Document:

EX-10.2

 Exhibit 10.2 

REGISTRATION RIGHTS AGREEMENT 

THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of September 12, 2019,
by and between ZIOPHARM Oncology, Inc., a Delaware corporation (the “Company”), and the purchaser set forth on Schedule 1 hereto (the “Purchaser”), and shall become effective as of the Closing (as defined in
the Issuance Agreement, defined below). 
 RECITALS 

A. In connection with the Securities Issuance Agreement, by and between the Company and the Purchaser, dated as of September 12, 2019
(the “Issuance Agreement”), the Company has agreed, upon the terms and conditions stated in the Issuance Agreement, to issue to the Purchaser on the Closing Date a warrant to acquire the number of shares of Company Common Stock set
forth opposite the Purchaser’s name on Schedule 1 hereto (each a “Warrant” and collectively, the “Warrants”). 

B. To induce the Purchaser to execute and deliver the Issuance Agreement, the Company has agreed to provide certain registration rights under
the Securities Act, and applicable state securities laws. 
 AGREEMENT 

NOW, THEREFORE, IN CONSIDERATION of the mutual covenants contained in this Agreement, and for other good and valuable
consideration the receipt and adequacy of which are hereby acknowledged, the Company and the Purchaser agree as follows: 
 ARTICLE I

 DEFINITIONS 
 Capitalized terms
used and not otherwise defined herein shall have the meanings given such terms in the Issuance Agreement. As used in this Agreement, the following terms shall have the following meanings: 

“Affiliate” means, with respect to any Person, any other Person that directly or indirectly controls or is controlled by or
under common control with such Person. For the purposes of this definition, “control,” when used with respect to any Person, means the possession, directly or indirectly, of the power to direct or cause the direction of the
management and policies of such Person, whether through the ownership of voting securities, by contract or otherwise; and the terms “affiliated,” “controlling” and “controlled” have meanings
correlative to the foregoing. 
 “Board” means the Board of Directors of the Company. 

“Business Day” means any day except Saturday, Sunday and any day which shall be a legal holiday or a day on which banking
institutions in the state of New York generally are authorized or required by law or other government actions to close. 

  
 1. 

 “Closing Date” means the date of the closing of the issuance of the
Warrants pursuant to the Issuance Agreement. 
 “Commission” means the Securities and Exchange Commission. 

“Company Common Stock” means the Company’s common stock, par value $0.001 per share. 

“Effectiveness Date” means the date the Registration Statement has been declared effective by the Commission. 

“Effectiveness Period” shall have the meaning set forth in Article II. 

“Exchange Act” means the Securities Exchange Act of 1934, as amended. 

“Filing Date” means the sixtieth (60th) Business Day following the
Closing Date; provided, however, that if the Filing Date falls on a day that is not a Business Day, then the Filing Date shall be extended to the next Business Day. 

“Holder” or “Holders” means the holder or holders, as the case may be, from time to time of Registrable
Securities. 
 “Indemnified Party” shall have the meaning set forth in Section 5.3(a). 

“Indemnifying Party” shall have the meaning set forth in Section 5.3(a). 

“Losses” shall have the meaning set forth in Section 5.1. 

“Person” means an individual or a corporation, partnership, trust, incorporated or unincorporated association, joint venture,
limited liability company, joint stock company, government (or an agency or political subdivision thereof) or other entity of any kind. 

“Proceeding” means an action, claim, suit, investigation or proceeding (including, without limitation, an investigation or
partial proceeding, such as a deposition), whether commenced or threatened. 
 “Prospectus” means any prospectus included
in a Registration Statement (including, without limitation, a prospectus that includes any information previously omitted from a prospectus filed as part of an effective registration statement in reliance upon Rule 430A promulgated under the
Securities Act), as amended or supplemented by any prospectus supplement, with respect to the terms of the offering of any portion of the Registrable Securities covered by a Registration Statement, and all other amendments and supplements to any
such Prospectus, including post-effective amendments, and all material incorporated by reference in such Prospectus. 

  
 2. 

 “Registrable Securities” means shares of Company Common Stock issued or
issuable to the Purchaser upon exercise of the Warrants; provided, however, that the applicable Holder has completed and delivered to the Company a Selling Stockholder Questionnaire; and provided further that such securities shall no
longer be deemed Registrable Securities if (i) such securities have been sold pursuant to a Registration Statement, (ii) such securities have been sold in compliance with Rule 144, or (ii) all such securities may be sold without
limitation or restriction pursuant to Rule 144. 
 “Registration Statement” means the registration statements and any
additional registration statements contemplated by Article II, including (in each case) the related Prospectus, amendments and supplements to such registration statement or Prospectus, including pre- and
post-effective amendments, all exhibits thereto, and all material incorporated by reference in such registration statement. “Registration Statement” shall include the Company’s existing automatic Registration Statement on Form S-3 filed on June 21, 2019 (File no. 333-232283) if the Company elects to file a post-effective amendment or a prospectus supplement pursuant to such Registration
Statement that would be deemed to be part of such existing automatic Registration Statement in accordance with Rule 430B under the Securities Act and would permit the sale and distribution of all the Registrable Securities (an “ASR Pro
Supp”). 
 “Rule 144” means Rule 144 promulgated by the Commission pursuant to the Securities Act, as such Rule
may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule. 

“Rule 415” means Rule 415 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended from time
to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule. 

“Securities Act” means the Securities Act of 1933, as amended. 

“Selling Stockholder Questionnaire” means a questionnaire in the form attached as Annex B hereto, or such other form
of questionnaire as may reasonably be requested by the Company from time to time. 
 “Transaction Documents” means this
Agreement, the Issuance Agreement, and the schedules and exhibits attached hereto and thereto. 
 ARTICLE II 

REGISTRATION 
 2.1
Registration Obligations; Filing Date Registration. The Company shall use reasonable best efforts to prepare and file with the Commission on or prior to the Filing Date a Registration Statement covering the resale of the Registrable
Securities as would permit the sale and distribution of all the Registrable Securities from time to time pursuant to Rule 415 in the manner reasonably requested by the Holder. The Registration Statement shall be on Form S-3 (except if the Company is not then eligible to register for resale the Registrable Securities on Form S-3, in which case such registration shall be on another appropriate
form in accordance with the Securities Act and the rules promulgated thereunder and the Company shall undertake to register the Registrable Securities on Form S-3 as soon as practicable following the
availability of such form, provided that the Company shall use reasonable best efforts to maintain the effectiveness of the Registration Statement then in effect until such time as a Registration Statement on Form
S-3 covering the Registrable Securities has been declared effective by the 

  
 3. 

 
Commission). The Registration Statement shall contain the “Plan of Distribution” section in substantially the form attached hereto as Annex A. The Company shall use reasonable
best efforts to cause the Registration Statement filed by it to be declared effective under the Securities Act as promptly as practicable after the filing thereof but in any event on or prior to the Effectiveness Date, and, subject to
Section 3.1(m) hereof, to keep such Registration Statement continuously effective under the Securities Act until the earlier of (i) such date as all Registrable Securities covered by such Registration Statement have ceased to be
Registrable Securities or (ii) the date that is two (2) years following the Closing Date (the “Effectiveness Period”). If an ASR Pro Supp is not used to comply with this Section 2.1 , then by 4:00 p.m. (New York City
time) on the Business Day following the Effectiveness Date, the Company shall file with the Commission in accordance with Rule 424 under the Securities Act the final prospectus to be used in connection with sales pursuant to such Registration
Statement. For the avoidance of doubt, the Company may elect, in its sole discretion, to satisfy its obligations pursuant to this Agreement by filing an ASR Pro Supp on or prior to the Filing Date in lieu of a new Registration Statement, in which
case the Company shall have satisfied its obligations pursuant to this Section 2.1 in full, and such ASR Pro Supp shall constitute a “Registration Statement” for all purposes under this Agreement, with such necessary changes in the
details of the provisions of this Agreement as are necessitated by the context, including, without limitation, to take into account that the ASR Pro Supp is a Prospectus filed after the effectiveness of a Registration Statement and not a newly filed
Registration Statement. 
 2.2 Effect of Failure to File Registration Statement. If (i) a Registration Statement (including by
the amendment or supplement of an existing automatic shelf registration statement) covering all of the Registrable Securities required to be covered thereby and required to be filed by the Company pursuant to this Agreement is not filed with the
Commission within 120 Business Days following the Closing Date (a “Filing Failure”), then, in satisfaction of the damages to any holder of Registrable Securities by reason of any such delay in or reduction of its ability to sell the
underlying shares of Company Common Stock (which remedy shall not be exclusive of any other remedies available at law or in equity), the Company shall pay to each such holder of Registrable Securities relating to such Registration Statement an
amount in cash equal to one half of one percent (0.5%) of the aggregate 2019 Warrant Exercise Price (as such term is defined in the Issuance Agreement) of such Holder’s Registrable Securities included in such Registration Statement or ASR Pro
Supp, as applicable, on the day of a Filing Failure and on every thirtieth day (pro rated for shorter periods) thereafter until such Filing Failure is cured. The payments to which a Holder shall be entitled pursuant to this Section 2.2 are
referred to herein as “Registration Delay Payments.” Registration Delay Payments shall be paid on the earlier of (i) the last day of the calendar month during which such Registration Delay Payments are incurred and
(ii) the third (3rd) Business Day after the event or failure giving rise to the Registration Delay Payments is cured. In the event the Company fails to make Registration Delay Payments in a
timely manner, such Registration Delay Payments shall bear simple interest at the rate of three percent (3.0%) of such unpaid Registration Delay Payment per annum (pro rated for shorter periods) until paid in full. Notwithstanding anything to the
contrary herein or in the Issuance Agreement, in no event shall the aggregate amount of Registration Delay Payments exceed, in the aggregate, five percent (5%) of the aggregate 2019 Warrant Exercise Price of the Warrants. 

  
 4. 

 ARTICLE III 

REGISTRATION PROCEDURES 

3.1 Registration Procedures. In connection with the Company’s registration obligations hereunder, the Company shall: 

(a) Prepare and file with the Commission on or prior to the Filing Date, (including by the amendment or supplement of an existing automatic
shelf registration statement) a Registration Statement on Form S-3 (or if the Company is not then eligible to register for resale the Registrable Securities on Form S-3
such Registration Statement shall be on another appropriate form in accordance with the Securities Act and the rules and regulations promulgated thereunder) in accordance with the method or methods of distribution thereof as described on Annex
A hereto (except if otherwise directed by all of the Holders) , and use reasonable best efforts to cause the Registration Statement to become effective and remain effective as provided herein. 

