Document:

License Agreement

 Confidential Materials omitted and filed separately with the 

Securities and Exchange Commission. Asterisks denote omissions. 
 Exhibit 10.21 
 LICENSE AGREEMENT 

This License Agreement, effective on the 28th day of July, 2011 (the “Effective Date”), is entered into by and between
Celldex Therapeutics, Inc., a Delaware corporation having a principal place of business at 119 Fourth Avenue, Needham, MA 02494 (hereinafter “Celldex”) and Argos Therapeutics, Inc., a Delaware corporation having a principal place of
business at 4233 Technology Drive, Durham, NC 27704 (“Argos”). Celldex and Argos are sometimes referred to herein individually as a “Party” and collectively as the “Parties”. 

WHEREAS, Celldex is the owner of certain patents rights (as further defined below, the “Licensed Patents”); and

 WHEREAS, Argos desires to practice certain inventions claimed in the Licensed Patents, under the terms and conditions set
forth herein. 
 NOW, THEREFORE, in consideration of the above premises and the mutual covenants contained herein, the Parties
agree as follows. 
 1. DEFINITIONS. The terms in this Agreement with initial letters capitalized, whether used in the singular or
the plural, shall have the meaning set forth below or, if not listed below, the meaning designated in places throughout this Agreement. 

“Affiliate” shall mean any corporation or other entity which controls, is controlled by, or is under common control with a Party. A
corporation or other entity shall be regarded as in control of another corporation or entity if it owns or directly or indirectly controls more than fifty percent (50%) of the voting stock or other ownership interest of the other corporation or
entity, or if it possesses, directly or indirectly, the power to direct or cause the direction of the management and policies of the corporation or other entity or the power to elect or appoint more than fifty percent (50%) of the members of
the governing body of the corporation or other entity. 
 “Field” means the diagnosis, prevention or treatment of [**] and such
other diseases, disorders or indications, if any, as may be added pursuant to Section 2.2. 
 “Licensed Patents” means US
Patents [**] and any other U.S. patents (including divisionals, continuations, continuations-in-part, etc.) assigned to Celldex as of the Effective Date or during the term of this Agreement that are derived from or claim priority to any of the
foregoing or from US Patent Application Ser. No. [**] or US Patent Application Ser. No. [**] in each case together with non-US counterparts of any of the foregoing that claim priority to any of the foregoing, specifically including those set forth
on Exhibit A. 
 “Process” means any process employed in the production of Product the practice of which, absent a grant
of the license set forth herein, would constitute infringement of a Valid Claim in any of the Licensed Patents. [**]. 

“Product” means [**] alone or in combination with one or more agent, in each case the manufacture or sale of which, absent a grant of
the license set forth herein, would constitute infringement of a Valid Claim in any of the Licensed Patents. 
 “Third Party”
means any entity other than Celldex or Argos and their respective Affiliates. 
 “Valid Claim” means a claim of an issued and
unexpired patent that has not been held permanently revoked, unenforceable or invalid by a decision of a court or other governmental 

  
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agency of competent jurisdiction, unappealable or unappealed within the time allowed for appeal. 
 2. LICENSE RIGHTS AND OPTION GRANT; PATENT MAINTENANCE 
 2.1. License.
Subject to the terms and conditions of this Agreement, Celldex hereby grants to Argos a royalty-bearing, non-exclusive license under the Licensed Patents to perform Processes and to develop, make, have made, sell, have sold, use and import Product
in the Field. 
 2.2. Option to Expand License Field. Upon payment of [**] US dollars (US$[**]) per new indication, Argos may add
additional oncology or infectious disease indications to the Field. 
 2.3. Outsourcing and Sublicensing. Argos may authorize a Third
Party contract manufacturer to perform Processes and/or produce Product for sale by or on behalf of Argos or its Affiliates, without Celldex’s consent or any obligation of Argos to make payment. Argos may authorize a Third Party (other than a
contract manufacturer) to perform Processes and/or produce Product in connection with the grant of rights to manufacture Product pursuant to a licensing or similar transaction, in which case Argos shall, within [**] days of the grant of such
sublicense, pay Celldex [**] US dollars (US$[**]). Any other sublicense of rights to practice under the Licensed Patents requires the consent of Celldex, not to be unreasonably withheld or delayed. 

2.4. No Other Licenses. No right or license is granted hereunder except as expressly set forth herein. 

2.5. Patent Maintenance. Celldex shall prosecute and maintain the Licensed Patents at its expense and in its sole discretion and shall have the
right but no obligation to maintain any of the Licensed Patents. Celldex shall, from time to time (no less than [**] or upon Argos’ reasonable request, such requests not exceeding [**] per year) provide Argos with copies of any patents issued
in respect of the Licensed Patents and with written notice of the abandonment, termination or cancellation of any patent rights in respect of the Licensed Patents. Argos agrees to cooperate fully with Celldex in securing any available patent term
extensions or Supplementary Protection Certificates (SPCs) in respect of the Licensed Patents in Celldex’s name. Upon Celldex’s reasonable request, Argos shall promptly provide copies of any regulatory marketing authorizations, product
licenses and supporting development information as may be necessary or helpful in the pursuit of such patent term extensions or SPCs. Celldex shall use such information solely for the purposes set forth in this paragraph and shall otherwise treat
such information as Argos’s Confidential Information. Nothing herein shall be deemed to limit the ability of Argos to seek patent term extensions or SPCs with respect to any other patent rights owned, licensed or otherwise controlled by Argos.

