the other
party to another person: 
  

	 	(a)	pursuant to clauses 20.4(a), (b) or (e), the disclosing party must: 

  

	 	(i)	notify the receiving person that the information is Confidential Information; and 

  

	 	(ii)	not provide the information unless the receiving person agrees to keep the information confidential, including in the case of Commonwealth’ Confidential Information, the receiving person giving the Commonwealth a
legally binding undertaking to that effect in the form approved by the Commonwealth; or 

  

	 	(b)	pursuant to clauses 20.4(c), (d), (f) and (h), the disclosing party must notify the receiving party that the information is Confidential Information of the other party. 

 

	20.6	Additional confidential information 

  

	 	(a)	The parties may agree in writing after the date of this Agreement that certain additional information is to constitute Confidential Information for the purposes of this Agreement. 

 

	 	(b)	Where the parties agree in writing after the date of this Agreement that certain additional information is to constitute Confidential Information for the purposes of this Agreement, this documentation is incorporated
into, and becomes part of this Agreement, on the date by which both parties have signed this documentation. 

  

	20.7	Period of confidentiality 

 The obligations under this clause 20 continue,
notwithstanding the expiry or termination of this Agreement: 
  

	 	(a)	in relation to an item of information described in item 19 of Schedule 1, for the period set out in that Schedule in respect of that item; and 

 

	 	(b)	in relation to any information which the parties agree in writing after the date of this Agreement is to constitute Confidential Information for the purposes of this Agreement, for the period agreed by the parties in
writing in respect of that information. 

  

	20.8	No reduction in privacy obligations 

 Nothing in this Agreement derogates from any
obligation which either party may have under the Privacy Act 1988 (Cth) as amended from time to time, in relation to the protection of ‘personal information’ as defined in that Act or information that is protected by the Census
and Statistics Act 1905 (Cth), or any other Act, regulation or other legislative instrument requiring secrecy or confidentiality in dealing with information. 
  

	20.9	Return of information 

 At the Commonwealth’s request or on the expiry or
termination this Agreement, the Recipient must promptly return all of the Commonwealth’s physical and written records containing Commonwealth Confidential Information, and all documentation relating to that Commonwealth Confidential Information
(including copies), to the Commonwealth in a form reasonably requested by the Commonwealth. Alternatively, if requested by the Commonwealth, the Recipient must destroy such items in the manner specified by the Commonwealth and promptly certify to
the Commonwealth in writing that it has done so. 

  
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	20.10	Confidential Agreement Provisions 

 Notwithstanding any other provision of this
Agreement, the Commonwealth may disclose the provisions of this Agreement. However, any provisions of this Agreement that are Confidential Information may only be disclosed in accordance with the Senate Order on Departmental and Agency Agreements,
and where such disclosure of Confidential Information is required a statement of reasons for the confidentiality may be included with the disclosure. 
  

	21.	  Work health and safety 

  

	21.1	  General safety obligations 

   The Recipient must: 

 

	 	(a)	ensure that the Project is undertaken in a safe manner; 

  

	 	(b)	ensure that the Participants and their respective Personnel do not, by act or omission place the Commonwealth in breach of its obligations under the WHS Laws; and 

 

	 	(c)	ensure that the Recipient, the Project Partners and their respective Personnel, if using or accessing the Commonwealth’s premises or facilities, comply with all reasonable instructions, directions, policies and
procedures relating to work health and safety in operation at those premises or facilities whether specifically drawn to the attention of the Recipient or might reasonably be inferred from the circumstances. 

 

	22.	  Protection of personal information 

  

	22.1	  Definitions 

 In this clause 22, the terms ‘agency’,
‘Australian Privacy Principle’ (APPs), ‘APP privacy policy’, ‘Australian Privacy Principle Code’ (APP code) and ‘contracted service provider’ have the same meaning as they have in section 6 of
the Privacy Act, and ‘personal information’, which also has the meaning it has in section 6 of the Privacy Act, means: 

‘information or an opinion about an identified individual, or an individual who is reasonably identifiable whether the information or
opinion is true or not and whether the information or opinion is recorded in a material form or not’. 
  

	22.2	  Application of this clause 

 This clause 22 applies only where the
Recipient deals with personal information provided to the Recipient by the Commonwealth, for the purpose of, completing the Project under this Agreement. 
  

	22.3	  Obligations 

 The Recipient acknowledges that to the extent this clause 22
applies it is a ‘contracted service provider’ and agrees in respect of the Project under this Agreement to take all necessary measures to ensure that personal information in its possession or control in connection with this Agreement is
protected against loss and unauthorised access, use, disclosure or modification. 
  

	 	(a)	The Recipient must, on request from the Commonwealth, provide to the Commonwealth: 

  
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	 	(i)	a copy of the Recipient’s and any subcontractor’s APP privacy policy which is compliant with APP 1; 

  

	 	(ii)	copies of the Recipient’s and any subcontractor’s security and data protection policies upon request by the Commonwealth; or 

 

	 	(iii)	details of the Recipient’s and any subcontractor’s processes and procedures implemented to ensure compliance with the Privacy Act. 

 

	 	(b)	The Recipient agrees in respect of the Project under this Agreement: 

  

	 	(i)	to use or disclose personal information obtained by the Recipient from the Commonwealth during the course of the Project under this Agreement, only for the purposes of this Agreement; 

 

	 	(ii)	not to do any act or engage in any practice that would breach an APP contained in schedule 1of the Privacy Act, which if done or engaged in by an agency, would be a breach of that APP; 

 

	 	(iii)	to carry out and discharge the obligations contained in the APPs as if it were an agency under the Privacy Act; 

  

	 	(iv)	to notify individuals whose personal information the Recipient holds, that complaints about acts or practices of the Recipient may be investigated by the Privacy Commissioner who has power to award compensation against
the Recipient in appropriate circumstances; 

  

	 	(v)	not to use or disclose personal information or engage in an act or practice that would breach APP 7 (direct marketing) or a registered APP Code which is applicable to the Recipient, unless the use or disclosure is
necessary, directly or indirectly, to discharge an obligation of this Agreement; 

  

	 	(vi)	to follow any reasonable directions given by the Commonwealth to ensure compliance with the Privacy Act; 

  

	 	(vii)	to not transfer or transmit personal information outside of Australia except with the prior written approval of the Commonwealth, which will not be unreasonably withheld. In giving its approval the Commonwealth may
impose such conditions as it thinks fit. The Recipient must comply with any term or condition imposed by the Commonwealth under this clause 22.3(b)(vii); 

  

	 	(viii)	to disclose in writing to any person who asks, the content of the provisions of this Agreement (if any) that are inconsistent with an APP or a registered APP code which is binding on a party to this Agreement;

  

	 	(ix)	to immediately notify the Commonwealth if the Recipient becomes aware of a breach or possible breach of any of the obligations contained in, or referred to in, this clause 22, whether by the Recipient or any
subcontractor (including any complaints made about acts or practices of the Recipient in connection with personal information); 

  

	 	(x)	to notify the Commonwealth of any subpoena, warrant, order, demand or request made by a foreign court or other authority for the disclosure of personal information to which the Privacy Act applies and to not disclose
such information without the prior written approval of the Commonwealth, which will not be unreasonably withheld. In giving its approval the Commonwealth may impose such conditions as it thinks fit. The Recipient must comply with any term or
condition imposed by the Commonwealth under this clause 22.3(b)(x); 

  
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	 	(xi)	to comply with any directions, guidelines, determinations or recommendations of the Privacy Commissioner, notified to the Recipient by the Commonwealth to the extent that they are not inconsistent with the requirements
of this clause 22; and 

  

	 	(xii)	to ensure that any employee of the Recipient who is required to deal with personal information for the purposes of this Agreement is made aware of the obligations of the Recipient set out in this clause 22.