(b) Prepare and file with the Commission such amendments, including post-effective amendments, to the Registration Statement as may be
necessary to keep the Registration Statement continuously effective (subject to Section 3.1(m)) as to the applicable Registrable Securities for the Effectiveness Period and prepare and file with the Commission such additional Registration
Statements, if necessary, in order to register for resale under the Securities Act all of the Registrable Securities; cause the related Prospectus to be amended or supplemented by any required Prospectus supplement, and as so supplemented or amended
to be filed pursuant to Rule 424 (or any similar provisions then in force) promulgated under the Securities Act; respond promptly to any comments received from the Commission with respect to the Registration Statement or any amendment thereto and
promptly provide the Holders true and complete copies of all correspondence from and to the Commission relating to such Registration Statement; and comply in all material respects with the provisions of the Securities Act and the Exchange Act with
respect to the disposition of all Registrable Securities covered by the Registration Statement during the applicable period in accordance with the intended methods of disposition by the Holders thereof set forth in the Registration Statement as so
amended or in such Prospectus as so supplemented. 
 (c) At the time the Commission declares the Registration Statement effective or at the
time an ASR Pro Supp is filed, as applicable, each Holder shall be named as a selling stockholder in the Registration Statement and the related Prospectus in such a manner as to permit such Holder to deliver such Prospectus to purchasers of
Registrable Securities included in the Registration Statement in accordance with applicable law, subject to the terms and conditions hereof. From and after the date the Registration Statement is declared effective, any Holder not named as a selling
stockholder in the Registration Statement at the time of effectiveness or ASR Pro Supp at the time it is filed, as applicable, may request that the Company amend or supplement the Registration Statement or Prospectus, as applicable to include such
Holder as a selling stockholder, and the Company shall, as promptly as practicable and in any event upon the later of (x) ten (10) Business Days after such date or (y) ten (10) Business Days after the expiration of any Deferral Period (as
defined in Section 3.1(m)) that is either in effect or put into effect within ten (10) Business Days of such date: 

  
 5. 

 (i) if required by applicable law, prepare and file with the Commission a
post-effective amendment to the Registration Statement or prepare and, if required by applicable law, file a supplement to the related Prospectus or a supplement or amendment to any document incorporated therein by reference or file with the
Commission any other required document so that the Holder is named as a selling stockholder in the Registration Statement and the related Prospectus in such a manner as to permit such Holder to deliver such Prospectus to purchasers of such
Holder’s Registrable Securities included in the Shelf Registration Statement in accordance with applicable law and, if the Company shall file a post-effective amendment to the Registration Statement, use its reasonable best efforts to cause
such post-effective amendment to be declared effective under the Securities Act as promptly as is practicable, but in any event by the date that is sixty (60) days after the date such post-effective amendment is required by this clause to be
filed; 
 (ii) provide such Holder copies of any documents filed pursuant to Section 3.1(c)(i); and 

(iii) notify such Holder as promptly as practicable after the effectiveness under the Securities Act of any post-effective
amendment filed pursuant to Section 3.1(c)(i); 
 (d) Promptly notify the Holders of Registrable Securities (i)(A) when a Registration
Statement, a Prospectus or any Prospectus supplement or pre- or post-effective amendment to the Registration Statement is filed; (B) when the Commission notifies the Company whether there will be a
“review” of such Registration Statement and whenever the Commission comments in writing on such Registration Statement, and if requested by such Holders, furnish to them a copy of such comments and the Company’s responses thereto and
(C) with respect to the Registration Statement or any post-effective amendment filed by the Company, when the same has become effective; (ii) of any request by the Commission or any other Federal or state governmental authority for
amendments or supplements to the Registration Statement or Prospectus or for additional information of the Company; (iii) of the issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement covering
any or all of the Registrable Securities or the initiation of any Proceedings for that purpose; (iv) of the receipt by the Company of any notification with respect to the suspension of the qualification or exemption from qualification of any of
the Registrable Securities of the Company for sale in any jurisdiction, or the initiation or threatening of any Proceeding for such purpose; and (v) of the occurrence of any event that makes any statement made in the Registration Statement or
Prospectus or any document incorporated or deemed to be incorporated therein by reference untrue in any material respect or that requires any revisions to such Registration Statement, Prospectus or other documents so that, in the case of such
Registration Statement or the Prospectus, as the case may be, it will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in the light of
the circumstances under which they were made, not misleading. 
 (e) Use reasonable best efforts to avoid the issuance of, and, if issued, to
obtain the withdrawal of, (i) any order suspending the effectiveness of the Registration Statement or (ii) any suspension of the qualification (or exemption from qualification) of any of the Registrable Securities for sale in any U.S.
jurisdiction. 

  
 6. 

 (f) If requested by the Holders of a majority of the Registrable Securities,
(i) promptly incorporate in a Prospectus supplement or post-effective amendment to the Registration Statement such information as such Holders reasonably request to be included therein unless the inclusion of such information would reasonably
be expected to expose the Company to liability under federal and state securities laws and regulations and (ii) make all required filings of such Prospectus supplement or such post-effective amendment as soon as practicable after the Company
has received notification of the matters to be incorporated in such Prospectus supplement or post-effective amendment. 
 (g) Furnish to each
Holder, without charge and upon request, at least one conformed copy of each Registration Statement and each amendment thereto, including financial statements and schedules, and, to the extent requested by such Person, all documents incorporated or
deemed to be incorporated therein by reference, and all exhibits (including those previously furnished or incorporated by reference) promptly after the filing of such documents with the Commission, provided, that the Company shall have no
obligation to provide any document pursuant to this clause that is available on the Commission’s EDGAR system. 
 (h) Promptly deliver
to each Holder, without charge, as many copies of the Prospectus or Prospectuses (including each form of prospectus) and each amendment or supplement thereto as such Persons may reasonably request; and the Company hereby consents to the use of such
Prospectus and each amendment or supplement thereto by each of the selling Holders in connection with the offering and sale of the Registrable Securities covered by such Prospectus and any amendment or supplement thereto to the extent permitted by
federal and state securities laws and regulations. 
 (i) Cooperate with the Holders to facilitate the timely preparation and delivery of
certificates representing Registrable Securities of the Company to be sold pursuant to a Registration Statement. 
 (j) Upon the occurrence
of any event contemplated by Section 3.1(d)(v), as promptly as practicable prepare a supplement or amendment, including a post-effective amendment, to the Registration Statement or a supplement to the related Prospectus or any document
incorporated or deemed to be incorporated therein by reference, and file any other required document so that, as thereafter delivered, neither the Registration Statement nor such Prospectus will contain an untrue statement of a material fact or omit
to state a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. 

(k) Use reasonable best efforts to cause all Registrable Securities relating to the Registration Statement to be listed on the Nasdaq Stock
Market, LLC or any subsequent securities exchange, quotation system or market, if any, on which similar securities issued by the Company are then listed or traded. 

(l) The Company may require each selling Holder to furnish to the Company information regarding such Holder and the distribution of such
Registrable Securities as is required by law to be disclosed in the Registration Statement, and the Company may exclude from such registration the Registrable Securities of any such Holder who fails to furnish such information within fifteen
(15) days after receiving such request. 

  
 7. 

 (m) If (i) there is material non-public
information regarding the Company which the Board reasonably determines not to be in the Company’s best interest to disclose and which the Company is not otherwise required to disclose, or (ii) there is a significant business opportunity
(including, but not limited to, the acquisition or disposition of assets (other than in the ordinary course of business) or any merger, consolidation, tender offer or other similar transaction) available to the Company which the Board reasonably
determines not to be in the Company’s best interest to disclose, then the Company may postpone or suspend filing or effectiveness of a Registration Statement for a period (a “Deferral Period”) not to exceed sixty
(60) consecutive days, provided that the Company may not postpone or suspend its obligation under this Section 3.1(m) for more than ninety (90) days in the aggregate during any 12-month period;
provided, however, that no such postponement or suspension by the Company shall be permitted for more than one sixty (60) day period, arising out of the same set of facts, circumstances or transactions. 

(n) The Company shall use reasonable best efforts to register or qualify, or cooperate with the Holders of the Registrable Securities included
in the Registration Statement in connection with the registration or qualification of, the resale of the Registrable Securities under applicable securities or “blue sky” laws of such states of the United States as any such Holder requests
in writing and to do any and all other acts or things necessary or advisable to enable the offer and sale in such jurisdictions of the Registrable Securities covered by the Registration Statement; provided, however, that the Company shall not be
required to (i) qualify generally to do business in any jurisdiction where it is not then so qualified or (ii) take any action that would subject it to general service of process or to taxation in any jurisdiction to which it is not then
so subject. 
 (o) The Company will comply with all rules and regulations of the Commission to the extent and so long as they are applicable
to the Registration and will make generally available to its security holders (or otherwise provide in accordance with Section 11(a) of the Securities Act) an earnings statement (which need not be audited) satisfying the provisions of
Section 11(a) of the Securities Act and Rule 158 thereunder, no later than 45 days after the end of a 12-month period (or 90 days, if such period is a fiscal year) beginning with the Company’s first
fiscal quarter commencing after the effective date of the Registration Statement. 
 3.2 Holder Obligations. 

(a) At least five (5) Business Days prior to the first anticipated filing date of a Registration Statement or ASR Pro Supp, the Company
shall notify each Holder in writing of the information the Company requires from each such Holder if such Holder elects to have any of such Holder’s Registrable Securities included in such Registration Statement or ASR Pro Supp. It shall be a
condition precedent to the obligations of the Company to complete the registration pursuant to this Agreement with respect to the Registrable Securities of a particular Holder that (i) such Holder furnish to the Company such information
regarding itself, the Registrable Securities held by it and the intended method of disposition of the Registrable Securities held by it as shall be reasonably required to effect the effectiveness of the registration of such Registrable Securities,
and (ii) the Holder execute such documents in connection with such registration as the Company may reasonably request 

  
 8. 

 (b) Each Holder covenants and agrees by its acquisition of such Registrable Securities that
(i) it will not sell any Registrable Securities under the Registration Statement until it has received copies of the Prospectus as then amended or supplemented as contemplated in Section 3.1(h) and notice from the Company that such
Registration Statement and any post-effective amendments thereto have become effective as contemplated by Section 3.1(d) and (ii) it and its officers, directors or Affiliates, if any, will comply with the prospectus delivery requirements
of the Securities Act as applicable to them in connection with sales of Registrable Securities pursuant to the Registration Statement. 
 (c)
Upon receipt of a notice from the Company of the occurrence of any event of the kind described in Section 3.1(d)(ii), 3.1(d)(iii), 3.1(d)(iv), 3.1(d)(v) or 3.1(m), such Holder will forthwith discontinue disposition of such Registrable
Securities under the Registration Statement until such Holder’s receipt of the copies of the supplemented Prospectus and/or amended Registration Statement contemplated by Section 3.1(j), or until it is advised in writing by the Company
that the use of the applicable Prospectus may be resumed, and, in either case, has received copies of any additional or supplemental filings that are incorporated or deemed to be incorporated by reference in such Prospectus or Registration
Statement. 
 (d) Such Holder is bound by the “Lock Up” provisions of Section 4.1 of the Issuance Agreement and
notwithstanding any provision of this Agreement, such Holder will not sell, transfer, pledge, lend, offer or otherwise dispose of any Registrable Securities except in compliance with Section 4.1 of the Issuance Agreement. 