 3. PAYMENTS. 
 3.1.
Upfront and Annual License Fee. In consideration of the license granted hereunder, Argos shall pay to Celldex an upfront license fee of one hundred thousand US dollars (US$100,000.00). payable fifty percent (50%) within three
(3) business days after execution of this Agreement and fifty percent (50%) upon the earlier of (a) the initiation (i.e., administration of the first dose to a human subject) of the next clinical trial of Product sponsored by Argos in
the Field, or (b) January 31, 2012 (“Upfront License Fee”). Additionally, in order to maintain the license granted hereunder, Argos shall pay Celldex an annual license fee of seventy-five thousand US dollars (US$75,000.00)
on each anniversary of the Effective Date, until the first commercial sale of a Product (“Annual Fee”). 

  
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 3.2. Milestone. Upon the first commercial sale of a Product during the Term, Argos will pay Celldex a
milestone payment of [**] US dollars (US$[**]), less the amount of the Upfront License Fee and Annual Fees already paid to Celldex. 
 3.3.
Royalties. Within [**] days after the end of each calendar year during the Term commencing with the calendar year which includes the first commercial sale of a Product, Argos will pay to Celldex a royalty payment of [**] US dollars ($[**])
per dose of Product sold by Argos, its Affiliates or sublicensees during that year subject to an annual maximum royalty amount of [**] US dollars (US$[**]). 
 3.4. Manner of Payment. Payments to be made by Argos to Celldex under this Agreement shall be payable in United States dollars and shall be paid by bank wire transfer in immediately available funds
to such account as Celldex may designate by written notice. 
 4. REPRESENTATIONS AND WARRANTIES; DISCLAIMER; LIABILITY.

 4.1. Representations and Warranties. 
 4.1.1. Celldex represents and warrants to Argos that (a) it is the assignee of the Licensed Patents and has all requisite power and authority to enter into this Agreement and to grant the licenses
granted by it hereunder, (b) execution of this Agreement has been duly authorized, (c) this Agreement is fully binding and enforceable in accordance with its terms, (d) Celldex’s execution and performance under this Agreement
does not conflict with any other agreement, contracts or other arrangements related to the Licensed Patents to which Celldex is party, and (e) the Licensed Patents listed on Exhibit A constitute all of the Licensed Patents issued or
applied for which remain in force to Celldex’s knowledge as of the Effective Date. 
 4.1.2. Argos represents and warrants
to Celldex that: (a) it has all requisite power and authority to enter into this Agreement and to perform its obligations under this Agreement, (b) execution of this Agreement has been duly authorized, (c) this Agreement is fully
binding and enforceable in accordance with its terms, and (d) Argos’s execution and performance under this Agreement does not conflict with any other agreement, contracts or other arrangements to which Argos is party. 

4.2. WARRANTY DISCLAIMER. EXCEPT AS EXPRESSLY SET FORTH IN THIS AGREEMENT, CELLDEX MAKES NO REPRESENTATIONS AND EXTENDS NO WARRANTIES OF ANY KIND,
EITHER EXPRESS OR IMPLIED, INCLUDING ANY EXPRESS OR IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE WITH RESPECT TO THE LICENSED PATENTS RIGHTS OR ANY LICENSE GRANTED BY CELLDEX HEREUNDER, OR WITH RESPECT TO ANY PRODUCTS OR
SERVICES OF ARGOS. FURTHERMORE, NOTHING IN THIS AGREEMENT SHALL BE CONSTRUED AS A WARRANTY THAT ANY PATENT OR OTHER PROPRIETARY RIGHTS INCLUDED IN THE LICENSED PATENTS ARE VALID OR ENFORCEABLE OR THAT ARGOS’ ACTIVITIES RELATED TO ITS RIGHTS
GRANTED PURSUANT TO THIS AGREEMENT OR CONTEMPLATED HEREUNDER WILL NOT INFRINGE ANY PATENT RIGHTS OR OTHER INTELLECTUAL PROPERTY RIGHTS OF ANY THIRD PARTY. 

  
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 4.3. Liability, Indemnification. Argos shall bear all risk and responsibility and liability for all
of its activities in exercising its rights under this Agreement and shall indemnify and hold Celldex and its Affiliates and their respective directors, officers and employees harmless against any and all claims, demands, losses, costs, expenses
(including attorney fees), damages and judgments related to its activities in exercising its rights under this Agreement including but not limited to: product liability; any claim for death, bodily injury or property damage arising from the
research, development, manufacture, use, distribution, sale or commercialization of any Product or Process by Argos, its Affiliates, sublicensees, employees or agents; Argos’s breach of the Agreement and/or Argos’s or any of its
Affiliates’, agents’, manufacturers’ or sublicensees’ negligence or willful misconduct. 
 5. REPORTING &
AUDITING. 
 5.1. Record Keeping. For the duration of the Term of this Agreement plus [**] years, Argos agrees that it
will keep accurate and complete records, relevant to: 
  

	 	(a)	The first commercial sale of the Product; and 

  

	 	(b)	the number of doses of Product sold. 

 5.2.
Yearly Reporting. Argos shall provide Celldex with detailed product development and royalty reports within [**] days after the end of each calendar year. 
 5.3. First Commercial Sale. Argos shall report to Celldex the first commercial sale of Product promptly upon its occurrence. 
 5.4. Audit. At any time during the term of this Agreement and for a period of [**] years thereafter, Celldex may, upon not less than [**] days advance written notice, have the records of Argos
reviewed and examined by an auditor reasonably acceptable to Argos. If any examination requested by Celldex pursuant to this Section reveals an underreporting or underpayment of five percent (5%) or more, Argos shall bear the full cost of such
audit and shall remit any amounts due to Celldex within [**] days of receiving such notice of amounts due. 
 6. ASSIGNMENT.