  

	22.4	Subcontracts 

 The Recipient must ensure that any subcontract entered into for the
purpose of fulfilling its obligations under this Agreement contains provisions to ensure that the subcontractor has the same awareness and obligations as the Recipient has under this clause 22, including the requirement in relation to
subcontracts. 
  

	22.5	Indemnity 

 The Recipient agrees to indemnify the Commonwealth in respect of any loss or
liability suffered or incurred by the Commonwealth which arises directly or indirectly from a breach of any of the obligations of the Agreement under this clause 22, or a subcontractor under the subcontract provisions referred to in clause 22,
or a subcontractor under the subcontract provisions referred to in clause 13.1. 
  

	23.	Conflict of interest 

  

	23.1	Warranty 

 The Recipient warrants that, to the best of its knowledge after making
diligent inquiry, at the date of signing this Agreement, no conflict of interest exists or is likely to arise in the performance of its obligations under this Agreement or the Participant’s Agreement. 

 

	23.2	Notification of a conflict of interest 

 If a conflict of interest arises, or appears
likely to arise, the Recipient must: 
  

	 	(a)	notify the Commonwealth immediately in writing; 

  

	 	(b)	make full disclosure of all relevant information relating to the conflict; and 

  

	 	(c)	take such steps as the Commonwealth requires to resolve or otherwise deal with the conflict. 

  

	24.	Books and records 

  

	24.1	Recipient to keep books and records 

 The Recipient must: 

 

	 	(a)	keep and require its subcontractors and the Project Partners to keep adequate books and records, in accordance with Accounting Standards, in sufficient detail to enable: 

 

	 	(i)	all receipts and payments related to the Project to be identified and reported in accordance with this Agreement; and 

  

	 	(ii)	the amounts payable by the Commonwealth under this Agreement to be determined; and 

  

	 	(b)	retain and require its subcontractors and the Project Partners to retain for a period of seven years after the expiry or termination of this Agreement, all books and records relating to the Project. 

  
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	24.2	Costs 

 The Recipient must bear its own costs of complying with this clause 24. 

 

	24.3	Survival 

 This clause 24 applies for the Agreement Period and for a period of seven
years from the expiry or termination of this Agreement. 
  

	25.	Audit and access 

  

	25.1	Right to conduct audits 

 For the duration of this Agreement and for a period of 7 years
following the expiry or termination of this Agreement, the Commonwealth or a representative may conduct audits relevant to the performance of the Recipient’s obligations under this Agreement. Audits may be conducted of: 

 

	 	(a)	the Assets; 

  

	 	(b)	the Recipient’s operational practices and procedures as they relate to this Agreement; 

  

	 	(c)	the accuracy of the Recipient’s Reports; 

  

	 	(d)	the Recipient’s compliance with its confidentiality and privacy obligations under this Agreement; 

  

	 	(e)	Material (including books and records) in the possession of the Recipient relevant to the Project or this Agreement; and 

  

	 	(f)	any other matters determined by the Commonwealth to be relevant to the Project or this Agreement. 

  

	25.2	Access by the Commonwealth 

  

	 	(a)	The Commonwealth may, at reasonable times and on giving reasonable notice to the Recipient,to the extent relevant to the performance of this Agreement: 

 

	 	(i)	access the premises of the Recipient; 

  

	 	(ii)	require the provision by the Recipient, its employees, agents or subcontractors or by the Project Partners, of records and information in a data format and storage medium accessible by the Commonwealth by use of the
Commonwealth’s existing computer hardware and software; 

  

	 	(iii)	inspect and copy documentation, books and records, however stored, in the custody or under the control of the Recipient, its employees, agents or subcontractors or by the Project Partners; and 

 

	 	(iv)	require assistance in respect of any inquiry into or concerning the Project or this Agreement. For these purposes an inquiry includes any administrative or statutory review, audit or inquiry (whether within or external
to the Department), any request for information directed to the Commonwealth, and any inquiry conducted by Parliament or any Parliamentary Committee. 

  

	 	(b)	The Recipient must provide access to its computer hardware and software to the extent necessary for the Commonwealth to exercise its rights under this clause 25, and provide the Commonwealth with any reasonable
assistance requested by the Commonwealth to use that hardware and software. 

  
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	25.3	Conduct of audit and access 

 The Commonwealth must use reasonable endeavours to ensure
that: 
  

	 	(a)	audits performed pursuant to clause 25.1; and 

  

	 	(b)	the exercise of the general rights granted by clause 25.2 by the Commonwealth, 

 do not
unreasonably delay or disrupt in any material respect the Recipient’s performance of its obligations under this Agreement or its business. 
  

	25.4	Costs 

 Unless otherwise agreed in writing, each party must bear its own costs of any
audits. 
  

	25.5	Auditor-General and Australian Information Commissioner 

 The rights of the Commonwealth
under clause 25.2(a)(i) to 25.2(a)(iii) apply equally to the Auditor-General or a delegate of the Auditor-General, or the Australian Information Commissioner or a delegate of the Australian Information Commissioner, for the purpose of performing the
Auditor-General’s or the Australian Information Commissioner’s statutory functions or powers. 
  

	25.6	Recipient to comply with Auditor-General’s requirements 

 The Recipient must do all
things necessary to comply with the Auditor-General’s or his or her delegate’s or the Australian Information Commissioner’s or his or her delegate’s requirements, notified under clause 25.2, provided such requirements are legally
enforceable and within the power of the Auditor-General, the Australian Information Commissioner, or his or her respective delegate. 
  

	25.7	No reduction in responsibility 

 The requirement for, and participation in, audits does
not in any way reduce the Recipient’s responsibility to perform its obligations in accordance with this Agreement. 
  

	25.8	Subcontractor requirements 

 The Recipient must ensure that any subcontract entered into
for the purpose of this Agreement contains an equivalent clause granting the rights specified in this clause 25. 
  

	25.9	No restriction 

 Nothing in this Agreement reduces, limits or restricts in any way any
function, power, right or entitlement of the Auditor-General or a delegate of the Auditor-General or the Privacy Commissioner or a delegate of the Office of the Australian Information Commissioner. The rights of the Commonwealth under this Agreement
are in addition to any other power, right or entitlement of the Auditor-General or a delegate of the Auditor-General or the Australian Information Commissioner or a delegate of the Australian Information Commissioner. 

Note: The effect of clause 28 of this Agreement is that this clause 25 applies for the Agreement Period and for a period of seven years from
the expiry or termination of this Agreement. 
  

	26.	Dispute resolution 

  

	26.1	No arbitration or court proceedings 

 If a dispute arises in relation to the conduct of
this Agreement (Dispute), a party must comply with this clause 26 before starting arbitration or court proceedings except proceedings for urgent interlocutory relief. After a party has sought or obtained any urgent interlocutory relief, that
party must follow this clause 26. 
  