ARTICLE IV 
 REGISTRATION
EXPENSES 
 4.1 Registration Expenses. All reasonable fees and expenses incident to the performance of or compliance with this
Agreement by the Company (excluding underwriters’ discounts and commissions and all fees and expenses of legal counsel, accountants and other advisors for the Purchaser except as specifically provided below), except as and to the extent
specified in this Section 4.1, shall be borne by the Company whether or not a Registration Statement is filed by the Company or becomes effective and whether or not any Registrable Securities are sold pursuant to a Registration Statement. The
fees and expenses referred to in the foregoing sentence shall include, without limitation, (i) all registration and filing fees (including, without limitation, fees and expenses (A) with respect to filings required to be made with the
Nasdaq Stock Market, LLC and each other securities exchange or market on which Registrable Securities are required hereunder to be listed, (B) with respect to filings required to be made by the Company with the Financial Industry Regulatory
Authority and (C) in compliance with state securities or Blue Sky laws by the Company or with respect to Registrable Securities, (ii) messenger, telephone and delivery expenses, (iii) fees and disbursements of counsel for the Company,
(iv) Securities Act liability insurance, if the Company so desires such insurance, and (v) fees and expenses of all other Persons retained by the Company in connection with the consummation of the transactions contemplated by this
Agreement, including, without limitation, the Company’s independent public accountants). In addition, the Company shall be responsible 

  
 9. 

 
for all of its internal expenses incurred in connection with the consummation of the transactions contemplated by this Agreement (including, without limitation, all salaries and expenses of its
officers and employees performing legal or accounting duties), the expense of any annual audit, the fees and expenses incurred in connection with the listing of the Registrable Securities on any securities exchange as required hereunder. In no event
shall the Company be responsible for any underwriting, broker or similar fees or commissions of the Purchaser or, except to the extent provided for above or in the Transaction Documents, any legal fees or other costs of the Purchaser. 

ARTICLE V 

INDEMNIFICATION 
 5.1
Indemnification by the Company. The Company shall, notwithstanding any termination of this Agreement, indemnify and hold harmless each Holder, its permitted assignees, officers, directors, agents, brokers (including brokers who offer
and sell Registrable Securities as principal as a result of a pledge or any failure to perform under a margin call of Company Common Stock), underwriters, investment advisors and employees, each Person who controls any such Holder or permitted
assignee (within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act) and the officers, directors, agents and employees of each such controlling Person, and the respective successors, assigns, estate and
personal representatives of each of the foregoing, to the fullest extent permitted by applicable law, from and against any and all claims, losses, damages, liabilities, penalties, judgments, costs (including, without limitation, costs of
investigation) and expenses (including, without limitation, reasonable attorneys’ fees and expenses) (collectively, “Losses”), arising out of or relating to any untrue or alleged untrue statement of a material fact contained in
the Registration Statement, any Prospectus, as supplemented or amended, if applicable, or arising out of or relating to any omission or alleged omission of a material fact required to be stated therein or necessary to make the statements therein (in
the case of any Prospectus or form of prospectus or supplement thereto, in the light of the circumstances under which they were made) not misleading, except (i) to the extent, but only to the extent, that such untrue statements or omissions or
alleged untrue statements or omissions are based upon information regarding such Holder furnished in writing to the Company by such Holder expressly for use in such Registration Statement, such Prospectus or in any amendment or supplement thereto or
to the extent that such information relates to such Holder or such Holder’s proposed method of distribution of Registrable Securities and was furnished in writing by such Holder expressly for use therein (it being understood that each Holder
has approved Annex A hereto for this purpose); or (ii) in the case of an occurrence of an event of the type specified in Section 3.1(d)(ii)-(v), the use by a Holder of an outdated or defective Prospectus, but only if and to the
extent that following such receipt the misstatement or omission giving rise to such Loss would have been corrected; provided, however, that the indemnity agreement contained in this Section 5.1 shall not apply to amounts paid in settlement of
any Losses if such settlement is effected without the prior written consent of the Company, which consent shall not be unreasonably withheld. The Company shall notify such Holder promptly of the institution, threat or assertion of any Proceeding of
which the Company is aware in connection with the transactions contemplated by this Agreement. Such indemnity shall remain in full force and effect regardless of any investigation made by or on behalf of an Indemnified Party (as defined in
Section 5.3(a) hereof) and shall survive the transfer of the Registrable Securities by the Holder. 

  
 10. 

 5.2 Indemnification by Holders. Each Holder and its permitted assignees shall,
severally and not jointly, indemnify and hold harmless the Company, its directors, officers, agents and employees, each Person who controls the Company (within the meaning of Section 15 of the Securities Act and Section 20 of the Exchange
Act), and the directors, officers, agents or employees of such controlling Persons, and the respective successors, assigns, estate and personal representatives of each of the foregoing, to the fullest extent permitted by applicable law, from and
against all Losses, as incurred, arising out of or relating to any untrue or alleged untrue statement of a material fact contained in any Registration Statement, any Prospectus, as supplemented or amended, if applicable, or arising out of or
relating to any omission or alleged omission of a material fact required to be stated therein or necessary to make the statements therein (in the case of any Prospectus or supplement thereto, in the light of the circumstances under which they were
made) not misleading, to the extent, but only to the extent, that such untrue statement or omission or alleged untrue statement or omission is contained in or omitted from any information regarding such Holder furnished in writing to the Company by
such Holder expressly for use in therein, and that such information was reasonably relied upon by the Company for use therein, or to the extent that such information relates to such Holder or such Holder’s proposed method of distribution of
Registrable Securities and was furnished in writing by such Holder expressly for use therein (it being understood that each Holder has approved Annex A hereto for this purpose); provided, however, that in no event shall a Holder’s
liability pursuant to this Subsection 5.2, exceed the proceeds from the offering received by such Holder, except in the case of willful misconduct or fraud by such Holder. 

5.3 Conduct of Indemnification Proceedings. 

(a) If any Proceeding shall be brought or asserted against any Person entitled to indemnity hereunder (an “Indemnified
Party”), such Indemnified Party promptly shall notify the Person from whom indemnity is sought (the “Indemnifying Party”) in writing, and the Indemnifying Party shall assume the defense thereof, including the employment of
counsel reasonably satisfactory to the Indemnified Party and the payment of all fees and expenses incurred in connection with defense thereof; provided, that the failure of any Indemnified Party to give such notice shall not relieve the Indemnifying
Party of its obligations or liabilities pursuant to this Agreement, except (and only) to the extent that it shall be finally determined by a court of competent jurisdiction (which determination is not subject to appeal or further review) that such
failure shall have proximately and materially adversely prejudiced the Indemnifying Party. 
 (b) An Indemnified Party shall have the right
to employ separate counsel in any such Proceeding and to participate in the defense thereof, but the fees and expenses of such counsel shall be at the expense of such Indemnified Party or Parties unless: (1) the Indemnifying Party has agreed in
writing to pay such fees and expenses; or (2) the Indemnifying Party shall have failed promptly to assume the defense of such Proceeding and to employ counsel reasonably satisfactory to such Indemnified Party in any such Proceeding; or
(3) the named parties to any such Proceeding (including any impleaded parties) include both such Indemnified Party and the Indemnifying Party, and such Indemnified Party shall have been advised by counsel (which shall be reasonably acceptable
to the Indemnifying Party) that a conflict of interest is likely to exist if the same counsel were to represent such Indemnified Party and the Indemnifying Party (in which case, the Indemnifying Party shall be responsible for reasonable

  
 11. 

 
fees and expenses of no more than one counsel (together with appropriate local counsel) for the Indemnified Parties). The Indemnifying Party shall not be liable for any settlement of any such
Proceeding effected without its written consent, which consent shall not be unreasonably withheld or delayed. No Indemnifying Party shall, without the prior written consent of the Indemnified Party, effect any settlement of any pending Proceeding in
respect of which any Indemnified Party is or could have been a party, unless such settlement (i) includes an unconditional release of such Indemnified Party from all liability on claims that are the subject matter of such Proceeding and
(ii) does not include a statement as to or an admission of fault, culpability or a failure to act by or on behalf of any Indemnified Party. 

(c) All reasonable fees and expenses of the Indemnified Party (including reasonable fees and expenses to the extent incurred in connection with
investigating or preparing to defend such Proceeding in a manner not inconsistent with this Section) shall be paid to the Indemnified Party, as incurred, within twenty (20) Business Days of written notice thereof to the Indemnifying Party
(regardless of whether it is ultimately determined that an Indemnified Party is not entitled to indemnification hereunder; provided, that the Indemnifying Party may require such Indemnified Party to undertake to reimburse all such fees
and expenses to the extent it is finally judicially determined that such Indemnified Party is not entitled to indemnification hereunder). 

5.4 Contribution. 
 (a) If
a claim for indemnification under Section 5.1 or 5.2 is unavailable to an Indemnified Party because of a failure or refusal of a governmental authority to enforce such indemnification in accordance with its terms (by reason of public
policy or otherwise), then each Indemnifying Party, in lieu of indemnifying such Indemnified Party, shall contribute to the amount paid or payable by such Indemnified Party as a result of such Losses, in such proportion as is appropriate to reflect
the relative fault of the Indemnifying Party and Indemnified Party in connection with the actions, statements or omissions that resulted in such Losses as well as any other relevant equitable considerations. The relative fault of such Indemnifying
Party and Indemnified Party shall be determined by reference to, among other things, whether any action in question, including any untrue or alleged untrue statement of a material fact or omission or alleged omission of a material fact, has been
taken or made by, or relates to information supplied by, such Indemnifying, Party or Indemnified Party, and the parties’ relative intent, knowledge, access to information and opportunity to correct or prevent such action, statement or
omission. The amount paid or payable by a party as a result of any Losses shall be deemed to include, subject to the limitations set forth in Section 5.3, any reasonable attorneys’ or other reasonable fees or expenses incurred by such
party in connection with any Proceeding to the extent such party would have been indemnified for such fees or expenses if the indemnification provided for in this Section was available to such party in accordance with its terms. 

(b) The parties hereto agree that it would not be just and equitable if contribution pursuant to this Section 5.4 were determined by pro
rata allocation or by any other method of allocation that does not take into account the equitable considerations referred to in the immediately preceding paragraph. No Person guilty of fraudulent misrepresentation (within the meaning of
Section 11(f) of the Securities Act) shall be entitled to contribution from any Person who was not guilty of such fraudulent misrepresentation. 

  
 12. 

 (c) The indemnity and contribution agreements contained in this Article V are in addition to
any liability that the Indemnifying Parties may have to the Indemnified Parties. 
 ARTICLE VI 

RULE 144 
 6.1 Rule
144. As long as any Holder owns any Registrable Securities, the Company covenants to use its commercially reasonable efforts to timely file (or obtain extensions in respect thereof and file within the applicable grace period) all reports
required to be filed by the Company after the date hereof pursuant to Section 13(a) or 15(d) of the Exchange Act. The Company further covenants that it will take such further action as any Holder may reasonably request, all to the extent
required from time to time to enable such Person to sell the Registrable Securities without registration under the Securities Act within the limitation of the exemptions provided by Rule 144 promulgated under the Securities Act, including providing
any legal opinions relating to such sale pursuant to Rule 144. Upon the request of any Holder, the Company shall deliver to such Holder a written certification of a duly authorized officer as to whether it has complied with such requirements. 

ARTICLE VII 

MISCELLANEOUS 
 7.1
Effectiveness. The Company’s obligations hereunder shall be conditioned upon the occurrence of the Closing under the Issuance Agreement, and this Agreement shall not be effective until such Closing. If the Issuance Agreement shall be
terminated prior to the Closing, then this Agreement shall be void and of no further force or effect (and no party hereto shall have any rights or obligations with respect to this Agreement). 