 6.1. Non Assignment by Argos. Except as set forth in Section 6.3, this Agreement is not assignable by Argos to any person other
than an Affiliate without Celldex’s prior written consent, which shall not be unreasonably withheld.  
 6.2. Assignment by
Celldex. Celldex may at any time, without Argos’ consent, assign its rights and obligations hereunder in connection with the transfer of the Licensed Patents, provided that such assignee or successor in interest agrees in writing to be
bound by the terms of this Agreement. 
 6.3. Change in Control of Argos. Argos may transfer the license granted hereunder in connection
with a merger, change in control or the sale or other disposition of all or substantially all of its rights to Product; provided, however, that Argos is required to pay Celldex a fee of [**] US dollars (US$[**]) upon the first occurrence of such an
event during the Term. The fee payable under this Section shall be payable one (1) time only. For clarification, a bona fide financing shall not be deemed to constitute a change in control. 

7. TERM AND TERMINATION. 

  
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 7.1. Term. This Agreement, unless earlier terminated, shall remain in full force and effect on a
country-by-country basis until the expiration of the last to expire of any Valid Claim included in the Licensed Patents in such country. 
 7.2.
Termination for breach. Upon any material breach of this Agreement by either Party (in such capacity, the “Breaching Party”), the other Party may terminate this Agreement by providing [**] days written notice to the Breaching
Party, specifying the material breach. The termination shall become effective at the end of the [**] day period unless: (i) the Breaching Party cures such breach during such [**] day period, (ii) if such breach is not susceptible to cure
within [**] days of the receipt of written notice of the breach, the Breaching Party is diligently pursuing a cure (unless such breach, by its nature, is incurable, in which case the Agreement may be terminated immediately), or (iii) the
Breaching Party has commenced dispute resolution pursuant to Section 8.2 (in which event, such termination shall not be effective unless the arbitrator determines that the Party in breach has materially breached or defaulted in the performance
of any of its material obligations hereunder); provided, however, in the case of a failure to pay any amount due hereunder, such default may be the basis of termination [**] business days following the date that notice of such default was provided
to the Breaching Party. If Argos or any of its its Affiliates or any manufacturer or sublicensee commences any legal proceeding that challenges the validity, enforceability or ownership of any of the Licensed Patents, Celldex shall have the right to
immediately terminate the license granted by Celldex pursuant to Section 2 under the challenged patent(s) by giving written notice to Argos. 
 7.3. Termination by Argos At Will. Argos shall have the right to terminate this Agreement upon written notice to Celldex. 
 7.4. Effect of Termination. Upon termination or expiration of this Agreement, for any reason, all rights and licenses granted to Argos hereunder shall terminate. The termination of this Agreement
shall not affect any rights or obligations of either Party that have accrued or matured prior to termination and which are intended by the Parties to survive termination Without limiting the generality of the foregoing, early termination of this
Agreement shall in no event remove Argos’ obligation to pay the full Upfront License Fee. For avoidance of doubt, the second fifty percent (50%) of the Upfront License Fee shall remain payable in full by Argos under Section 3.1 of
this Agreement upon the earlier of (a) the initiation (i.e., administration of the first dose to a human subject) of the next clinical trial of Product sponsored by Argos in the Field, or (b) January 31, 2012 regardless of the date of
any termination or expiration of this Agreement and regardless of whether or not any such termination or expiration may be before or after the earlier of 3.1(a) or 3.1(b). 
 7.5 Survival. The provisions of Sections 3, 4, 5, 7.4 and 8 of this Agreement, as well as any other Sections or defined terms referred to in such Sections or necessary to give them effect shall
survive termination or expiration of this Agreement and remain in force until discharged in full. Furthermore, any other provisions required to interpret and enforce the parties’ rights and obligations or to wind up their outstanding
obligations under this Agreement shall survive to the extent required. 
  

	8.	MISCELLANEOUS. 

 8.1 Recitals
and Headings. Recitals, headings and captions of the Articles and Sections hereof are for convenience only and are not to be used in the interpretation of this Agreement. 

  
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 8.2. Applicable Law; Arbitration. The Parties agree that all disputes arising under this Agreement
shall be determined in accordance with the laws of the State of New York, without regard to conflict of laws principles which would dictate the application of the law of a different jurisdiction. 

8.3 Entire Agreement. This Agreement, including any exhibits or attachments hereto constitutes the complete and final understanding of Celldex and
Argos with respect to the subject matter hereof, and supersedes any and all oral and/or written communications or understandings relating to the subject matter hereof, provided however that the Parties remain obligated under any confidentialty or
nondisclosure agreement previously entered into between them. 
 8.4 Waivers and Modifications. The failure of any Party to insist on the
performance of any obligation hereunder shall not be deemed to be a waiver of such obligation. Waiver of any breach of any provision hereof shall not be deemed to be a waiver of any other breach of such provision or any other provision. No waiver,
modification, release or amendment of any obligation under or provision of this Agreement shall be valid or effective unless in writing and signed by both Parties hereto. 
 8.5 Relationship of the Parties. It is expressly agreed that the relationship between Argos and Celldex shall not constitute a partnership, joint venture or agency. Neither Argos nor Celldex shall
have the authority to make any statements, representations or commitments of any kind, or to take any action, which shall be binding on the other, without the prior consent of the other Party to do so. 

8.6 Counterparts. This Agreement may be executed in counterparts with the same effect as if both Parties had signed the same document. All such
counterparts shall be deemed an original, shall be construed together and shall constitute one and the same instrument. 
 8.7
Severability. In performing this Agreement, the Parties shall comply with all applicable laws. Wherever there is any conflict between any provision of this Agreement and any law, the law shall prevail, but in such event the affected provision
of this Agreement shall be limited or eliminated only to the extent necessary, and the remainder of this Agreement shall remain in full force and effect. In the event the terms of this Agreement are materially altered as a result of the foregoing,
the Parties shall renegotiate in good faith the terms of this Agreement to resolve any inequities. 
  