	26.2	Notification 

 A party claiming a Dispute has arisen must give the other parties to the
Dispute notice setting out details of the Dispute. 

  
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	26.3	Parties to resolve Dispute 

 During the 14 days after a notice is given under clause 26.2
(or longer period if the parties to the Dispute agree in writing), each party to the Dispute must use its reasonable efforts through a meeting of CEOs (or their nominees) to resolve the Dispute. If the parties cannot resolve the Dispute within that
period, they must refer the Dispute to a mediator if one of them requests. 
  

	26.4	Appointment of mediator 

 If the parties to the Dispute cannot agree on a mediator within
seven days after a request under clause 26.3, the chairperson of the Resolution Institute or the chairperson’s nominee will appoint a mediator. 
  

	26.5	Role of mediator and obligations of parties 

 The role of a mediator is to assist in
negotiating a resolution of the Dispute. A mediator may not make a binding decision on a party to the Dispute except if the party agrees in writing. Unless agreed by the mediator and parties, the mediation must be held within 21 days of the request
for mediation in clause 26.3. The parties must attend the mediation and act in good faith to genuinely attempt to resolve the Dispute. 
  

	26.6	Confidentiality 

 Any information or documents disclosed by a party under this clause 26:

  

	 	(a)	must be kept confidential; and 

  

	 	(b)	may only be used to attempt to resolve the Dispute. 

  

	26.7	Costs 

 Each party to a Dispute must pay its own costs of complying with this clause 26.
The parties to the Dispute must equally pay the costs of any mediator. 
  

	26.8	Termination of process 

 A party to a Dispute may terminate the dispute resolution
process by giving notice to each other party after it has complied with clauses 26.1 to 26.5. Clauses 26.6 and 26.7 survive termination of the dispute resolution process. 
  

	26.9	Breach of this clause 

 If a party to a Dispute breaches clauses 26.1 to 26.8, the other
party does not have to comply with those clauses in relation to the Dispute. 
  

	27.	Reduction, suspension and termination 

  

	27.1	Reduction 

 Without limiting any other right or remedy of the Commonwealth, the
Commonwealth may reduce the amount of any instalment of the Funds: 
  

	 	(a)	if by the date for payment of an instalment the Recipient has not spent Funds previously paid to the Recipient, by the amount that has not been spent; 

 

	 	(b)	if, in the Commonwealth’s opinion, Funds have been spent other than in accordance with this Agreement, by the amount that, in the Commonwealth’s opinion, was spent other than in accordance with this Agreement;

  

	 	(c)	if any Participant Contributions due to be provided before the date for payment of the instalment have not been provided, by an amount that represents the same proportion of the total Funds as those Participant
Contributions bear to the total Participant Contributions; or 

  

	 	(d)	as otherwise provided in this Agreement.  

  
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	27.2	Suspension 

  

	 	(a)	Without limiting any other right or remedy of the Commonwealth, the Commonwealth may, in its sole discretion, suspend payment of the Funds (or any part of the Funds) if: 

 

	 	(i)	any Participant Contributions due to be provided before the date for payment have not been provided, until those Participant Contributions have been provided; 

 

	 	(ii)	the Recipient has not provided a Report due to be provided before the date for payment, until the Report is provided; 

  

	 	(iii)	a Report provided by the Recipient is not accurate or complete, until an accurate and complete replacement Report is provided; 

  

	 	(iv)	the Recipient has not achieved a Milestone that was due to be achieved before the date for payment, until the Milestone is achieved; 

 

	 	(v)	the Recipient has not spent Funds previously paid to the Recipient, until the Recipient has done so; 

  

	 	(vi)	the Commonwealth determines that the Recipient holds an excessive balance of Funds as a proportion of its total funds; 

  

	 	(vii)	the Recipient has not otherwise undertaken the Project to the satisfaction of the Commonwealth, until the Recipient remedies its performance; 

 

	 	(viii)	the Commonwealth determines, acting reasonably and in good faith, that the Recipient is not performing to the satisfaction of the Commonwealth; 

 

	 	(ix)	a certified copy of the Participants Agreement is not provided to the Commonwealth, within the timeframe stipulated at Schedule 2; or 

 

	 	(x)	as otherwise provided in this Agreement. 

  

	 	(b)	Despite any suspension, the Recipient must continue to perform its obligations under this Agreement. 

  

	27.3	Termination and reduction for convenience 

  

	 	(a)	The Commonwealth may, at any time, by Notice, terminate this Agreement or reduce the scope of the Project. 

  

	 	(b)	On receipt of a Notice of termination or reduction the Recipient must: 

  

	 	(i)	take all available steps to minimise loss resulting from that termination or reduction and to protect Commonwealth Material and Agreement Material; and 

 

	 	(ii)	continue to undertake any part of the Project not affected by the Notice. 

  

	 	(c)	If this Agreement is terminated under this clause 27.3, the Commonwealth is liable only for: 

  

	 	(i)	subject to clause 27.6(a)(i), payments under clause 7 in accordance with this Agreement before the effective date of termination; and 

 

	 	(ii)	subject to clause 27.3(e) and (f) reasonable costs actually incurred by the Recipient and directly attributable to the termination. 

 

	 	(d)	If the scope of the Project is reduced, the Commonwealth’s liability to pay the Funds or to provide Commonwealth Material abates in accordance with the reduction in the Project. 

  
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	 	(e)	The Commonwealth is not liable to pay compensation under clause 27.3(c)(ii) for an amount which would, in addition to any amounts paid or due, or becoming due, to the Recipient under this Agreement, exceed the total
Funds payable under this Agreement. 

  

	 	(f)	The Recipient is not entitled to compensation for loss of prospective profits. 

  

	27.4	Termination for default 

  

	 	(a)	Without limiting any other rights or remedies the Commonwealth may have against the Recipient arising out of or in connection with this Agreement, the Commonwealth may terminate this Agreement effective immediately by
giving Notice to the Recipient if: 

  

	 	(i)	the Recipient breaches a material provision of this Agreement where that breach is not capable of remedy; 

  

	 	(ii)	the Recipient breaches any provision of this Agreement and fails to remedy the breach within 14 days after receiving Notice requiring it to do so; 

 

	 	(iii)	the Recipient fails to notify the Commonwealth of a conflict of interest, or in the opinion of the Commonwealth, a conflict of interest exists which would prevent the Recipient from performing its obligations under this
Agreement; 

  

	 	(iv)	the Recipient is unable to obtain Participant Contributions, or obtain them in time to enable completion of the Project by the End Date; 

 

	 	(v)	the Commonwealth is satisfied that any statement made in the Recipient’s application for funding (if any) is incorrect, incomplete, false or misleading in a way which would have affected the original decision to
approve the provision of the Funds; or 

  

	 	(vi)	an event specified in clause 27.4(c) happens. 