7.2 Remedies. In the event of a breach by the Company or by a Holder, of any of their obligations under this Agreement, each non-breaching Holder and Company, as the case may be, in addition to being entitled to exercise all rights granted by law and under this Agreement, including recovery of damages, will be entitled to specific
performance of its rights under this Agreement. The Company and each Holder agree that monetary damages would not provide adequate compensation for any losses incurred by reason of a breach by it of any of the provisions of this Agreement and
hereby further agrees that, in the event of any action for specific performance in respect of such breach, it shall waive the defense that a remedy at law would be adequate. 

7.3 Entire Agreement; Amendment. This Agreement and the other Transaction Documents contain the entire understanding and agreement of
the parties with respect to the matters covered hereby and, except as specifically set forth herein or therein, neither the Company nor any Holder make any representation, warranty, covenant or undertaking with respect to such matters, and they
supersede all prior understandings and agreements with respect to said subject matter, all of which are merged herein. This Agreement and any term hereof may be amended, terminated or waived only with the written consent of the Company and the
Holders of at least a majority of all outstanding Registrable Securities then held by all Holders. Any amendment or waiver effected in accordance with this Section 7.3 shall be binding upon each Holder (and their permitted assigns). 

  
 13. 

 7.4 No Inconsistent Agreements. The Company will not on or after the date of this
Agreement enter into any agreement with respect to its securities that is inconsistent with the rights granted to the Holders in this Agreement or otherwise conflicts with the provisions hereof. The rights granted to the Holders hereunder do not in
any way conflict with and are not inconsistent with the rights granted to the holders of the Company’s securities under any agreement in effect on the date hereof. 

7.5 Notices. Any and all notices or other communications or deliveries required or permitted to be provided hereunder shall be in
writing and shall be deemed given and effective on the earliest of (a) the date of transmission, if such notice or communication is delivered via facsimile or email at the facsimile number or email address specified in this Section prior to
4:00 p.m. (New York City time) on a Trading Day, (b) the next Trading Day after the date of transmission, if such notice or communication is delivered via facsimile or email at the facsimile number or email address specified in this Section on
a day that is not a Trading Day or later than 4:00 p.m. (New York City time) on any Trading Day, (c) the Trading Day following the date of deposit with a nationally recognized overnight courier service, or (d) upon actual receipt by the
party to whom such notice is required to be given. The addresses, facsimile numbers and email addresses for such notices and communications are those set forth below, or such other address or facsimile number as may be designated in writing
hereafter, in the same manner, by any such Person: 
  

			
	If to the Company:	  	ZIOPHARM Oncology, Inc.
		  	1 First Avenue
		  	Parris Building, #34
		  	Boston, MA 02129
		  	Attention: General Counsel
		  	Email:
		  	Fax No.:
		
	with copies (which copies	  	Cooley LLP
	shall not constitute notice	  	500 Boylston Street
	to the Company) to:	  	Boston, MA 02116
		  	Attention: Marc Recht
		  	Email:
		  	Fax No.:
		
	If to the Purchaser:	  	

 7.6 Waivers. No waiver by either party of any default with respect to any provision, condition or
requirement of this Agreement shall be deemed to be a continuing waiver in the future or a waiver of any other provision, condition or requirement hereof, nor shall any delay or omission of any party to exercise any right hereunder in any manner
impair the exercise of any such right accruing to it thereafter. 

  
 14. 

 7.7 Successors and Assigns. This Agreement shall be binding upon and inure to the
benefit of the parties and their successors and permitted assigns and shall inure to the benefit of each Holder and its successors and assigns. The Company may not assign this Agreement or any of its rights or obligations hereunder without the prior
written consent of the Holders of at least a majority of all Registrable Securities then outstanding. 
 7.8 Assignment of Registration
Rights. The rights of each Holder hereunder, including the right to have the Company register for resale Registrable Securities in accordance with the terms of this Agreement, shall be assignable by each Holder of all or a portion of the
Registrable Securities if: (i) the Holder agrees in writing with the transferee or assignee to assign such rights, and a copy of such agreement is furnished to the Company within a reasonable time after such assignment, (ii) the Company
is, within a reasonable time after such transfer or assignment, furnished with written notice of (a) the name and address of such transferee or assignee, and (b) the Registrable Securities with respect to which such registration rights are
being transferred or assigned to such transferee or assignee, (iii) following such transfer or assignment the further disposition of such securities by the transferee or assignees is restricted under the Securities Act and applicable state
securities laws, (iv) at or before the time the Company receives the written notice contemplated by clause (ii) of this Section, the transferee or assignee agrees in writing with the Company to be bound by all of the provisions of this
Agreement, and (v) such transfer shall have been made in accordance with the applicable requirements of the Issuance Agreement. The rights to assignment shall apply to the Holders (and to subsequent) successors and assigns. 

7.9 Counterparts. This Agreement may be executed in two (2) or more counterparts, each of which shall be deemed an original, but
all of which together shall constitute one and the same instrument. Counterparts may be delivered via facsimile, electronic mail (including pdf or any electronic signature complying with the U.S. federal ESIGN Act of 2000, e.g., www.docusign.com) or
other transmission method and any counterpart so delivered shall be deemed to have been duly and validly delivered and be valid and effective for all purposes. 

7.10 Termination. This Agreement shall terminate at the end of the Effectiveness Period, except that Articles IV and V and this Article
VII shall remain in effect in accordance with their terms. 
 7.11 Governing Law; Jurisdiction. This Agreement shall be
governed by, and construed in accordance with, the internal laws of the Commonwealth of Massachusetts without regard to the choice of law principles thereof. Each of the parties hereto irrevocably submits to the exclusive jurisdiction of the state
and federal courts located in the Commonwealth of Massachusetts for the purpose of any suit, action, proceeding or judgment relating to or arising out of this Agreement and the transactions contemplated hereby. Service of process in connection with
any such suit, action or proceeding may be served on each party hereto anywhere in the world by the same methods as are specified for the giving of notices under this Agreement. Each of the parties hereto irrevocably consents to the jurisdiction of
any such court in any such suit, action or proceeding and to the laying of venue in such court. Each party hereto irrevocably waives any objection to the laying of venue of any such suit, action or proceeding brought in such courts and irrevocably
waives any claim that any such suit, action or proceeding brought in any such court has been brought in an inconvenient forum. If any party hereto shall 

  
 15. 

 
commence an action or proceeding to enforce any provisions of the Transaction Documents, then, the prevailing party in such action or proceeding shall be reimbursed by the non-prevailing party for its reasonable attorneys’ fees and other costs and expenses incurred with the investigation, preparation and prosecution of such action or proceeding. 

7.12 Cumulative Remedies. The remedies provided herein are cumulative and not exclusive of any remedies provided by law. 

7.13 Severability. If any provision hereof should be held invalid, illegal or unenforceable in any respect, then, to the fullest extent
permitted by law, (a) all other provisions hereof shall remain in full force and effect and shall be liberally construed in order to carry out the intentions of the parties as nearly as may be possible and (b) the parties shall use their
best efforts to replace the invalid, illegal or unenforceable provision(s) with valid, legal and enforceable provision(s) which, insofar as practical, implement the purposes of such provision(s) in this Agreement. 

7.14 Construction. The headings herein are for convenience only, do not constitute a part of this Agreement and shall not be deemed to
limit or affect any of the provisions hereof. The language used in this Agreement will be deemed to be the language chosen by the parties to express their mutual intent, and no rules of strict construction will be applied against any party. 

[SIGNATURE PAGES TO FOLLOW] 

  
 16. 

 IN WITNESS WHEREOF, the parties hereto have caused this Registration Rights Agreement
to be duly executed by their respective authorized officers as of the date first above written. 
  

			
	THE COMPANY:
	
	ZIOPHARM ONCOLOGY, INC.
		
	By:	 	 
		 	Laurence J.N. Cooper, M.D., Ph.D.
		 	Chief Executive Officer

 IN WITNESS WHEREOF, the parties hereto have caused this Registration Rights Agreement
to be duly executed by their respective authorized officers as of the date first above written. 
  

			
	PURCHASER:
	
	[PURCHASER]
		
	By:	 	          

	Name:
	Title:

 SCHEDULE 1 

SCHEDULE OF PURCHASER 
  

			
	
Name of Purchaser and
Address/Contact
Information
	  	 Number of shares of

Company Common
 Stock
Exercisable
 pursuant to the

Warrants

 ANNEX A 

PLAN OF DISTRIBUTION 
 The
selling stockholders, which as used herein includes donees, pledgees, transferees or other successors-in-interest selling shares of common stock previously issued and
the shares of common stock issuable upon exercise of the warrants or interests in shares of common stock received after the date of this prospectus from a selling stockholder as a gift, pledge, partnership distribution or other transfer, may, from
time to time, sell, transfer or otherwise dispose of any or all of their shares of common stock or interests in shares of common stock on any stock exchange, market or trading facility on which the shares are traded or in private transactions. The
selling stockholders may sell their shares of our common stock pursuant to this prospectus at fixed prices, at prevailing market prices at the time of sale, at prices related to the prevailing market price, at varying prices determined at the time
of sale, or at negotiated prices. 
 The selling stockholders may use any one or more of the following methods when disposing of shares or
interests therein: 
  

	 	•	 	 ordinary brokerage transactions and transactions in which the broker-dealer solicits purchasers;

  

	 	•	 	 block trades in which the broker-dealer will attempt to sell the shares as agent, but may position and resell a
portion of the block as principal to facilitate the transaction; 

  

	 	•	 	 purchases by a broker-dealer as principal and resale by the broker-dealer for its account; 

 

	 	•	 	 an exchange distribution in accordance with the rules of the applicable exchange; 

 

	 	•	 	 privately negotiated transactions; 

 

	 	•	 	 short sales; 

  

	 	•	 	 through the writing or settlement of options or other hedging transactions, whether through an options exchange
or otherwise; 

  

	 	•	 	 broker-dealers may agree with the selling stockholders to sell a specified number of such shares at a stipulated
price per share; 

  

	 	•	 	 a combination of any such methods of sale; and 

 

	 	•	 	 any other method permitted pursuant to applicable law. 

The selling stockholders may, from time to time, pledge or grant a security interest in some or all of the shares of common stock or warrants
owned by them and, if they default in the performance of their secured obligations, the pledgees or secured parties may offer and sell the shares of common stock, from time to time, under this prospectus, or under an amendment to this prospectus
under Rule 424(b)(3) or other applicable provision of the Securities Act amending the list of selling stockholders to include the pledgee, transferee or other successors in interest as selling stockholders under this prospectus. The selling
stockholders also may transfer the shares of common stock in other circumstances, in which case the transferees, pledgees or other successors in interest will be the selling beneficial owners for purposes of this prospectus. 

 In connection with the sale of our common stock or interests therein, the selling
stockholders may enter into hedging transactions with broker-dealers or other financial institutions, which may in turn engage in short sales of the common stock in the course of hedging the positions they assume. The selling stockholders may also
sell shares of our common stock short and deliver these securities to close out their short positions, or loan or pledge the common stock to broker-dealers that in turn may sell these securities. The selling stockholders may also enter into option
or other transactions with broker-dealers or other financial institutions or the creation of one or more derivative securities which require the delivery to such broker-dealer or other financial institution of shares offered by this prospectus,
which shares such broker-dealer or other financial institution may resell pursuant to this prospectus (as supplemented or amended to reflect such transaction). 