	8.8	Confidentiality. 

 (a) As used in this Agreement, the term “Confidential Information” means any technical or business information furnished by one Party (the “Disclosing Party”) to the other Party (the
“Receiving Party”) in connection with this Agreement and specifically designated as confidential. Such Confidential Information may include, without limitation, the trade secrets, know-how, inventions, formulations, compositions, technical
data or specifications, testing methods, business or financial information, research and development activities, product and marketing plans, and customer and supplier information. Confidential Information that is disclosed in writing shall be
marked with the legend “CONFIDENTIAL.” Confidential Information that is disclosed orally or visually shall be documented in a written notice prepared by the Disclosing Party and delivered to the Receiving Party within [**] days of the date
of disclosure. Such notice shall summarize the Confidential Information disclosed to the Receiving Party and reference the time and place of disclosure. 

  
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 (b) The Receiving Party shall and shall cause its employees engaged in the
performance of this Agreement to: (i) maintain all Confidential Information in strict confidence, except that the Receiving Party may disclose or permit the disclosure of any Confidential Information to its directors, officers, employees,
consultants, and advisors who are obligated to maintain the confidential nature of such Confidential Information and who need to know such Confidential Information to perform this Agreement; (ii) use all Confidential Information solely for
purposes performing this Agreement; and (iii) reproduce the Confidential Information only to the extent necessary to perform this Agreement, with all such reproductions being considered Confidential Information. 

(c) The obligations of the Receiving Party under Section 6.1(b) shall not apply to Confidential Information to the
extent that the Receiving Party can demonstrate by competent evidence that such applicable Confidential Information: (i) was in the public domain prior to the time of its disclosure under this Agreement; (ii) entered the public domain
after the time of its disclosure under this Agreement through means other than an unauthorized disclosure resulting from an act or omission by the Receiving Party; (iii) was independently developed or discovered by the Receiving Party without
resort to such Confidential Information; (iv) is or was disclosed to the Receiving Party at any time, whether prior to or after the time of its disclosure under this Agreement, by a Third Party having no fiduciary relationship with the
Disclosing Party and having no obligation of confidentiality with respect to such Confidential Information; or (v) is required to be disclosed to comply with applicable laws or regulations, or with a court or administrative order, provided that
the Disclosing Party receives, to the extent practicable, prior written notice of such disclosure and that the Receiving Party takes all reasonable and lawful actions to obtain confidential treatment for such disclosure and, if possible, to minimize
the extent of such disclosure. 
 (d) Upon the termination by either Party of this Agreement, the Receiving Party
shall return to the Disclosing Party all originals, copies, and summaries of documents, materials, and other tangible manifestations of Confidential Information in the possession or control of the Receiving Party, except for one copy which may be
kept in the Receiving Party’s legal archives. The obligations set forth in this Section shall remain in effect for a period of [**] years after receipt of the Confidential Information by the Receiving Party. 

(e) Celldex and Argos each agree not to disclose any terms or conditions of this Agreement to any Third Party without the
prior consent of the other Party, except as required by law and for any disclosure in confidence to a Party’s accountants, counsel, financial advisors and existing and prospective sources of funding. If the filing of this Agreement with the
Securities and Exchange Commission or other applicable securities regulators is required, the parties agree to seek confidential treatment with respect to the filing of this Agreement to the extent possible. 

8.9 Notices. Any notice or other communication pursuant to this Agreement shall be sufficiently made or given on the date of mailing if sent to
such Party by facsimile on such date, with paper copy being sent by certified first class mail, postage prepaid, or by next day express delivery service, addressed to it at its address below (or such address as it shall designate by written notice
given to the other Party). 

  
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	 If to Celldex:
  

Celldex Therapeutics, Inc.
  

222 Cameron Dr.
  

Phillipsburg, NJ 08865
  

Attn: President and CEO
  

cc: Chief Business Officer
	  	 If to Argos:
  

Argos Therapeutics, Inc.
  
 4233 Technology Drive
  
 Durham,
NC 27704
  
 Attn: Patent Department

 
 with a copy to:

 
 Hutchison Law Group
 5410 Trinity Road, Suite 400
 Raleigh, NC 27607

Attn: William N. Wofford

  
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 IN WITNESS WHEREOF, the Parties hereto, intending to be legally bound, have executed this Agreement by their
duly authorized officers. 
  

									
	Celldex Therapeutics, Inc.	 		 	Argos Therapeutics, Inc.
					
	By:	 	/s/ Ronald A. Pepin	 		 	By:	 	/s/ Jeffrey D. Abbey
					
	Name:	 	Ronald A. Pepin, Ph.D.	 		 	Name:	 	Jeffrey D. Abbey
					
	Title:	 	SVP and Chief Business Officer	 		 	Title:	 	President & CEO

  
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 Exhibit A 
 Licensed Patents 
 US Patents: 

 

					
	Patent No	  	Title	 	Issue date
	 [**]
	  	[**]	 	[**]
	 [**]
	  	[**]	 	[**]
	 [**]
	  	[**]	 	[**]
	 [**]
	  	[**]	 	[**]
	
[**]
	  	[**]	 	[**]

 Patents outside the US 
  

					
	Patent No	  	Title	 	Issue date
	 [**]
	  	[**]	 	[**]
	 [**]
	  	[**]	 	[**]
	
[**]
	  	[**]	 	[**]

  
 10Collaboration Termination Agreement

 Confidential Materials omitted and filed separately with the Securities 

and Exchange Commission. Asterisks denote omissions. 
 Exhibit 10.22 
 COLLABORATION TERMINATION AGREEMENT 