  

	 	(b)	Without limitation, for the purposes of clause 27.4(a)(i), each of the following constitutes a breach of a material provision: 

  

	 	(i)	breach of warranty under clause 4.3 (Warranties); 

  

	 	(ii)	a failure to comply with clause 5.4 (Breach of the Participants Agreement); 

  

	 	(iii)	breach of clause 9.1, 9.2 or 9.3 (Use of Funds); 

  

	 	(iv)	a failure to comply with clause 13 (Subcontractors and Personnel); 

  

	 	(v)	breach of or failure to comply with clause 11 (Monitoring progress) 

  

	 	(vi)	breach of or failure to comply with clause 12 (Performance); 

  

	 	(vii)	a failure to comply with clause 15 (Intellectual Property); 

  

	 	(viii)	a failure to comply with clause 18 (Insurance); 

  

	 	(ix)	a failure to comply with clause 20 (Confidentiality); 

  

	 	(x)	a failure to comply with clause 22 (Protection of personal information); and 

  

	 	(xi)	a failure to notify the Commonwealth of a conflict of interest, or where the Recipient is unable or unwilling to resolve or deal with the conflict as required under clause 23 (Conflict of interest). 

 

	 	(c)	The Recipient must notify the Commonwealth immediately if: 

  

	 	(i)	there is any Change in Control of the Recipient; 

  
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	 	(ii)	the Recipient disposes of the whole or any part of its assets, operations or business other than in the ordinary course of business; 

 

	 	(iii)	the Recipient ceases to carry on business; 

  

	 	(iv)	the Recipient ceases to be able to pay its debts as they become due; 

  

	 	(v)	proceedings are initiated with a view to obtaining an order for the winding up of the Recipient, or any person convenes a meeting for the purpose of considering or passing any resolution for the winding up of the
Recipient; 

  

	 	(vi)	the Recipient applies to come under, the Recipient receives a Notice requiring it to show cause why it should not come under, an order has been made for the purpose of placing the Recipient under, or the Recipient
otherwise comes under one of the forms of external administration referred to in Chapter 5 of the Corporations Act or Chapter 11 of the Corporations (Aboriginal and Torres Strait Islander) Act 2006 (Cth) or equivalent provisions in State or
Territory legislation in relation to incorporated associations; 

  

	 	(vii)	the Recipient being a natural person is declared bankrupt or assigns his or her estate for the benefit of creditors; 

  

	 	(viii)	where the Recipient is a partnership, any step is taken to dissolve that partnership; or 

  

	 	(ix)	anything analogous to an event referred to in clause 27.4(c)(v) – (viii) occurs in relation to the Recipient. 

  

	27.5	After termination 

 On termination of this Agreement the Recipient must deal with
Commonwealth Material and the Commonwealth’s Confidential Information in accordance with this Agreement and otherwise as reasonably directed by the Commonwealth. 
  

	27.6	Commonwealth rights 

  

	 	(a)	Without limiting any of the Commonwealth’s other rights or remedies, on termination of this Agreement, the Commonwealth: 

  

	 	(i)	is not obliged to pay to the Recipient any outstanding amount of the Funds, except to the extent that those monies have been legally committed for expenditure by the Recipient in accordance with this Agreement and
payable by the Recipient as a current liability (written evidence of which will be required) by the date the Recipient receives the Notice of termination; and 

  

	 	(ii)	is entitled to recover from the Recipient: 

  

	 	(A)	any Funds which have not been spent, or legally committed for expenditure by the Recipient in accordance with this Agreement and payable by the Recipient as a current liability (written evidence of which will be
required), by the date the Recipient receives the Notice of termination; and 

  

	 	(B)	the amount of any Funds which, in the Commonwealth’s opinion, have been spent other than in accordance with this Agreement. 

  

	 	(b)	The Commonwealth may give the Recipient a Notice requiring the Recipient to repay to the Commonwealth (or deal with as specified by the Commonwealth) an amount which the Commonwealth is entitled to recover under clause
27.6(a)(ii). 

  
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	 	(c)	If the Commonwealth gives a Notice under clause 27.6(b), the Recipient must repay the amount specified in the Notice in full (or deal with it as specified by the Commonwealth) within 30 days of the date of the Notice.

  

	27.7	Termination does not affect accrued rights 

 Termination of this Agreement does not
affect any accrued rights or remedies of a party. 
  

	28.	Survival 

 The following clauses survive the expiry or termination of this Agreement: 

 

	 	(a)	Clause 4.2 (Acknowledgment of support); 

  

	 	(b)	Clause 8 (GST and R&D Tax Incentive); 

  

	 	(c)	Clause 10 (Repayment); 

  

	 	(d)	Clause 11.2 (Reporting); 

  

	 	(e)	Clause 12.2 (Evaluation); 

  

	 	(f)	Clause 15 (Intellectual Property Rights); 

  

	 	(g)	Clause 16 (Moral Rights); 

  

	 	(h)	Clause 17 (Indemnity); 

  

	 	(i)	Clause 18 (Insurance); 

  

	 	(j)	Clause 20 (Confidentiality); 

  

	 	(k)	Clause 22 (Protection of personal information); 

  

	 	(l)	Clause 24 (Books and records); 

  

	 	(m)	Clause 25 (Audit and access) for a period of seven years from the expiry or termination of this Agreement; 

  

	 	(n)	Clause 27.6 (Commonwealth rights); and 

  

	 	(o)	Clause 30.2 (Amounts due to Commonwealth), 

 together with any provision of this Agreement which
expressly or by implication from its nature is intended to survive the expiry or termination of this Agreement. 
  

	29.	Notices and other communications 

  

	29.1	Service of Notices 

 A Notice must be: 

 

	 	(a)	in writing, in English and signed by a person duly authorised by the sender; and 

  

	 	(b)	hand delivered or sent by prepaid post or by electronic means (facsimile or email) to the Recipient’s address for Notices specified in item 20 of Schedule 1, as varied by any Notice given by the Recipient to the
sender. 

  

	29.2	Effective on receipt 

 A Notice given in accordance with clause 29.1 takes effect when it
is taken to be received (or at a later time specified in it), and is taken to be received: 
  

	 	(a)	if hand delivered, on delivery; 

  
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	 	(b)	if sent by prepaid post, on the second Business Day after the date of posting (or on the seventh Business Day after the date of posting if posted to or from a place outside Australia); or 

 

	 	(c)	if sent by facsimile, when the sender’s facsimile system generates a message confirming successful transmission of the entire Notice unless, within eight Business Hours after the transmission, the recipient informs
the sender that it has not received the entire Notice; 

  

	 	(d)	if sent by email, as provided under sections 14 and 14A of the Electronic Transactions Act 1999 (Cth), 

but if the delivery, receipt or transmission is not on a Business Day or is after 5.00 pm on a Business Day, the Notice is taken to be received
at 9.00am on the next Business Day. 
  

	30.	Miscellaneous 

  

	30.1	No security 

 The Recipient must not use any of the following as any form of security for
the purpose of obtaining or complying with any form of loan, credit, payment or other interest, or for the preparation of, or in the course of any litigation: 
  

	 	(a)	the Funds; 

  

	 	(b)	this Agreement or any of the Commonwealth’s obligations under this Agreement; or 

  

	 	(c)	any Assets or Agreement Material. 

  

	30.2	Amounts due to Commonwealth 

  

	 	(a)	Without limiting any other of the Commonwealth’s rights or remedies, any amount owed or payable to the Commonwealth (including by way of refund), or which the Commonwealth is entitled to recover from the Recipient,
under this Agreement will be recoverable by the Commonwealth as a debt due and payable to the Commonwealth by the Recipient. 