The aggregate proceeds to the selling stockholders from the sale of the common stock offered by them will be the purchase price of the common
stock less discounts or commissions, if any. Each of the selling stockholders reserves the right to accept and, together with their agents from time to time, to reject, in whole or in part, any proposed purchase of common stock to be made directly
or through agents. We will not receive any of the proceeds from this offering. 
 The selling stockholders and any underwriters,
broker-dealers or agents that participate in the sale of the common stock or interests therein may be “underwriters” within the meaning of Section 2(11) of the Securities Act. Any discounts, commissions, concessions or profit they
earn on any resale of the shares may be underwriting discounts and commissions under the Securities Act. Selling stockholders who are “underwriters” within the meaning of Section 2(11) of the Securities Act will be subject to the
prospectus delivery requirements of the Securities Act. 
 To the extent required, the shares of our common stock to be sold, the names of
the selling stockholders, the respective purchase prices and public offering prices, the names of any agents, dealer or underwriter, any applicable commissions or discounts with respect to a particular offer will be set forth in an accompanying
prospectus supplement or, if appropriate, a post-effective amendment to the registration statement that includes this prospectus. 
 In
order to comply with the securities laws of some states, if applicable, the common stock may be sold in these jurisdictions only through registered or licensed brokers or dealers. In addition, in some states the common stock may not be sold unless
it has been registered or qualified for sale or an exemption from registration or qualification requirements is available and is complied with. 

We have advised the selling stockholders that the anti-manipulation rules of Regulation M under the Exchange Act may apply to sales of shares
in the market and to the activities of the selling stockholders and their affiliates. In addition, we will make copies of this prospectus (as it may be supplemented or amended from time to time) available to the selling stockholders for the purpose
of satisfying the prospectus delivery requirements of the Securities Act. The selling stockholders may indemnify any broker-dealer that participates in transactions involving the sale of the shares against certain liabilities, including liabilities
arising under the Securities Act. 
 We have agreed to indemnify the selling stockholders against liabilities, including liabilities under
the Securities Act and state securities laws, relating to the registration of the shares offered by this prospectus. 

 We have agreed with the selling stockholders to keep the registration statement of which
this prospectus constitutes a part effective until such time as the shares offered by the selling stockholders have been effectively registered under the Securities Act and disposed of in accordance with such registration statement, the shares
offered by the selling stockholders have been disposed of pursuant to Rule 144 under the Securities Act or the shares offered by the selling stockholders may be resold pursuant to Rule 144 without restriction or limitation (including without the
requirement to be in compliance with Rule 144(c)(1)) or another similar exemption under the Securities Act. 

 ANNEX B 

SELLING STOCKHOLDER NOTICE AND QUESTIONNAIRE 

ZIOPHARM Oncology, Inc. 

Selling Stockholder Notice and Questionnaire 

The undersigned beneficial owner of common stock, $0.001 par value per share (the “Common Stock”), of ZIOPHARM Oncology, Inc.
(the “Company”), (the “Registrable Securities”) understands that the Company has filed or intends to file with the Securities and Exchange Commission (the “Commission”) a registration statement or
prospectus supplement (the “Registration Statement”) for the registration and resale under Rule 415 of the Securities Act of 1933, as amended (the “Securities Act”), of the Registrable Securities, in accordance with
the terms of the Registration Rights Agreement, dated as of September 12, 2019 (the “Registration Rights Agreement”), between the Company and the Purchaser named therein. The purpose of this Questionnaire is to facilitate the
filing of the Registration Statement under the Act that will permit you to resell the Registrable Securities in the future. The information supplied by you will be used in preparing the Registration Statement. All capitalized terms not otherwise
defined herein shall have the meanings ascribed thereto in the Registration Rights Agreement. 
 Certain legal consequences arise from being
named as a selling stockholder in the Registration Statement and the related Prospectus. Accordingly, holders and beneficial owners of Registrable Securities are advised to consult their own securities law counsel regarding the consequences of being
named or not being named as a selling stockholder in the Registration Statement and the related Prospectus. 
 NOTICE 

The undersigned beneficial owner (the “Selling Stockholder”) of Registrable Securities hereby elects to include the
Registrable Securities owned by it and listed below in Item 3 (unless otherwise specified under such Item 3) in the Registration Statement. 

QUESTIONNAIRE 
  

	1.	 Name. 

  

	 	(a)	 Full Legal Name of Selling Stockholder 

			
		 	  

  

	 	(b)	 Full Legal Name of Registered Holder (if not the same as (a) above) through which Registrable Securities
Listed in Item 3 below are held: 

			
		 	  

  

	 	(c)	 Full Legal Name of Natural Control Person (which means a natural person who directly or indirectly alone or
with others has power to vote or dispose of the securities covered by the questionnaire): 

			
		 	  

	2.	 Address for Notices to Selling Stockholder: 

	
	  

	
	  

	
	  

  

			
	Telephone: 	  	      

  

			
	Fax: 	  	  

  

			
	Contact Person: 	  	      

  

			
	E-mail address of Contact Person: 	  	  

  

	3.	 Beneficial Ownership of Registrable Securities: 

 

	 	(a)	 Type and Number of Registrable Securities beneficially owned: 

			
		 	  

		
		 	  

		
		 	  

  

	4.	 Broker-Dealer Status: 

 

	 	(a)	 Are you a broker-dealer? 

Yes  ☐      No  ☐ 

Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. 

 

	 	(b)	 Are you an affiliate of a broker-dealer? 

Yes  ☐      No  ☐ 

Note: If yes, provide a narrative explanation below: 
  

			
		 	  

		
		 	  

  

	 	(c)	 If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the
ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities?

 Yes  ☐      No  ☐ 

 Note: If no, the Commission’s staff has indicated that you should be identified as an
underwriter in the Registration Statement. 
  

	5.	 Beneficial Ownership of Other Securities of the Company Owned by the Selling Stockholder.

 Except as set forth below in this Item 5, the undersigned is not the beneficial or registered owner of any
securities of the Company other than the Registrable Securities listed above in Item 3. 
  

	 	(a)	 As of
                    , 201            , the Selling Stockholder owned
outright (including shares registered in Selling Stockholder’s name individually or jointly with others, shares held in the name of a bank, broker, nominee, depository or in “street name” for its account),
                         shares of the Company’s capital stock (excluding the Registrable Securities). If
“zero,” please so state. 

  

	 	(b)	 In addition to the number of shares Selling Stockholder owned outright as indicated in Item 5(a) above, as of
                            ,
201                , the Selling Stockholder had or shared voting power or investment power, directly or indirectly, through a contract, arrangement,
understanding, relationship or otherwise, with respect to
                                 shares of the Company’s capital stock
(excluding the Registrable Securities). If “zero,” please so state. 

 If the answer to Item 5(b)
is not “zero,” please complete the following tables: 
 Sole Voting Power: 

 

			
	 Number of

Shares
	  	 Nature of Relationship Resulting in Sole

Voting Power

Shared Voting Power: 
  

					
	 Number of

Shares
	  	 With Whom Shared
	  	 Nature of

Relationship

Sole Investment power: 
  

			
	 Number of

Shares
	  	 Nature of Relationship Resulting in Sole

Investment Power

 Shared Investment power: 

 

					
	 Number of Shares
	  	 With Whom Shared
	  	 Nature of Relationship

 

	 	(c)	 As of
                                ,
201                , the Selling Stockholder had the right to acquire the following shares of the Company’s common stock pursuant to the exercise of
outstanding stock options, warrants or other rights (excluding the Registrable Securities). Please describe the number, type and terms of the securities, the method of ownership, and whether the undersigned holds sole or shared voting and investment
power. If “none”, please so state. 

  

			
		 	  

		
		 	  

  

	6.	 Relationships with the Company: 

Except as set forth below, neither the undersigned nor any of its affiliates, officers, directors or principal equity holders (owners of 5%
of more of the equity securities of the undersigned) has held any position or office or has had any other material relationship with the Company (or its predecessors or affiliates) during the past three years. 

State any exceptions here: 

			
		 	  

		
		 	  

  

	7.	 Plan of Distribution: 

The undersigned has reviewed the form of Plan of Distribution attached as Annex A to the Registration Rights Agreement, and hereby
confirms that, except as set forth below, the information contained therein regarding the undersigned and its plan of distribution is correct and complete. 

State any exceptions here: 
  

			
		 	  

		
		 	  

 *********** 

The undersigned agrees to promptly notify the Company of any inaccuracies or changes in the information provided herein that may occur
subsequent to the date hereof and prior to the effective date of any applicable Registration Statement filed pursuant to the Registration Rights Agreement. 

 By signing below, the undersigned consents to the disclosure of the information contained
herein in its answers to Items 1 through 7 and the inclusion of such information in each Registration Statement filed pursuant to the Registration Rights Agreement and each related Prospectus. The undersigned understands that such information will
be relied upon by the Company in connection with the preparation or amendment of any such Registration Statement and the related Prospectus. 

By signing below, the undersigned acknowledges that it understands its obligation to comply, and agrees that it will comply, with the
provisions of the Exchange Act and the rules and regulations thereunder, particularly Regulation M. The undersigned also acknowledges that it understands that the answers to this Questionnaire are furnished for use in connection with Registration
Statements filed pursuant to the Registration Rights Agreement and any amendments or supplements thereto filed with the Commission pursuant to the Securities Act. 

The undersigned hereby acknowledges and is advised of the following Interpretation A.65 of the July 1997 SEC Manual of Publicly Available
Telephone Interpretations regarding short selling: 
 “An Company filed a Form S-3
registration statement for a secondary offering of common stock which is not yet effective. One of the selling shareholders wanted to do a short sale of common stock “against the box” and cover the short sale with registered shares after
the effective date. The Company was advised that the short sale could not be made before the registration statement become effective, because the shares underlying the short sale are deemed to be sold at the time such sale is made. There would,
therefore, be a violation of Section 5 if the shares were effectively sold prior to the effective date.” 
 By returning this
Questionnaire, the undersigned will be deemed to be aware of the foregoing interpretation. 
 I confirm that, to the best of my knowledge
and belief, the foregoing statements (including without limitation the answers to this Questionnaire) are correct. 
 IN WITNESS WHEREOF the
undersigned, by authority duly given, has caused this Questionnaire to be executed and delivered either in person or by its duly authorized agent. 
  