This Collaboration Termination Agreement (“Agreement”) dated the 31st day of December, 2009 (the “Termination
Date”) is by and between Argos Therapeutics, Inc. (formerly known as Merix Bioscience, Inc.), a corporation organized and existing under the laws of the State of Delaware and having its principal office at 4233 Technology Drive, Durham,
North Carolina 27704 (“Argos”), and Kyowa Hakko Kirin Co., Ltd. (formerly known as Kirin Brewery Company, Limited), a Japanese corporation having its principal office at 1-6-1 Ohtemachi, Chiyoda-ku, Tokyo, 100-8185 Japan
(“KHK”). 
 WHEREAS, Argos and KHK previously entered into that certain Collaboration and License Agreement
dated June 17, 2004, as amended (the “Collaboration Agreement”); 
 WHEREAS, Argos and KHK now wish to
terminate the Collaboration Agreement, to preserve certain rights provided for in that agreement and to set forth new terms relating to the relationship between the Parties; and 

WHEREAS, Argos and KHK desire to enter into this Agreement to set forth the rights and interests of the parties herein to certain
intellectual property that was developed under or was otherwise the subject of the Collaboration Agreement. 
 NOW, THEREFORE,
Argos and KHK agree as follows: 
  

	 	1.	Termination. The Collaboration Agreement and all licenses granted thereunder are hereby terminated and the collaboration on the Research Program ceased effective
as of the Termination Date and each party is no longer responsible for any costs on the Research Program incurred after the Termination Date; provided, however, that the parties agree that the applicable provisions of the Collaboration
Agreement that survive termination shall apply to the rights and obligations of the parties under the Agreement after the Termination Date. Except as expressly set forth herein, this Agreement shall not limit or otherwise affect any term or
provision of the Collaboration Agreement. This Agreement and the Collaboration Agreement with its amendments must be construed as a single agreement between the parties. 

 

	 	2.	Independent Research Program. After the Termination Date, subject to the terms and conditions set forth herein, Argos may pursue, at its sole discretion, any
research programs within the scope of the Research Program defined as in the Collaboration Agreement and KHK may pursue, at its sole discretion, any research programs within the scope of the Potential Program Cell Therapeutic as defined and
designated in Section 9 herein. For the avoidance of doubt, this provision shall not restrict each party from any other research and development programs whether inside or outside of the scope of the Collaboration Agreement.

  

	 	3.	 Burdened Technology. The Parties agree and acknowledge that if one party commercializes any products developed hereunder without the other
party’s involvement, it might require technologies licensed by third parties for such commercialization (“Burdened Technology”). Burdened Technologies as necessary

	 	
for commercialization are disclosed by both parties as in Exhibit F hereto. In case one party needs a license on the Burdened Technology from third parties, the non-involving party, which
has contractual relationship with such third parties, shall cooperate with such requesting party so that it would obtain a license from such third party directly or a sublicense from the non-involving party. 

 

	 	4.	Royalties on Future Sales. Argos agrees that obligations of royalty payments on any Royalty-Bearing Product under the Collaboration Agreement shall survive after
the Termination Date; provided, however, that notwithstanding the definition thereof in the Collaboration Agreement, Royalty-Bearing Product shall mean an AGS-003 Product, an AGS-004 Product or a product “comparable” to an AGS-003 Product
or an AGS-004 Product. AGS-003 Product means the therapeutic vaccine product for the treatment of renal cell carcinoma described in the INDs and CMCs (as amended) on file with the FDA as of the Termination Date and AGS-004 Product means the
therapeutic vaccine product for the treatment of HIV described in the INDs and CMCs (as amended) on file with the FDA as of the Termination Date. A product is deemed comparable to an AGS-003 Product or an AGS-004 Product if the product is approved
for commercial sale without a requirement by the FDA (or a comparable regulatory body) to conduct any additional scientific or clinical studies (beyond those required for approval of AGS-003 or AGS-004 in its current formulation) other than a study
demonstrating that the product is bioequivalent to AGS-003 Product or AGS-004 Product. A product is not a Royalty-Bearing Product if FDA requires a Phase I clinical trial of such product after the Termination Date or if such product is sold for an
indication other than renal cell carcinoma or HIV. 

  

	 	5.	Intellectual Property Ownership. Notwithstanding the provisions of the Collaboration Agreement related to the ownership and assignment of intellectual property,
Argos and KHK hereby agree as follows: 

 (a) Argos and KHK shall each have an equal ownership interest in all
patents and patent applications listed on Exhibit A and any patents claiming priority thereto, in each case limited to the countries of the United States, Japan and the European Union (with rights in any other countries owned solely by
Argos); 
 (b) Argos shall have sole ownership of all patents and patent applications listed on Exhibit B and all patent
rights claiming priority thereto; 
 (c) KHK shall have sole ownership of all patents and patent applications listed on
Exhibit C and any patents claiming priority thereto; and 
 (d) Argos shall have sole ownership in the copyrights, trade
secrets and other intellectual property identified on Exhibit D-1 and Exhibit D-2. 
 As to the items referred to
in subsection (b), KHK hereby assigns to Argos all of its right, title and interest in and to the intellectual property to be owned by Argos pursuant to this paragraph and agrees that it shall, at Argos’ expense (except as provided for in
paragraph 6 below), take any actions reasonably requested by Argos 

  
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to give effect to the ownership provisions of this paragraph. KHK certifies that it has executed such assignment, in a form suitable for recordation, prior to or concurrent with its execution of
this Agreement. The terms of the Collaboration Agreement related to the prosecution and maintenance, of jointly-owned patents shall apply with respect to patents and patent applications listed on Exhibit A and any patents claiming priority
thereto, in each case limited to the countries of the United States, Japan and the European Union. Each party shall have the unrestricted right to use, transfer and license its interest in any jointly-owned patent right without any royalty-payment
obligations otherwise provided herein, except that (i) Argos shall not transfer or license its interests in such rights in a manner that would enable a third party to market or sell a KRN7000 Product or a Regulatory DC Product (each as defined
below) unless Argos independently develops such product pursuant to paragraph 7 below and (ii) KHK shall not transfer or license its interests in such rights in a manner that would enable a third party to market or sell a product (other than a
KRN7000 Product or a Regulatory DC Product) that includes or is made with the use of MO-DC (as such term is defined in the Collaboration Agreement). 
  