  

	 	(b)	The Commonwealth may set-off any money due for payment by the Commonwealth to the Recipient under this Agreement against any money due for payment by the Recipient to the
Commonwealth under this Agreement. 

  

	30.3	Ownership of Agreement 

 All copyright and other Intellectual Property Rights contained
in this Agreement remain the property of the Commonwealth. 
  

	30.4	Variation 

 No agreement or understanding varying or extending this Agreement is legally
binding upon either party unless the agreement or understanding is in writing and signed by both parties. 
  

	30.5	Approvals and consents 

 Except where this Agreement expressly states otherwise, a party
may, in its discretion, give conditionally or unconditionally or withhold any approval or consent under this Agreement. 
  

	30.6	Assignment and novation 

 A party may only assign its rights or novate its rights and
obligations under this Agreement with the prior written consent of the other party. 
  

	30.7	Costs 

 Each party must pay its own costs of negotiating, preparing and executing this
Agreement. 

  
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	30.8	Counterparts 

 This Agreement may be executed in counterparts. All executed counterparts
constitute one document. 
  

	30.9	No merger 

 The rights and obligations of the parties under this Agreement do not merge
on completion of any transaction contemplated by this Agreement. 
  

	30.10 	Entire agreement 

 This Agreement constitutes the entire agreement between the parties in
connection with its subject matter and supersedes all previous agreements or understandings between the parties in connection with its subject matter. 
  

	30.11 	Further action 

 Each party must do, at its own expense, everything reasonably necessary
(including executing documents) to give full effect to this Agreement and any transaction contemplated by it. 
  

	30.12 	Severability 

 A term or part of a term of this Agreement that is illegal or
unenforceable may be severed from this Agreement and the remaining terms or parts of the terms of this Agreement continue in force. 
  

	30.13 	Waiver 

 Waiver of any provision of or right under this Agreement: 

 

	 	(a)	must be in writing signed by the party entitled to the benefit of that provision or right; and 

  

	 	(b)	is effective only to the extent set out in any written waiver. 

  

	30.14 	Relationship 

  

	 	(a)	The parties must not represent themselves, and must ensure that their officers, employees, agents and subcontractors do not represent themselves, as being an officer, employee, partner or agent of the other party, or as
otherwise able to bind or represent the other party. 

  

	 	(b)	This Agreement does not create a relationship of employment, agency or partnership between the parties. 

  

	30.15 	Governing law and jurisdiction 

 This Agreement is governed by the law of the Australian
Capital Territory and each party irrevocably and unconditionally submits to the non-exclusive jurisdiction of the courts of the Australian Capital Territory. 

 

	30.16 	False or misleading information 

  

	 	(a)	The Recipient acknowledges that giving false or misleading information to the Commonwealth is a serious offence under section 137.1 of the Criminal Code Act 1995 (Criminal Code). 

 

	 	(b)	The Recipient must ensure that all Project Partners and any subcontractor engaged in connection with the Agreement acknowledges the information contained in this clause. 

Note: Under section 137 of the Criminal Code giving false or misleading information to a Commonwealth entity is an offence, but only if the
Commonwealth entity took reasonable steps to inform the person of the offence.  

  
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	30.17 	Safe and ethical research 

 When research in Australia is conducted on or involving
humans or animals, the Recipient, in relation to any such research conducted by it or any of the Project Partners, must 
  

	 	(a)	ensure that the research complies with, and that it observes, all relevant ethics codes and guidelines adopted by the National Health and Medical Research Council, the Office of the Gene Technology Regulator and all
other relevant regulatory agencies operating in Australia and any place in which the research is being conducted being codes and guidelines in force from time to time during the Agreement Period, including requirements to obtain prior approval in
writing (including from any relevant ethics committee) that the research to be undertaken is so compliant. 

  

	 	(b)	engage one or several higher education institution(s), or Federal or State research organisation(s), or medical institution(s) with a relevant ethics committee constituted in accordance with the codes and guidelines
referred to in clause 30.17(a) to oversee all ethical clearances which may be required under those codes and guidelines. 

  

	 	(c)	When conducting research in Australia which involves the use of ionising radiation, the Recipient must ensure that persons performing procedures involving ionising radiation are appropriately trained and hold a relevant
current licence from the appropriate State authority. 

  

	 	(d)	Whenever reasonably required by the Commonwealth, the Recipient must promptly provide to the Commonwealth written evidence of compliance with the requirements of this clause. 

 

	30.18 	Responsible conduct of research 

  

	 	(a)	The Recipient must ensure that research conducted by it and each Project Partner conforms to the principles outlined in the following and their successor documents: 

 

	 	(i)	the NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007); and 

  

	 	(ii)	if applicable, the NHMRC/ARC/AVCC National Statement on Ethical Conduct in Human Research (2007). 

  

	 	(b)	The Recipient must ensure that it and each Project Partner: 

  

	 	(i)	promote the responsible conduct of research; 

  

	 	(ii)	maintain high standards of responsible research; 

  

	 	(iii)	report research responsibly; 

  

	 	(iv)	respect all research participants; 

  

	 	(v)	respect animals used in research; 

  

	 	(vi)	respect the environment; and 

  

	 	(vii)	report research misconduct. 

  

	 	(c)	The Recipient must have, and must ensure that each Project Partner has, procedures in place for dealing with instances of suspected or alleged research misconduct which are consistent with the principles referred to at
clause 30.18(a). 

  
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 Schedule 1– Agreement Details 

 
  

							
	 Item

number
	  	Description	  	Clause
Reference	  	 Details

	1.	  	Commonwealth	  	1.1	  	 Commonwealth of Australia as represented by the Department of Industry, Innovation and Science

 
 Industry House

10 Binara Street
 Canberra City ACT 2601

 
 ABN 74 599 608 295

				
	2.	  	Recipient	  	1.1	  	 Novogen Ltd
 PO Box 2333,

Hornsby Westfield,
 Hornsby, NSW 1635

ABN 37 063 259 754

				
	3.	  	Commonwealth
Representative	  	1.1 and
11.1	  	 General Manager,
 Single Business Service
Programme and CRC Programme

				
	4.	  	Recipient
Representative	  	1.1 and
11.1	  	 Dr Stephen Palmer
 Program Director

Novogen Ltd

				
	5.	  	Project
Partners	  	1.1	  	 I C P – Firefly Pty Limited
 SME industry
participant
 Address: PO Box 6198
 Alexandria, NSW 2015

ABN: 66 071 626 358
  

University of New South Wales (UNSW)
 School of Medical
Sciences
 Research participant
 Address: Professor Peter
Gunning, School of Medical Sciences,
 Wallace Wurth Building West, Rm 254, UNSW Australia, NSW 2052

ABN: 57 195 873 179

				
	6.	  	Programme	  	1.1	  	The Cooperative Research Centres Programme (CRC Programme)
				
	7.	  	Commencement
Date	  	1.1 and 3	  	1 March 2017, or the date of execution of this Agreement, whichever is the later.
				