									
	Dated:	 	
                     

	 	    	 	Beneficial Owner:	 	
             

							
				
		 		 	        By:	 	              

		 		 		 	Name:
		 		 		 	Title:EX-10.1

 Exhibit 10.1 

Execution Version 
 FIRST
AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT 
 THIS FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT (this
“Amendment”) is entered into as of September 12, 2019 by and among Addus HealthCare, Inc., an Illinois corporation (the “Borrower”), Addus HomeCare Corporation, a Delaware corporation
(“Holdings”), the other Persons party hereto that are designated as a “Credit Party” on the signature pages hereof, Capital One, National Association, as Agent (the “Agent”) and
as a Lender, and the other Lenders signatory hereto. 
 W I T N E S S E T H: 

WHEREAS, Borrower, Holdings, the other Credit Parties, Agent and the other Lenders from time to time party thereto are parties to that certain
Amended and Restated Credit Agreement dated as of October 31, 2018 (as amended, restated, supplemented or modified from time to time, the “Credit Agreement”; unless otherwise defined herein, capitalized terms used herein
that are not otherwise defined herein shall have the respective meanings assigned to such terms in the Credit Agreement); 
 WHEREAS,
Borrower has requested that certain of the Lenders party hereto (the “Incremental Lenders”) provide incremental Revolving Loans Commitments in an aggregate amount of $50,000,000 (the “2019 Incremental Revolving
Loan Commitment”), in each case on the terms set forth in this Amendment; and 
 WHEREAS, the Credit Parties have further
requested that the Agent and Lenders amend certain provisions of the Credit Agreement, and, subject to the satisfaction of the conditions set forth herein, Agent and the Lenders signatory hereto are willing to do so, on the terms set forth herein;
and 
 NOW, THEREFORE, in consideration of the mutual agreements, provisions and covenants contained herein, the parties agree as follows:

 A.    INCREMENTAL REVOLVING LOAN COMMITMENT 

 

	 	1.	 Each of the Incremental Lenders hereby agrees, severally and not jointly, to increase its respective Revolving
Loan Commitment in an aggregate principal amount equal to the amount set forth opposite such Incremental Lender’s name on Schedule 2.1 of the Credit Agreement as amended hereby, on the terms set forth herein and in the Credit Agreement
(as amended hereby), and subject to the conditions set forth in this Amendment. After giving effect to the 2019 Incremental Revolving Loan Commitment, the total amount of Incremental Facilities which may be incurred by the Borrower shall be reduced
from $100,000,000 to $50,000,000. 

  

	 	2.	 For the avoidance of doubt, all Revolving Loans made pursuant to the Revolving Loan Commitments, as increased
hereby, shall have terms and provisions identical to those applicable to the Revolving Loans made immediately prior to the First Amendment Effective Date. 

B.    AMENDMENTS TO CREDIT AGREEMENT. 

Upon satisfaction of the conditions set forth in Section 4 hereof, the Credit Agreement is hereby amended as follows: 

 

	 	1.	 Section 1.1 of the Credit Agreement is hereby amended by adding the following
definitions in alphabetical order as follows: 

 “‘BHC Act Affiliate’ has the
meaning set forth in Section 10.27(b). 
 ‘Covered Entity’ has the meaning set
forth in Section 10.27(b). 

  
 1 

 ‘Covered Party’ has the meaning set forth in
Section 10.27(a). 
 ‘Default Right’ has the meaning set forth in
Section 10.27(b). 
 ‘Effective Date Fee Letter’ means the Amended and Restated
Fee Letter, dated as of the Effective Date, between the Borrower and Agent (as amended, modified and/or supplemented from time to time in accordance with its terms). 

‘First Amendment’ means that certain First Amendment to Amended and Restated Credit Agreement dated as
of the First Amendment Effective Date, by and among the Borrower, the other Credit Parties party thereto, the Lenders signatory thereto and the Agent. 

‘First Amendment Date Fee Letter’ means the Fee Letter, dated as of the First Amendment Effective Date,
between the Borrower and Agent (as amended, modified and/or supplemented from time to time in accordance with its terms). 

‘First Amendment Effective Date’ means September 12, 2019. 

‘Illinois DOA Agreements’ has the meaning set forth in the definition of ‘Illinois Waiver Program Rate
Increase.’ 
 ‘Illinois Waiver Program Rate Adjustment’ means, for any applicable month, an amount
equal to (x) the applicable Illinois Waiver Program Rate Increase multiplied by (y) (i) the total number of hours of service provided under the applicable Illinois DOA Agreements in the most recent Fiscal Quarter for which financial
statements have been delivered pursuant to Section 5.1 hereof, divided by (ii) three. 

‘Illinois Waiver Program Rate Increase’ means the increase in the net rate received per hour of
service provided by a Credit Party pursuant to the Medicaid Waiver Programs entered into with the Illinois Department on Aging for the State of Illinois or related Medicaid managed plans operating in the State of Illinois (such agreements,
collectively, the “Illinois DOA Agreements”), in each case as measured against the net rates in effect immediately prior to such increases, and solely to the extent that the Borrower has provided written notice to Agent that such
increased renumeration has been approved by all applicable Governmental Authorities (including, without limitation, CMS). 

‘Incremental Revolving Loan’ as defined in Section 2.1(e)(i). 

‘Incremental Revolving Loan Commitment’ as defined in Section 2.1(e)(i).

 ‘Legion’ means Hospice Partners of America, LLC, a Delaware limited liability company. 

‘QFC’ has the meaning set forth in Section 10.27(b). 

‘QFC Credit Support’ has the meaning set forth in Section 10.27. 

‘Supported QFC’ has the meaning set forth in Section 10.27. 

  
 2 

 ‘U.S. Special Resolution Regimes has the meaning set forth in
Section 10.27.” 
  

	 	2.	 Section 1.1 of the Credit Agreement is hereby further amended as follows:

 (a)    The definition of “Aggregate Revolving Loan Commitment” is amended
and restated in its entirety as follows: 
 ‘“Aggregate Revolving Loan Commitment’ means the combined
Revolving Loan Commitments of the Lenders, which shall be in the amount of $300,000,000 as of the First Amendment Effective Date, as such amount may be adjusted from time to time pursuant to this Agreement.” 

(b)    The definition of “Class” is amended and restated in its entirety as follows: 

“‘Class’ (a) when used with respect to Lenders, refers to whether such Lenders have a Loan or Commitment
with respect to a particular “class” (as described in clauses (b) or (c) of this definition) of Loans or Commitments, (b) when used with respect to Commitments, refers to whether such Commitments are Revolving Loan Commitments,
Incremental Revolving Loan Commitments, Extended Revolving Loan Commitments, Term Loan Commitments, Incremental Term Loan Commitments or Extended Term Loan Commitments and (c) when used with respect to Loans or a Borrowing, refers to whether
such Loans, or the Loans comprising such Borrowing, are Revolving Loans, Incremental Revolving Loans, Term Loans, Extended Revolving Loans, Incremental Term Loans or Extended Term Loans, in each case, under this Agreement as originally in effect or
amended pursuant to Section 2.1(e), or 10.1, of which such Loans, Borrowing or Commitments shall be a part. Revolving Loan Commitments, Term Loan Commitments, Incremental Term Loan Commitments, Incremental Revolving
Loan Commitments, Extended Revolving Loan Commitments and Extended Term Loan Commitments (and in each case, the Loans made pursuant to such Commitments) that have different terms and conditions shall be construed to be in different Classes.
Notwithstanding the foregoing, Commitments (and in each case, the Loans made pursuant to such Commitments), including any Incremental Term Loan Commitments or Incremental Revolving Loan Commitments intended to be fungible with any existing Term Loan
Commitments) that have identical terms and conditions shall be construed to be in the same Class.” 

(c)    The definition of “Consolidated EBITDA” is amended by deleting the word “and” at
the end of subsection (g)(10) thereof, replacing the period at the end of subsection (g)(11) thereof with “; and” and adding a new subsection (g)(12) thereafter as follows: 

“(12)    an amount equal to: 

(x) upon the effectiveness of the Illinois Waiver Program Rate Increase expected to occur on or about September 1, 2019,
the Illinois Waiver Program Rate Adjustment for each month in the applicable period ended prior to the month in which such Illinois Waiver Program Rate Increase occurs, and 

(y) upon the effectiveness of the Illinois Waiver Program Rate Increase expected to occur on or about January 1, 2020, the
Illinois Waiver Program Rate Adjustment for each month in the applicable period ended prior to the month in which such Illinois Waiver Program Rate Increase occurs, 

in the case of each of clauses (x) and (y), as such Illinois Waiver Program Rate 

  
 3 

 
Adjustments are calculated by the Borrower and approved by Agent (such approval not to be unreasonably, withheld or delayed), and solely to the extent that Agent has received all supporting
documentation related to the applicable Illinois Waiver Program Rate Adjustment as Agent may reasonably request.” 

(d)    The definition of “Consolidated Total Net Indebtedness” is hereby amended and restated in
its entirety as follows: 
 ‘“Consolidated Total Net Indebtedness’ means, at any date, for Holdings and
its Restricted Subsidiaries, (i) the sum of, without duplication, (A) Consolidated Funded Indebtedness as of date of measurement, plus (B) L/C Reimbursement Obligations as of date of measurement then due and payable, plus
(C) Contingent Acquisition Consideration, net of (ii)(A) unrestricted cash and Cash Equivalents of Holdings and its Restricted Subsidiaries included on the balance sheet of Holdings minus (B) $20,000,000; provided, that the amount set
forth in clause (ii) above shall not be less than zero.” 
 (e)    The definition of
“Control Agreement”, the phrase “each Control Agreement” in the definition of “Collateral Documents”, the phrase “any Control Agreement” in Section 10.1(a) and 10.1(g) and any
other uses of such defined term are hereby deleted. 
 (f)    The definition of “Fee Letter” is
hereby amended and restated in its entirety as follows: 
 ‘“Fee Letter’ means the Effective Date Fee
Letter or the First Amendment Date Fee Letter, as applicable, and “Fee Letters” means each such Fee Letter collectively.” 

(g)    The definition of “Latest Maturity Date” is hereby amended and restated in its entirety as
follows: 
 “‘Latest Maturity Date’ means, at any date of determination, the latest maturity or
expiration date applicable to any Loan or Commitment hereunder at such time, including the latest maturity or expiration date of any Term Loan, any Incremental Term Loan Commitment, any Extended Term Loan Commitment, any Incremental Revolving Loan
or any Incremental Revolving Loan Commitment, in each case as extended in accordance with this Agreement from time to time.” 

(h)    The definition of “Pro Forma EBITDA” is amended by adding the following new sentence to
the end of such definition: 
 “Notwithstanding the foregoing, Consolidated EBITDA attributable to Legion for each
applicable month ended on or prior to September 30, 2019 shall be deemed to be $776,614, as adjusted by any additional Pro Forma Acquisition Adjustments reasonably approved by Agent.” 

(i)    The definition of “Revolving Loan” is hereby amended and restated in its entirety as
follows: 
 “‘Revolving Loan’ means a Loan made or deemed to have been made pursuant to
Section 2.1(b), Section 2.1(c)(vi)(B) or Section 2.1(d)(iii)(B) or pursuant to any Incremental Revolving Loan Commitments or Extended Revolving Loan Commitments.”

  
 4 

 (j)    The definition of “Revolving Loan
Commitment” is hereby amended by amending and restating clause (b) thereof in its entirety as follows: 

“(b) reduced or increased from time to time pursuant to (i) assignments by or to such Revolving Lender pursuant to
an Assignment, (ii) an amendment or joinder agreement with respect to an Incremental Revolving Loan Commitment or (iii) an Extension with respect to Extended Revolving Loan Commitments.” 

(k)    The definition of “Segregated Governmental Account” is hereby amended and restated in its
entirety as follows: 
 “‘Segregated Governmental Account’ means a deposit account of a Credit Party,
the only funds on deposit in which constitute the direct proceeds of Medicare and Medicaid payments made by Governmental Payors.” 

(l)    The definition of “Sweep Agreement” is hereby deleted. 