	 	6.	Intellectual Property Cost Sharing. The parties agree that the terms of the Collaboration Agreement apply to any costs incurred with respect to patents from the
date of such agreement until December 31, 2009. From and after January 1, 2010, KHK shall reimburse Argos for [**]% of the costs incurred to prosecute and maintain the patents and patent applications listed on Exhibit A and any
patents claiming priority thereto, in each case limited to the countries of the United States, Japan and the European Union. KHK and Argos agree that any costs incurred for transferring titles to a new entity of patents or patent applications as a
result of corporate reorganizations or name changes shall be born solely by such new or renamed entity, whether such costs are incurred before or after January 1, 2010. Without limiting the generality of the foregoing, KHK shall promptly and at
its own expense take such actions as may be necessary in order to enable KHK to transfer to Argos all of the right title and interest of KHK (and any predecessor or affiliate) title of the patents and patent applications listed on Exhibit B,
provided that Argos shall be responsible for paying fees to record the assignment from KHK to Argos. 

  

	 	7.	 Program Know How. Exhibits D-1 and D-2 include a list of trade secrets and other know-how generated by the parties during the
Collaboration Agreement. If, between the Termination Date and August 31, 2010, either party identifies know-how which should be set forth on Exhibit D-1 or D-2 but which was omitted, the discovering party shall notify the other
party and the parties shall promptly amend such exhibit. Each party shall have the right to use such know-how for any purpose (and any other know-how developed pursuant to the Collaboration Agreement), except that (a) KHK shall have no right to
use any of the clinical data or other information only related to AGS-003 or AGS-004 referenced on Exhibit D-1, (b) KHK’s use of any material designated on Exhibit D-1 and Exhibit D-2 as “trade secret” or
“confidential” shall be subject to the confidentiality obligations referenced in paragraph 12 below and (c) KHK’s right to use such know-how shall not be construed to authorize any use in a manner that infringes any of the patent
rights identified on Exhibit B or any other patent owned by Argos (with the exception of the co-owned patents identified on 

  
 3 

	 	
Exhibit A), or any patent licensed to Argos. From the Termination Date until August 31, 2010, each Party will provide reasonable assistance to the other Party to provide the other Party with
access to or copies of any documents or information related to activities undertaken pursuant to the Collaboration Agreement. Without limiting the generality of the foregoing, KHK shall keep the KP Collabo [VPN] accessible to Argos until such date.

  

	 	8.	Reconciliation of Expenses. The parties shall use the expense reconciliation methodology set forth in the Collaboration Agreement to reconcile amounts paid and
payable for the year ended December 31, 2009 no later than June 30, 2010. 

  

	 	9.	Potential Program Cell Therapeutics. 

  

	 	a.	In accordance with Amendment No. 1 to the Collaboration Agreement, KHK and Argos designated the development programs for each of KRN7000 Product (defined below)
and Regulatory DC Product (defined below) as a “Potential Program Cell Therapeutic”. Argos and KHK hereby agree that Argos shall retain the right until the date upon which KHK files a new protocol to the IND for the next human clinical
study involving the use of KRN7000 Product following the completion of the study entitled “Phase I/II Trial of combination of autologous mature dendritic cells pulsed with alpha-galactosyl ceramide (KRN7000) and lenalidomide (LEN) in
myeloma”, to designate KRN7000 Product as a Program Cell Therapeutic or a Development Candidate. Argos shall retain the right until the date upon with KHK files a new protocol to the IND for its next human study of a Regulatory DC Product, to
designate Regulatory DC Product as a Program Cell Therapeutic or a Development Candidate. Until such time as Argos no longer has the right to designate KRN7000 Product or Regulatory DC Product as a Development Candidate, 

 

	 	b.	KHK shall, upon reasonable request, provide Argos with any information owned by or available to KHK related to such programs to enable Argos to determine whether to
make such election. In addition, KHK shall provide Argos with at least ninety days advance written notice of its intent to file an IND the filing of which would terminate Argos’ ability to designate KRN7000 Product or DC Regulatory Product as a
Program Cell Therapeutic or a Development Candidate. If Argos elects to designate KRN7000 Product or DC Regulatory Product as a Program Cell Therapeutic or a Development Candidate, Argos shall notify KHK of this election by providing KHK with
written notice of election on or before the filing of the applicable IND. 

  

	 	c.	 If Argos provides such notice of election and timely makes the payment(s) provided for in Amendment No. 1 associated with the conversion of a
Potential Program Cell Therapeutic to a Program Cell Therapeutic or a Development Candidate, then, from and after the date that such payment is made by Argos with respect to the applicable program, the program shall thereafter constitute a Program
Cell Therapeutic or a Development Candidate, as the case may be and the terms and conditions of the Collaboration Agreement (specifically including provisions related to governance by a Joint Steering Committee, 50/50 cost

  
 4 

	 	
sharing of the parties’ respective costs, ownership and control of intellectual property resulting from the joint activities), as in effect immediately prior to the Termination Date, shall
thereafter apply to the subsequent development and commercialization of KRN7000 Product or Regulatory DC Product. 

  

	 	d.	In the event of any conflict between the terms of this Agreement and the terms of the Collaboration Agreement, the terms of the Collaboration Agreement shall govern if
the matter relates exclusively to joint development and commercialization of KRN7000 Product or Regulatory DC Product and the terms of this Agreement shall govern in all other cases. 