	8.	  	End Date	  	1.1 and 3	  	29 February 2020
				
	9.	  	Guidelines	  	4.1	  	The Cooperative Research Centres Programme Guidelines, and any related documentation developed to assist the management and administration of the CRC Programme, issued by the Commonwealth and as amended from time to time.

  
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	 Item

number
	  	Description	  	Clause
Reference	  	 Details

	10.	  	Policy and
requirements	  	4.1	  	The National Principles of Intellectual Property Management for Publicly Funded Research
				
	11.	  	Acknowledgment
of support	  	4.2	  	Acknowledgement of support must be made in accordance with any relevant Guidelines issued by the Commonwealth from time to time, and as amended from time to time.
				
	12.	  	Subcontractors	  	13.1	  	 Prof. William Lehman, Boston University, Boston MA 02215 USA. (ABN not applicable)

 
 Sanoosa Pty. Ltd. Level 30, 35 Collins St, Melbourne VIC 3000

Australia (ABN: 39 610 409 455)
  

K&L Gates, Level 25, 525 Collins St, Melbourne VIC 3000

Australia (ABN: 81 310 965 026)
  

Dr Andrew Burgess, The Garvan Institute, Sydney, NSW 2010, Australia.

(ABN: 62 330 391 937)
  

ACRF Drug Discovery Centre, Children’s Cancer Institute Australia, PO Box 81, Randwick NSW 2031, Australia. (ABN 41 072 279 559)

 
 GVK Biosciences Private Ltd, Plot No. 28 A, IDA Nacharam, Hyderabad 500076, India.
(ABN not applicable)
  
 Jubilant Biosys Ltd, 2nd Stage, Yeshwanthpur, Bangalore-560022, Karnataka, India. (ABN not applicable)
  

Pluriomics B.V. Biopartner Building 3, Galileiweg 8, 2333 BD Leiden, The Netherlands. (ABN not applicable)

 
 Ricerca Biosciences, PO Box 932488, Cleveland, OH 44193 USA (ABN not
applicable)

				
	13.	  	Specified
Personnel	  	1.1 and 13	  	 Novogen
 Dr S Palmer Program Director
0.8xFTE
 Dr J Hook UNSW Research Officer 1.0xFTE
  

I C P - Firefly
 Dr I Meyer-Carrive 0.1xFTE

 
 UNSW

Prof. P Gunning 0.1xFTE

				
	14.	  	Commonwealth
Material	  	1.1, 15.3
and 15.4	  	 •       CRC Indicia:

 
 The license granted to the Recipient and Project Partners by the Commonwealth under
clause 15.3(b)(iii), in so far as it relates to CRC Indicia is subject to the following conditions, directions or restrictions:

  
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	 Item

number
	  	Description	  	Clause
Reference	  	 Details

				
		  		  		  	 a)      The Recipient must ensure that where it grants a sub-license to the Project Partners under clause 15.3(b)(iii), that:
  

(i)     the Project Partners acknowledge that the Commonwealth owns all rights in the CRC
Indicia;
  
 (ii)    the term
of the sublicense ceases on or before the End Date;
  

(iii)  the Project Partners are bound by the same conditions imposed on the Recipient by the
Commonwealth;
  
 (iv)   the
sublicense does not include a further right of sublicense;
  

(v)    the sublicense is automatically revoked upon termination or expiration of this
Agreement.
  

b)      The Recipient must cease using the CRC Indicia by the End Date or from the date
the Agreement is otherwise terminated, except where acknowledgement of support under clause 4.2(a) or 4.2(c) is required where these publications or public announcements are not released until after the End Date.

				
	15.	  	Pre-existing
Material	  	1.1	  	 Recipient’s pre-existing material

 
 1.      All
pre-existing data generated by the Recipient’s sponsored research in pursuit of tropomyosin binding compounds that are relevant to the aims of the Project.
  

2.      All other techniques, know-how, software
and materials (regardless of the form or medium in which they are disclosed or stored) that are provided by or on behalf of the Recipient for use in the Project.

				
	16.	  	Intellectual
Property –
licences	  	1.1 and 15	  	 Period of licence to Commonwealth granted in clause 15.3(b)(i) is:

Perpetual

				
	17.	  	Moral
Rights –
Specified
Acts	  	1.1 and 16	  	Not Applicable

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 43	 

							
	 Item

number
	  	Description	  	Clause
Reference	  	 Details

	18.	  	Insurance	  	18	  	Not Applicable
				
	19.	  	Confidential
Information	  	1.1 and 20	  	 Recipient’s Confidential Information
  

1.      The Participants Agreement (period of time: in perpetuity)

 
 2.      All of the
Recipient’s Pre-existing Material
  

3.      All Agreement Material, other than the reports required to be provided to the
Commonwealth as detailed in Schedule 3.
  
 For the Agreement Material and Pre-existing Material, the period of confidentiality persists until; (1) notified by the Recipient that the contents therein have sufficient intellectual property protection to ensure that disclosure could
offer no detriment to commercial gain, or (2) notified by the Recipient that the contents therein are no longer subject to confidentiality because of prior disclosures or discontinuance of work on the subject matter.

				
	20.	  	Address for
Notices	  	29	  	 Commonwealth:
  

General Manager,
 Single Business Service Programme and CRC

Programme
  

GPO Box 9839
 Canberra ACT 2601

 
 Industry House

10 Binara Street
 Canberra City ACT 2601

 
 Email: crc.program@industry.gov.au

 
 Recipient:

Dr Stephen Palmer
 Program Director

Novogen Ltd
  

PO BOX 2333
 Hornsby Westfeild

Hornsby NSW 1635
  

Suite 502
 20 George Street

Hornsby NSW 2077
  

Email: stephen.palmer@novogen.com

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 44	 

 Schedule 2 – Project 

 
  

	1.	Project overview, Outcomes and impacts (clauses 1.1 and 4.1) 

 Cancer therapies have a global market value of
$50bn/year, growing 6%/annum with constant demand for new treatments. This project aims to provide improved chemotherapy for advanced metastatic disease through an Australian innovation to selectively destroy cancer cells using anti-tropomyosin
(ATM) drugs. Prototype ATMs have demonstrated proof of concept in model systems but CRC-P investment is needed to perfect this technology and create a clinical product with high commercial value. The key
activities include protein structure research and computer-aided modelling of the target protein, manufacture and screening of compounds designed to fit and to disrupt the function of the target protein, refinement of pharmaceutic properties and
drug delivery methods, advancement to screening and testing in animal models of cancer to demonstrate evidence of efficacy and completion of all of the standard toxicology tests required for submission of an Investigational New Drug (IND)
application to the FDA. The project outcomes will be a novel anti-cancer drug with a scalable manufacturing strategy, an established delivery route, an understanding of which cancer types are most susceptible to this drug (influencing clinical
strategy) and a comprehensive portfolio of preclinical evidence supporting treatment of advanced metastatic disease. At project end, the drug will have all of the regulatory compliance data required for entry into clinical trials, with the aim of
establishing clinical efficacy within a further 3 years (end of phase II) allowing subsequent licensing deals with multinational pharmaceutical companies to advance the product through phase III and on to market approval. 