 

	 	3.	 Subsection 2.1(e)(i) of the Credit Agreement is hereby amended and restated to read in its entirety as
follows: 

 “(i)    Requests. The Borrower may, by written notice to Agent
(each, an ‘Incremental Facility Request’), request increases in the Term Loans or additional term loan facilities (each, an ‘Incremental Term Loan Commitment’ and the term loans thereunder, an ‘Incremental
Term Loan’) and/or increases in the Revolving Loan Commitments (each, an ‘Incremental Revolving Loan Commitment’ and the loans thereunder, ‘Incremental Revolving Loans’; each Incremental Term Loan
Commitment and each Incremental Revolving Loan Commitment are each sometimes referred to herein individually as an ‘Incremental Facility’ and collectively as the ‘Incremental Facilities’) in Dollars in an aggregate amount
not to exceed $50,000,000 for all such Incremental Facilities; provided that (x) no commitment of any Lender shall be increased without the consent of such Lender and (y) any Person committing to provide all or a portion of the
Incremental Facilities must be an existing Lender (other than a Defaulting Lender), an Affiliate or Approved Fund of any existing Lender (other than a natural Person or a Defaulting Lender) or any other Person (other than a natural Person, a
Defaulting Lender or the Borrower or any of the Borrower’s Affiliates or Subsidiaries) who is an ‘accredited investor’ (as defined in Regulation D of the Securities Act of 1933) acceptable (which acceptances shall not be unreasonably
withheld or delayed) to Borrower and Agent. Such notice shall set forth (A) the amount of the Incremental Term Loan Commitment or Incremental Revolving Loan Commitment being requested, (B) the date (an ‘Incremental Effective
Date’) on which such Incremental Facility is requested to become effective (which, unless otherwise agreed by Agent, shall not be less than 10 Business Days nor more than sixty (60) days after the date of such notice), and (C) if
an Incremental Term Loan Commitment, whether the related Incremental Term Loan is to be a LIBOR Rate Loan or a Base Rate Loan (and, if a LIBOR Rate Loan, the Interest Period therefor).” 

 

	 	4.	 Subsection 2.1(e)(ii) of the Credit Agreement is hereby amended by amending and restating subclauses
2.1(e)(ii)(A), (B) and (C) thereof in their entirety as follows: 

“(A)    no Default or Event of Default shall exist at the time of funding; provided that,
solely with respect to an Incremental Term Loan, the proceeds of which are being used to finance substantially contemporaneously a Limited Condition Acquisition, the Lenders providing such Incremental Facility may agree to fund such Incremental Term

  
 5 

 
Loan if (i) as of the date the signing of the Limited Condition Acquisition Agreement, no Default or Event of Default shall have occurred and be continuing and (ii) as of the date of
the funding of such Incremental Facility, no Default or Event of Default under Section 8.1(a), 8.1(f) or 8.1(g) shall have occurred and is continuing at such time of funding; 

(B) as of the last day of the most recent Fiscal Quarter for which financial statements have been delivered pursuant to
Section 5.1, the Total Net Leverage Ratio recomputed on a pro forma basis shall not exceed 3.75:1.00; provided that solely with respect to an Incremental Term Loan, the proceeds of which are being used substantially
contemporaneously to finance a Limited Condition Acquisition, the Total Net Leverage Ratio shall be determined as of the date that the applicable Limited Condition Acquisition Agreement is entered into, and calculated as if such Limited Condition
Acquisition (and any other pending Limited Condition Acquisition) and other pro forma events in connection therewith were consummated on such date; 

(C) proceeds of any such Incremental Facility shall be used solely to finance or refinance the purchase price of, and to pay
fees, costs and expenses in connection with, a Permitted Acquisition consummated substantially concurrently with the incurrence thereof or within forty-five (45) days prior to the date of incurrence; provided, however, that the proceeds
of the Incremental Revolving Loan Commitments incurred on the First Amendment Effective Date shall be used solely (x) to pay a portion of the consideration for the Acquisition of Legion or any other Permitted Acquisition, (y) to pay fees,
costs and expenses in connection with any such Acquisition and (z) for general working capital, capital expenditure or other general corporate purposes not in contravention of any Requirement of Law and not in violation of this Agreement;”

  

	 	5.	 Subsection 2.1(e)(iii) of the Credit Agreement is hereby amended by deleting the word “and” at
the end of subsection (B) thereof, replacing the period at the end of subsection (C) thereof with “; and” and adding a new subsection (D) thereto as follows: 

“(D)    Any Incremental Revolving Loans shall be on the same terms (as amended from time to time)
(including interest rate margins, any interest rate floors, original issue discount and upfront fees (based on the lesser of a four-year average life to maturity or the remaining life to maturity), but excluding reasonable and customary arrangement,
structuring and underwriting fees with respect to such Incremental Revolving Loans) as, and pursuant to documentation applicable to, the initial Revolving Loans.” 
  

	 	6.	 Subsection 2.1(e)(iv) of the Credit Agreement is hereby amended by inserting the following sentence at
the end thereof: 

 “Each of the parties hereto hereby agrees that Agent may, in consultation with the Borrower, take
any and all action as may be reasonably necessary to ensure that, upon the effectiveness of each Incremental Revolving Loan Commitment, (i) Revolving Loans made under such Incremental Revolving Loan Commitment are included in each Borrowing of
outstanding Revolving Loans on a pro rata basis and (ii) the Lender providing each Incremental Revolving Loan Commitment shares ratably in the aggregate principal amount of all outstanding Revolving Loans, Swing Loans and Letter of Credit
Obligations.” 
  

	 	7.	 Section 2.9 of the Credit Agreement is hereby amended by amending and restating
subsection (a) thereof in its entirety as follows: 

  
 6 

 “(a)     Fees. The Borrower shall pay to
Agent, for Agent’s own account or as otherwise provided therein, fees in the amounts and at the times set forth in the Fee Letters.” 
  

	 	8.	 Section 5.11 of the Credit Agreement is hereby amended and restated in its entirety
as follows: 

 “5.11    Cash Management Systems. 

(a)    [Reserved]. 

(b)    Holdings and its Subsidiaries shall establish and maintain cash management systems reasonably
acceptable to Agent, including that the Credit Parties shall segregate collections made from Governmental Payors making payments under Medicare or Medicaid, from collections made from all other Account Debtors and customers of the applicable Credit
Parties, including, without limitation, by notifying all Governmental Payors making payments under Medicare or Medicaid to make payments to a Segregate Governmental Account and periodically sweep amounts deposited therein to one or more
concentration accounts on a daily basis as and when funds clear and become available in accordance with such depository’s customary procedures. 

(c)    Each Lender that is a depository bank, securities intermediary or commodities intermediary at which
Credit Parties maintain their cash hereby waives all of its right to offset the Obligations (other than in respect of customary offsets for returned items and ordinary course fees and charges by such Person in accordance with its standard schedule
of fees and charges in effect from time to time to the extent permitted by the CMS Bulletin (as defined below)) against each Segregated Governmental Account of a Credit Party maintained by such Lender to the extent necessary to comply with the
requirements of the CMS Bulletin. 
 (d)    The Credit Parties shall direct each depository bank,
securities intermediary or commodities intermediary at which the Credit Parties maintain their cash complies with all requirements of the Department of Health and Human Services Centers for Medicare & Medicaid Services (CMS) Manual System
Pub. 100-4 Transmittal 213 (including change request 3079) and any replacement, change or update thereto (the “CMS Bulletin”).” 

 

	 	9.	 Section 5.13(b) of the Credit Agreement is hereby amended and restated in its
entirety as follows: 

 “(b)    Promptly upon request by Agent, the Credit
Parties shall (and, subject to the limitations set forth herein and in the Collateral Documents, shall cause each of their Restricted Subsidiaries to) take such additional actions and execute such documents as Agent may reasonably require from time
to time in order (i) to carry out more effectively the purposes of this Agreement or any other Loan Document, (ii) to subject to the Liens created by any of the Collateral Documents any of the Properties, rights or interests covered by any
of the Collateral Documents, (iii) subject to customary “Funds Certain Provisions” with respect to perfection of Liens on assets acquired in an Investment permitted hereunder, to perfect and maintain the validity,
effectiveness and (to the extent required hereby) priority of any of the Collateral Documents and the Liens intended to be created thereby, and (iv) to better assure, grant, preserve, protect and confirm to the Secured Parties the rights
granted or now or hereafter intended to be granted to the Secured Parties under any Loan Document; provided that the Credit Parties shall not be required to deliver with respect to any 

  
 7 

 
location of the Credit Parties at which Collateral with an aggregate fair market value in excess of $1,000,000 is located after the Effective Date, landlord agreement or bailee or mortgage waiver
with respect to such location satisfying the requirements of Section 5.12 until sixty (60) days after the date Collateral at such location exceeds $1,000,000.” 
  

	 	10.	 Section 6.17 of the Credit Agreement is hereby amended by replacing the phrase
“$5,000,000” appearing therein with “$10,000,000”. 

  

	 	11.	 Article X of the Credit Agreement is hereby amended by inserting the following as
Section 10.27 thereto: 

 “10.27    Acknowledgement
Regarding any Supported QFCs. To the extent that the Loan Documents provide support, through a guarantee or otherwise, for Rate Contracts or any other agreement or instrument that is a QFC (such support, ‘QFC Credit Support’ and
each such QFC a ‘Supported QFC’), the parties acknowledge and agree as follows with respect to the resolution power of the Federal Deposit Insurance Corporation under the Federal Deposit Insurance Act and Title II of the Dodd-Frank
Wall Street Reform and Consumer Protection Act (together with the regulations promulgated thereunder, the ‘U.S. Special Resolution Regimes’) in respect of such Supported QFC and QFC Credit Support (with the provisions below
applicable notwithstanding that the Loan Documents and any Supported QFC may in fact be stated to be governed by the laws of the State of New York and/or of the United States or any other state of the United States): 

(a)    In the event a Covered Entity that is party to a Supported QFC (each, a ‘Covered
Party’) becomes subject to a proceeding under a U.S. Special Resolution Regime, the transfer of such Supported QFC and the benefit of such QFC Credit Support (and any interest and obligation in or under such Supported QFC and such QFC
Credit Support, and any rights in property securing such Supported QFC or such QFC Credit Support) from such Covered Party will be effective to the same extent as the transfer would be effective under the U.S. Special Resolution Regime if the
Supported QFC and such QFC Credit Support (and any such interest, obligation and rights in property) were governed by the laws of the United States or a state of the United States. In the event a Covered Party or a BHC Act Affiliate of a Covered
Party becomes subject to a proceeding under a U.S. Special Resolution Regime, Default Rights under the Loan Documents that might otherwise apply to such Supported QFC or any QFC Credit Support that may be exercised against such Covered Party are
permitted to be exercised to no greater extent than such Default Rights could be exercised under the U.S. Special Resolution Regime if the Supported QFC and the Loan Documents were governed by the laws of the United States or a state of the United
States. Without limitation of the foregoing, it is understood and agreed that rights and remedies of the parties with respect to a Defaulting Lender shall in no event affect the rights of any Covered Party with respect to a Supported QFC or any QFC
Credit Support. 
 (b)    As used in this Section 10.27, the following terms
have the following meanings: 
 (i)    ‘BHC Act Affiliate’ of a party means an
‘affiliate’ (as such term is defined under, and interpreted in accordance with, 12 U.S.C. 1841(k)) of such party. 