 

	 	e.	KHK shall provide Argos with written notification if KHK determines to discontinue development of KRN7000 Product or Regulatory DC Product. If Argos notifies KHK within
[**] days of receipt of such notification that Argos elects to continue development of any such product, Argos shall have the right to develop and commercialize such product subject to (1) making the payment required under Amendment No. 1
to opt in at the applicable stage of development and (2) thereafter, Argos shall have the unilateral right to develop such product, subject to the provisions of the Collaboration Agreement applicable to a Single-Party Research Indication or
Unilateral Development Candidate, as applicable. If, following receipt of notice from KHK, Argos does not provide timely written notice and payment, Argos shall thereafter have no further right to continue the development of such potential product.

  

	 	f.	“KRN7000 Product” means the therapeutic vaccine product for the treatment of multiple myeloma described in the INDs and CMCs (as amended) on file with the FDA
as of the Termination Date. As long as a product is “comparable” with the above definition, such product is also regarded as “KRN7000 Product”. A product is deemed comparable to the current KRN7000 Product if the product is
approved for commercial sale without a requirement by the FDA (or a comparable regulatory body) to conduct any additional scientific or clinical studies (beyond those required for approval of KRN7000 Product in its current formulation) other than a
study demonstrating that the product is bioequivalent to KRN7000 Product. 

  

	 	g.	 “Regulatory DC Product” means a pharmaceutical preparation which meets all of the following criteria: (a) it includes dendritic cells
intentionally generated, induced, differentiated, obtained or derived from monocytes extracted from the individual human subject for whom the product is manufactured; (b) such dendritic cells are generated by the culture at least with GM-CSF,
IL-4, IL-10, and TGF-ß and presenting antigen(s) intentionally loaded; and (c) it involves the patent application under “Regulatory DC patents” listed in Exhibit C. As long as a product is comparable with the above definition,
such product is also regarded as “Regulatory DC Product”. A product is deemed comparable to Regulatory DC Product if the product is approved for commercial sale without a requirement by the FDA (or a comparable regulatory body) to conduct
any additional scientific or clinical studies (beyond those required for approval of Regulatory DC Product in the formulation used in the first human clinical trial) other than a study

  
 5 

	 	
demonstrating that the new product is bioequivalent to the first Regulatory DC Product tested in humans. 

 

	 	10.	Regulatory Matters. The Parties agree that, as between the parties, Argos shall have sole and exclusive ownership of any and all regulatory filings (including
INDs) related to any other activities conducted pursuant to the Collaboration Agreement, specifically including the regulatory filings listed on Exhibit E. As between the parties, each Party shall have full ownership and control of, and
responsibility for, any regulatory filing made by it or on its behalf after the Termination Date. 

  

	 	11.	Board Seat. KHK hereby agrees that notwithstanding the Third Amended and Restated Stockholders’ Agreement dated as of March 31, 2009 among Argos and
certain preferred stockholders of Argos, KHK irrevocably waives any right to designate a member of the Board of Directors of Argos. 

  

	 	12.	Confidentiality. Except as otherwise provided for in this Agreement, Article 10 (Confidentiality) in the Collaboration Agreement will survive during the term of
this Agreement and expire [**] years following termination or expiration of this Agreement. Notwithstanding the foregoing, confidentiality with respect to material identified on Exhibit D-2 as “trade secret” is perpetual.

  

	 	13.	Term. This Agreement becomes effective as of the Termination Date and shall continue in full force and effect until the last to occur of (a) expiration of
the royalty term provided for in sections 4 and 9, (b) the expiration of all of the patent rights assigned hereunder. Notwithstanding the expiration of the term of this Agreement, the assignment of rights effected pursuant to this Agreement
shall be irrevocable and perpetual. 

  

	 	14.	Dispute Resolution. In the event of any dispute under this Agreement, the parties shall resolve the matter according to the dispute resolution provisions set
forth in the Collaboration Agreement. 

  

	 	15.	Miscellaneous Provisions. 

  

	 	a.	Governing law. This Agreement shall be construed and the respective rights of the Parties determined according to the substantive laws of the State of New York
notwithstanding the provisions governing conflict of laws under such New York law to the contrary, except matters of intellectual property law which shall be determined in accordance with the intellectual property laws relevant to the intellectual
property in question. 

  

	 	b.	 Assignment. Neither Argos nor KHK may assign this Agreement in whole or in part without the prior written consent of the other, which consent
shall not be unreasonably withheld. Notwithstanding the foregoing, no consent shall be required for (a) an assignment effected in connection with a sale or other transfer of all or substantially all of a Party’s business to which this
Agreement relates if the acquirer confirms to the other Party in writing its agreement to be bound by all of the terms and conditions of this Agreement, (b) an assignment effected

  
 6 

	 	
pursuant to a merger, share exchange or similar corporate reorganization, or (c) assignment of this Agreement (or particular rights and obligations hereunder) to an affiliate.

  

	 	c.	Entire Agreement. This Agreement and the Exhibits referred to in this Agreement constitute the entire agreement between the Parties with respect to the subject
matter hereof. Notwithstanding any provision of any prior agreement indicating survival of any provision therein, this Agreement supersedes all previous arrangements with respect to the subject matter hereof, whether written or oral, including,
without limitation, the Collaboration Agreement and all amendments thereto, which the parties hereby agree is terminated in its entirety. 

  

	 	d.	Notices. Notices to Argos shall be addressed to: 

 Argos Therapeutics, Inc. 
 4233 Technology Drive 

Durham, North Carolina 27704 
 Attention: President 
 Facsimile No.: (919) 287-6301 

Telephone No.: (919) 287-6333 
 with a copy to: 
 William N. Wofford, Esq. 