 

	2.	Project activities (clause 1.1) 

 Tropomyosin proteins are divided into a diverse array of isoforms. For reasons
that are not fully understood, but may relate to high turnover properties, cancer cells selectively develop a strong bias towards expression of the low molecular weight tropomyosin isoform Tpm3.1, on which they become dependent for survival. This
provides a selective target for a novel form of anti-cancer treatment. All tropomyosins first form dimers and then assemble on the actin core through head-to-tail
interactions. This interaction domain is a site of vulnerability that we will target by drug interference. Professor William Lehman (Boston University) is a world expert in the ultrastructure of the actin-tropomyosin polymer and will use
combinations of protein structure research (e.g. X-ray crystallography) and computer-aided molecular analysis to develop a sophisticated model of the target site. Our Novogen chemistry experts will design
libraries of organic molecules predicted to fit the target site and disrupt its normal function. These libraries will enter a screening cascade that begins with basic cell culture screens to determine the relative potential efficacy of each
compound. At UNSW, high throughput screening and high-content microscopy systems will be used to test; (1) compound potency against multiple independent adult cancer cell lines, (2) on-target impact
on microfilament depolymerisation using detection of actin filaments and computer-aided analysis, (3) potency of synergistic effects with a variety of pre-existing anti-cancer drugs to determine the
potential utility of combination therapy and the potential to overcome resistance mechanisms. Flexible investigative studies will also be conducted to determine the binding dynamics and specificity of the compounds using functional biochemistry in
cell-free systems. A selection of the top performing compounds will be submitted for in vitro predictive absorption, distribution, metabolism, excretion and toxicology (ADMET) analysis. All of these data will be collated for quantitative structure
activity relationship (QSAR) analysis for further rounds of modelling, drug design, synthesis and screening. These cycles will continue until the structure is maximally refined to meet the expectations of the target product profile. Overlapping
studies will advance selected lead candidates to preclinical formulation studies, efficacy testing in simple in vivo cancer models, drug delivery route analysis and maximum tolerated dosage analysis (at ICP Firefly). More sophisticated analyses of
effects on tumour growth and metastasis will follow, using specialised cell lines that allow whole body imaging of cancer progression and animal cancer models that are based on patient-derived explants and orthotopic tumour development. During the
final stage, a lead drug product will be selected from the top performing compounds and manufactured to GLP standards to undergo the battery of in vivo toxicity compliance testing necessary to support an IND application to the FDA. 

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 45	 

	3.	Compliance Milestones (clauses 1.1, 4.1, 11 and 12) 

  

					
	 No.
	  	 Milestone
	  	 Due Date

	1.	  	Submission of completed Participants Agreement	  	Within 60 days of Commencement Date
			
	2.	  	Submission of Quarterly Report	  	Each Quarter in accordance with Guidelines
			
	3.	  	Submission of End of Project Report	  	After the End Date in accordance with Guidelines

  

	4.	Performance Milestones (clause 1.1 and 4.1) 

  

			
	 No.
	  	 Performance Milestone

	 1
	  	 Title:
             Anti-tropomyosin compound libraries designed and synthesised
  

Start date:     1 March 2017

End date:       31 August 2018

 
 Description:

 
 By end date: a broad library of molecules that bind to tropomyosin 3.1 with specificity
and the ability to disrupt its function in cells will be completed. The process is cyclical - feedback from the parallel in vitro screens (Milestone 2) will improve modelling and design, allowing refinement of the activity and pharmaceutical
properties.
  
 Methods: Protein structural research and computer-aided modelling
(Boston University) will dictate design of the new chemical entities (Novogen chemists), which will be manufactured by contract chemists with a strong existing Novogen relationship (GVK Hyderabad).

		
	 2
	  	 Title:             Compound
library in vitro screens completed
  
 Start
date:    1 March 2017
 End date:      28 February
2019
  
 Description:

 
 By end date: a set of lead candidate compounds
(5-10) from within the chemical library generated (Milestone 1) will have been selected, that have the most favourable (1) specificity (2) potency (3) synergy (4) pharmaceutic properties, with
respect to the target product profile. This will permit advancement to the in vivo screens (Milestone 3).
  

Methods: High-content screens using cultured cancer cell lines (UNSW) will be used to assess impact of drugs on actin microfilaments, cell killing potency and
synergy with pre-existing anti-cancer drugs. Cell-free systems will be used to assess protein binding dynamics and specificity (UNSW). A subset of the better-performing compounds will be screened for drug-like
properties such as solubility, absorption, metabolism and cell toxicity (GVK Hyderabad).

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 46	 

			
	 3
	  	 Title:              In vivo
screens of lead candidates completed and single lead compound selected
  

Start date:     1 March 2018

End date:       28 February 2019

 
 Description:

 
 By end date: a single lead compound from the
(5-10) lead candidate molecules will have been selected based on detailed evidence of compound efficacy in rodent models of cancer and the study of compound side-effects and pharmacokinetics in animals.

 
 Methods: Mice with engrafted cancer cell lines or patient-derived tumours will be
treated with lead candidates either alone or in combination with synergising compounds identified in the in vitro screens (I C P - Firefly). Delivery routes, behaviour (pharmacokinetics) of the drugs and potential toxicities will be carefully
monitored in rodents (I C P - Firefly). Some detailed analyses will investigate the biology of compound impact using more sophisticated analytical techniques (UNSW). A variety of in vitro and vivo techniques will explore the mechanisms of action for
synergism, the types of cancer that are most susceptible to the novel therapy and the response of cell lines that are resistant to other forms of treatment, in order to develop a detailed strategy for entry into clinical trials and beyond
(UNSW & Others).

		
	 4
	  	 Title:
             IND-enabling studies completed in readiness for clinical trials

 
 Start date:
    1 March 2019
 End date:       29 February
2020
  
 Description:

 
 By end date: all of the regulatory compliance studies required by the FDA for
investigational new drug (IND) application will have been completed in order to begin progression to clinical trials.
  

Methods: The lead compound will be manufactured to GLP standard for use in a battery of QA in vitro and in vivo tests, plus information on drug formulation,
delivery route (preferably oral) and pharmacokinetic performance. Most tests performed by I C P - Firefly but some specialist tests (e.g. cardiotoxicity and genotoxicity) performed at overseas centres.

		
	 5
	  	 Title:
             CRC-P students enrolled and CRC-P staff employed and trained

 
 Start date:
    1 March 2017
 End date:       29 February
2020
  
 Description:

 
 By end date: 1 PhD student will have been recruited, enrolled and will have completed
greater than 50% of their benchwork for award of their degree. At least 2 honours students will either have completed their degrees or will have been recruited to the program for thesis submission in late 2020. At least 2 members of staff, funded by
the CRC-P, will have been recruited to the program and trained to perform their required function within the project.
  

Methods: Search for recruitment of a competent PhD student will begin on the start date. Supervison will be by members of the
in-kind CRC-P team at UNSW and Novogen, and internal UNSW PhD review procedures will ensure adequate progress of the student. Medical research PhDs are typically 3.5-4yrs in duration. Regardless of the PhD enrolment date, Novogen will continue to support the PhD student beyond the life of the grant until thesis submission. Two honours students will be recruited sequentially
to avoid overcommitment to teaching. The honours period of study is usually March-October of each year, which precludes the possibility of recruitment in 2017. Ideally, the first honours student will be in 2018 and the second in 2019. Novogen will
support any enrolments that overrun the life of the grant until thesis submission. At least 2 members of staff will be recruited to the project as soon as practicable after execution of this contract, sited primarily at UNSW and at Novogen, and will
be trained by skilled members of the existing workforce to perform their required duties.

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 47	 

			
	 6
	  	 Title:             Completion of
the Project
 Due date:      29 February 2020

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 48	 

 Schedule 3 – Reporting 

 
  

	1.	Quarterly reports 

 Throughout the Agreement Period, the Recipient must provide to the
Commonwealth, in accordance with any relevant Guidelines, a quarterly report after the end of each Quarter incorporating: 
  

	 	(a)	an overview of any Project Milestones and Outcomes achieved in that Quarter, and/or an evaluation of progress in achieving upcoming, scheduled Milestones; 

 

	 	(b)	a list of any changes to Recipient and/or Project Partner structure/ownership/involvement, Agreement Material, key personnel, etc., that could affect compliance with this Agreement; 

 

	 	(c)	a cash (not accrual) report in respect of that Quarter indicating the sources of all cash contributions from Participants for the Project; 

 

	 	(d)	a report in respect of that Quarter on the in-kind contributions (FTE and non-staff in-kind)
contributed to the Project; 

  

	 	(e)	a cash (not accrual) report in respect of that Quarter on the expenditure of cash for the Project against each head of expenditure; and 

 

	 	(f)	a declaration by the Recipient certifying the accuracy of the particulars provided under paragraphs (a) to (e), including a statement that the Funds have been expended only for the Project and otherwise in
accordance with this Agreement. 

  

	2.	End of Project Reporting 

 Following the end of the Agreement Period, the Recipient must provide
the Commonwealth with an independent audit certificate covering all Project related income and expenditure in accordance with the Guidelines. 
  

	3.	Post-Project Reporting 

 The Commonwealth may request that the Recipient prepare and provide to
the Commonwealth a report after the end of the Agreement Period in accordance with the Guidelines. 
  

	4.	Ad hoc reports 

 The Recipient must provide ad-hoc
reports as required by the Commonwealth from time to time, at the time and in the manner reasonably required by the Commonwealth in relation to any significant developments concerning the Project or any significant delays or difficulties encountered
in undertaking the Project.  

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 49	 

 Schedule 4 – Funds, contributions and budget 

 
  

	1.	Funds (clause 1.1) 

 The total amount of the Funds is $3,000,000 (excluding GST).

  

	2.	Payment (clauses 1.1, 7 and 8.4) 

 Payment of Funds for the Project will be made quarterly by
the Commonwealth subject to satisfactory Project progress and other requirements under this Agreement (Clauses 7, 8, 9, 11 and 27). 
 The
initial payment will be a proportion of the first quarterly payment paid on commencement of this Agreement, subject to the Commonwealth being satisfied that significant progress has been made in finalising the Participants Agreement. The balance of
the first quarterly amount will be payable in arrears subject to the Participants Agreement having commenced and the provision of a satisfactory quarterly report to the Commonwealth. 

Subsequent quarterly payments will be made in arrears subject to the provision of a satisfactory quarterly report to the Commonwealth and
compliance with reporting requirements under this Agreement. Before the final payment is made, an independent audit certificate from the CRC Project will be required in accordance with any Guidelines issued by the Commonwealth. 

The schedule of quarterly payments is set out in the table below. 
  

															
	 Year
	  	 Quarter
	  	Instalment
(excl.
GST)	 	  	GST
component	 	  	Total
(incl.
GST)	 
	 2016-17
	  	Jan-Mar (Q3) (initial)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Jan-Mar (Q3) (balance)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Apr-Jun (Q4)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
		  	Total for 2016-17	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 2017-18
	  	Jul-Sep (Q1)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Oct-Dec (Q2)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Jan-Mar (Q3)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Apr-Jun (Q4)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
		  	Total for 2017-18	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 2018-19
	  	Jul-Sep (Q1)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Oct-Dec (Q2)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Jan-Mar (Q3)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Apr-Jun (Q4)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
		  	Total for 2018-19	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 2019-20
	  	Jul-Sep (Q1)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Oct-Dec (Q2)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	Jan-Mar (Q3)	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
		  	Total for 2019-20	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total
	  	Total for all years	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 50	 

	3.	Participant Contributions (clauses 1.1, 5.1 and 6.1) 

  

																					
	 Recipient/Lead Participant:
	  	 	Novogen Limited	 
						
	 Contribution type
	  	2016-17	 	  	2017-18	 	  	2018-19	 	  	2019-20	 	  	Total	 
	 Cash
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE value
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 Non-staff
in-kind
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total value of contributions
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
		
	 Participant:
	  	 	I C P - Firefly Pty Limited	 
						
	 Contribution type
	  	2016-17	 	  	2017-18	 	  	2018-19	 	  	2019-20	 	  	Total	 
	 Cash
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE value
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 Non-staff
in-kind
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total value of contributions
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
		
	 Participant:
	  	 	University of New South Wales	 
						
	 Contribution type
	  	2016-17	 	  	2017-18	 	  	2018-19	 	  	2019-20	 	  	Total	 
	 Cash
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE value
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 Non-staff
in-kind
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total value of contributions
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
		
	 TOTAL PARTICIPANT CONTRIBUTIONS
	  			
						
	 Contribution type
	  	2016-17	 	  	2017-18	 	  	2018-19	 	  	2019-20	 	  	Total	 
	 Cash
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 FTE value
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 Non-staff
in-kind
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total value of contributions
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

 Note: FTE = Full-Time Equivalent as it relates to staff in-kind contributions. FTE
Value is calculated by multiplying the FTE value by XXXX. 

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 51	 

	4.	Budget (clauses 1.1 and 9.1) 

  

																					
	 Heads of expenditure
	  	2016-17	 	  	2017-18	 	  	2018-19	 	  	2019-20	 	  	Total	 
	 Employee
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 Supplier
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 Capital
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
	 Other
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total expenditure
	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 	  	 	XXXXX	 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 52	 

 Signing page 

 
 EXECUTED as an agreement. 

 

			
	 Signed for and on behalf of the 

Commonwealth of Australia as
 represented by the
Department of
 Industry, Innovation and Science by its

duly authorised delegate in the presence of

 

							
		 	f	  		  	f
	  
 Signature of witness

 
	 		  	  
 Signature of delegate

 
	  	
	  
 Name of witness (print)

 
	 		  	  
 Name of delegate (print)

 
	  	
		 		  	  
 Position of delegate (print)

 
	  	
	  
 Date

 
	 		  	  
 Date
	  	
	 Executed by Novogen Ltd in accordance with section 127 of the Corporations Act 2001 in the presence of

 
	 	f	  		  	f
	  
 Signature of director

 
	 		  	  
 Signature of director/company
secretary/sole director and sole company secretary
 (delete as applicable)

 
	  	
	  
 Name of director (print)

 
	 		  	  
 Name of director/company
secretary/sole director and sole company secretary (print)
  
	  	
	  
 Date
	 		  	  
 Date¬
	  	

  
 Confidential material
omitted and filed separately with the Commission. 

  

					
	CRC-P Funding Agreement CRC-P53981 | Novogen Limited | March 2017	  	 	page 53

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