Hutchison Law Group 
 5410 Trinity Road, Suite 400 
 Raleigh, North Carolina 27607 

Facsimile No.: (919) 829-9696 
 Telephone No.: (919) 829-9600 
 Notices to KHK shall be addressed to:

 Kyowa Hakko Kirin Co., Ltd. 
 1-6-1 Ohtemachi, 
 Chiyoda-ku, Tokyo, 100-8185, Japan 

Attention: Director, 
 Business Development Division 
 Facsimile No.: 81-3-3282-0093 

Telephone No.: 81-3-3282-0107 
 Either Party may change its address to which notices shall be sent by giving notice to the other Party in the manner herein provided. Any notice required or provided for by the terms of this Agreement
shall be in writing and shall be (a) sent by registered or certified mail, return receipt requested, postage prepaid, (b) sent via a reputable overnight courier service, or (c) sent by facsimile transmission, in each case properly
addressed in accordance with the paragraph above. The effective date of notice shall 

  
 7 

 
be the actual date of receipt by the Party receiving the same. 
  

	 	e.	Public Announcements. Following the Termination Date, the Parties may issue a mutually agreed press release related to the termination of the Collaboration
Agreement and the execution of this Agreement, the timing and content of which shall be mutually agreed. Thereafter, each Party shall have the right to issue such press releases as it may deem appropriate, provided that no such press release shall
contain confidential business or technical information of the other Party and provided further that neither party shall include the name of the other party in any press release without first providing the other party a copy of such public
announcement as soon as reasonably practicable under the circumstances prior to its scheduled release. Each Party shall have the right to expeditiously review and recommend changes to any announcement that includes the use of such Party’s name.

  

	 	f.	Execution in Counterparts. This Agreement may be executed in counterparts, each of which counterparts, when so executed and delivered, shall be deemed to be an
original, and all of which counterparts, taken together, shall constitute one and the same instrument. 

[SIGNATURE PAGE FOLLOWS] 

  
 8 

 IN WITNESS WHEREOF, the Parties have executed this Agreement as of the date first set forth
above. 
  

			
	ARGOS THERAPEUTICS, INC.
		
	By:	 	/s/ Jeffrey Abbey
	Name:	 	Jeffrey Abbey
	Title:	 	Chief Executive Officer

  

			
	KYOWA HAKKO KIRIN CO., LTD.
		
	By:	 	/s/ Tamao Watanabe
	Name:	 	Tamao Watanabe
	Title:	 	Director, Business Development
	Dept.	 	 

  
 9 

 EXHIBIT A – Joint Patent Rights 
 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Serial No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Serial No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

  
 10 

 EXHIBIT B – Argos Patent Rights 

[**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Application No	  	Patent No.	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Application No	  	Patent No.	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
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	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

  
 11 

 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Application No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Application No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Application No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
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[**]
	  	[**]	  	[**]	  	 	  	[**]

  
 12 

 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Serial No.	  	Patent No.	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
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	 [**]
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	 [**]
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	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Serial No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

 Patents co-owned by Argos and [**] 
 [**] 
  

									
	Argos Ref.	  	Jurisdiction	  	Serial No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

  
 13 

 EXHIBIT C – KHK Patent Rights 
 [**] 
  

									
	KHK Ref.	  	Jurisdiction	  	Application No	  	Patent No.	  	Status
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
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	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
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	 [**]
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	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	
[**]
	  	[**]	  	[**]	  	[**]	  	[**]

 [**] 
  

									
	KHK Ref.	  	Jurisdiction	  	Application No	  	Patent No.	  	Status
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

  
 14 

 [**] 
  

									
	KHK Ref.	  	Jurisdiction	  	Application No	  	Patent No	  	Status
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	 [**]
	  	[**]	  	[**]	  	 	  	[**]
	
[**]
	  	[**]	  	[**]	  	 	  	[**]

  
 15 

 EXHIBIT D-1 – Program Know-How; Copyrights & Trade Secrets 

 

							
	 Category/

Function
	  	Item specification	  	How to obtain	  	Comments if any
	
[**]
	  	[**]	  	[**]	  	[**]

 Confidential Materials omitted and filed separately with the Securities and Exchange Commission pursuant to a request for
confidential treatment. A total of 4 pages were omitted. 
 [**] 

  
 16 

 EXHIBIT D-2 – Program Know-How; Copyrights & Trade Secrets (Automation) 

 

					
	 Category/

Function
	  	Item specification	  	How to obtain
	 	 	 
	 	  		  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]
	 	  	[**]	  	[**]

 [**] 

  
 17 

 EXHIBIT E – Argos Regulatory Filings 

 

									
	Agency	  	IND #	  	Serial #	  	Date	  	Submission Title
	
[**]
	  	[**]	  	[**]	  	[**]	  	[**]

 Confidential Materials omitted and filed separately with the Securities and Exchange Commission pursuant to a request for
confidential treatment. A total of 2 pages were omitted. 
 [**] 

  
 18 

 EXHIBIT F – Burdened Technologies Obligations Related to Joint Patent Rights

 KHK Burdened Technology Obligations 
  

									
	Agreement	  	Relevant IP	  	Financial
Terms	  	Limitations
on field or
exclusivity	  	Right to
enforce and
defend patents
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]	  	[**]
	
[**]
	  	[**]	  	[**]	  	[**]	  	[**]

 Argos Burdened Technology Obligations 

 

									
	Agreement	  	Relevant IP	  	Financial
Terms	  	Limitations
on field or
exclusivity	  	Right to
enforce and
defend patents
	
[**]
	  	[**]	  	[**]	  	[**]	  	[**]

  
 19

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