  
 8 

 (ii)    ‘Covered Entity’ means any of
the following: 
 (A)    a ‘covered entity’ as that term is defined in, and interpreted in
accordance with, 12 C.F.R. § 252.82(b); 
 (B)     a ‘covered bank’ as that term is
defined in, and interpreted in accordance with, 12 C.F.R. § 47.3(b); or 
 (C)    a ‘covered
FSI’ as that term is defined in, and interpreted in accordance with, 12 C.F.R. § 382.2(b). 

(iii)    ‘Default Right’ has the meaning assigned to that term in, and interpreted in
accordance with, 12 C.F.R. § § 252.81, 47.2 or 382.1 as applicable. 

(iv)    ‘QFC’ has the meaning assigned to the term ‘qualified financial
contract’ in, and shall be interpreted in accordance with, 12 U.S.C. 5390(c)(8)(D).” 
  

	 	12.	 The column of Schedule 2.1 titled “Revolving Loan Commitment” to the Credit Agreement is
hereby amended and restated in its entirety as set forth on Exhibit A hereto. 

  

	 	13.	 Exhibit 5.2(a) to the Credit Agreement is hereby amended and restated in its entirety as set forth on
Exhibit B hereto. 

 C.    CONDITIONS PRECEDENT. 

The effectiveness of this Amendment is subject to the satisfaction of the following conditions precedent: 

 

	 	1.	 the execution and delivery of (a) this Amendment by each Credit Party, the Agent and Lenders, (b) the
First Amendment Date Fee Letter by the Agent and the Borrower, (c) Revolving Notes by the Borrower in favor of each Incremental Lender requesting such a promissory note and (d) an Omnibus Reaffirmation Agreement, executed by each Credit
Party. 

  

	 	2.	 Agent shall have received such certificates of good standing or status (to the extent that such concepts exist)
from the applicable secretary of state (or equivalent authority) of the jurisdiction of organization of each Credit Party (in each case, to the extent applicable), certificates of customary resolutions or other customary action, customary
certificates of Responsible Officers of each Credit Party and incumbency certificates of each Credit Party evidencing the identity, authority and capacity of each Responsible Officer thereof authorized to act as a Responsible Officer in connection
with this Amendment and the other Loan Documents to which such Credit Party is a party or is to be a party on the First Amendment Effective Date; 

  

	 	3.	 All fees due and payable pursuant to the First Amendment Date Fee Letter and all expenses (including without
limitation, legal fees and expenses) and other transaction costs incurred in connection with this Amendment required to be paid to the Agent and the Lenders shall have been paid; 

 

	 	4.	 The Administrative Agent shall have received a customary opinion from each of (a) Bass Berry &
Sims PLC, primary counsel to the Credit Parties, (b) Hodgson Russ LLP, New York counsel to the Credit Parties, (c) Hinshaw & Culbertson LLP, Illinois counsel to the Credit Parties, (d) Husch Blackwell LLP, Colorado counsel to
the Credit Parties and (e) Montgomery & Andrews, P.A., New Mexico counsel to the Credit Parties. 

  
 9 

	 	5.	 (i) No Default or Event of Default has occurred and is continuing or could reasonably be expected to result
after giving effect to the Loans made on the First Amendment Effective Date and (ii) each representation or warranty made by a Credit Party contained herein or in any other Loan Document shall be true and correct in all material respects
(without duplication of any materiality qualifier contained herein or therein). 

  

	 	6.	 After giving effect to the funding and disbursement of the Loans made on the date hereof and the other
Indebtedness contemplated herein, and the payment and accrual of all transaction costs in connection with the foregoing, each of the Borrower and the Guarantors is Solvent; 

 

	 	7.	 There shall not exist any action, suit, investigation, litigation or proceeding pending or threatened in
writing or before any Governmental Authority that challenges the credit facilities hereunder, and there shall not exist any order, injunction or decree of any Governmental Authority restraining or prohibiting the funding of the Loans hereunder or
the transactions contemplated hereby; 

  

	 	8.	 Since December 31, 2018, there shall not have occurred any Material Adverse Effect; 

 

	 	9.	 Each of the conditions set forth in Section 2.1(e)(ii)(B), (C) and (D) of the
Credit Agreement, as amended hereby, with respect to the 2019 Incremental Revolving Loan Commitment shall have been satisfied; and 

  

	 	10.	 Agent shall have received a certificate of a Responsible Officer of the Borrower certifying as to the
satisfaction of each of the conditions set forth in paragraphs 5 through 9 of this Section C. 

D.    REPRESENTATIONS AND WARRANTIES. 

Each Credit Party hereby represents and warrants to Agent and each Lender that: 
  

	 	1.	 The execution, delivery and performance by the Credit Parties of this Amendment and by each Credit Party of any
other Loan Document to which such Person is party, have been duly authorized by all necessary action, and do not and will not (a) contravene the terms of any of that Person’s Organization Documents; (b) conflict with or result in any
material breach or contravention of, or result in the creation of any Lien (other than Liens in favor of Agent created under the Loan Documents) under, any document evidencing any material Contractual Obligation to which such Person is a party or
any order, injunction, writ or decree of any Governmental Authority to which such Person or its Property is subject, (c) affect any Credit Party’s or any Restricted Subsidiary of a Credit Party’s right to receive, or reduce the amount
of, payments and reimbursements from Third Party Payors, or materially adversely affect any Regulatory Permit; or (d) violate any material Requirement of Law in any material respect; 

 

	 	2.	 such Credit Party has the power and authority to execute, deliver and perform its obligations under this
Amendment and the Credit Agreement, as amended hereby; 

  

	 	3.	 this Amendment constitutes the legal, valid and binding obligations of each such Person which is a party hereto
enforceable against such Person in accordance with its terms, except as enforceability may be limited by applicable bankruptcy, insolvency or similar laws affecting the enforcement of creditors’ rights generally or by equitable principles
relating to enforceability; 

  

	 	4.	 after giving effect to this Amendment and the transactions contemplated hereby, each of the representations and
warranties contained in the Credit Agreement and the other Loan Documents is true and correct in all material respects (without duplication of any materiality qualifier contained therein) as of such date, except to the extent that such
representation or warranty expressly relates to an earlier date (in which event such representations and warranties were true and correct in all material respects (without duplication of any materiality qualifier contained therein) as of such
earlier date); and 

  
 10 

	 	5.	 no Default or Event of Default exists or would result from the transactions contemplated by this Amendment.

 E.    ADDITIONAL AGREEMENTS 

 

	 	1.	 Release of Control Agreements. The Agent and the Lenders signatory hereto agree that upon the
effectiveness of this Amendment, Agent shall promptly deliver notices of termination with respect to each Control Agreement and each Sweep Agreement in effect as of the First Amendment Effective Date to each applicable financing institution.

  

	 	2.	 No Modification. Except as expressly set forth herein, nothing contained herein shall be deemed to
constitute a waiver of compliance with any term or condition contained in the Credit Agreement or any of the other Loan Documents or constitute a course of conduct or dealing among the parties. Except as expressly stated herein, the Agent and
Lenders reserve all rights, privileges and remedies under the Loan Documents. Except as amended or consented to hereby, the Credit Agreement and other Loan Documents remain unmodified and in full force and effect. All references in the Loan
Documents to the Credit Agreement shall be deemed to be references to the Credit Agreement as modified hereby. This Amendment shall constitute a Loan Document. 

 

	 	3.	 Costs and Expenses; Indemnity. Sections 10.5 and 10.6 of the Credit Agreement are hereby incorporated by
reference, mutatis mutandis, as if such Sections were set forth in full herein. Borrower agrees to pay on demand all reasonable and documented costs and
out-of-pocket expenses of Agent in connection with the preparation, execution and delivery of this Amendment, including, without limitation, the reasonable fees and out-of-pocket expenses of outside counsel for Agent with respect thereto. 

  

	 	4.	 Counterparts. This Amendment may be may be executed in any number of counterparts and by different
parties in separate counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute one and the same agreement. Signature pages may be detached from multiple separate counterparts and
attached to a single counterpart. Delivery of an executed signature page of this Amendment by facsimile transmission or Electronic Transmission shall be as effective as delivery of a manually executed counterpart hereof. 

 

	 	5.	 Successors and Assigns. The provisions of this Amendment shall be binding upon and inure to the benefit
of the parties hereto and their respective successors and assigns; provided that any assignment by any Lender shall be subject to the provisions of Section 10.9 of the Credit Agreement, and provided further that no Borrower may assign or
transfer any of its rights or obligations under this Amendment or the Credit Agreement without the prior written consent of Agent and each Lender. 

  

	 	6.	 Governing Law. The laws of the State of New York shall govern all matters arising out of, in connection
with or relating to this Amendment, including its validity, interpretation, construction, performance and enforcement (including any claims sounding in contract or tort law arising out of the subject matter hereof and any determinations with respect
to post-judgment interest). 

  

	 	7.	 Severability. The illegality or unenforceability of any provision of this Amendment or any instrument or
agreement required hereunder shall not in any way affect or impair the legality or enforceability of the remaining provisions of this Amendment or any instrument or agreement required hereunder. The parties hereto acknowledge that this Amendment may
use several different limitations, tests or measurements to regulate the same or similar matters, and that such limitations, tests and measurements are cumulative and must each be performed, except as expressly stated to

  
 11 

	 	
the contrary in this Amendment. 

  

	 	8.	 Captions. The captions and headings of this Amendment are for convenience of reference only and shall
not affect the interpretation of this Amendment. 

  

	 	9.	 Successor and Assigns. The provisions of this Amendment and the Credit Agreement (as amended hereby)
shall be binding upon and inure to the benefit of the parties hereto and their respective successors and assigns; provided that no Credit Party may assign or transfer any of its rights or obligations under this Agreement without the prior
written consent of Agent and each Lender. 

  

	 	10.	 Entire Understanding. This Amendment sets forth the entire understanding of the parties with respect to
the matters set forth herein, and shall supersede any prior negotiations or agreements, whether written or oral, with respect thereto. 

[Remainder of Page Intentionally Left Blank; Signature Pages Follow] 

  
 12 

 IN WITNESS WHEREOF, each of the undersigned has executed this Agreement as of the date set
forth above. 
  

			
	BORROWER:
	
	ADDUS HEALTHCARE, INC.
		
	By:	 	/s/ Brian Poff
	 Name:
	 	Brian Poff
	Title:	 	Chief Financial Officer, Executive Vice President, Secretary and Treasurer
	
	OTHER CREDIT PARTIES:
	
	ADDUS HOMECARE CORPORATION
		
	By:	 	/s/ Brian Poff
	 Name:
	 	Brian Poff
	Title:	 	Chief Financial Officer, Executive Vice President, Secretary and Treasurer
	
	ADDUS HEALTHCARE (DELAWARE), INC.
	ADDUS HEALTHCARE (IDAHO), INC.
	ADDUS HEALTHCARE (NORTH CAROLINA), INC.
	ADDUS HEALTHCARE (NEVADA), INC.
	ADDUS HEALTHCARE (SOUTH CAROLINA), INC.
	PRIORITY HOME HEALTH CARE, INC.
	SOUTH SHORE HOME HEALTH SERVICE INC.
	OPTIONS SERVICES, INC.
	ADDUS NURSE CARE, INC.
	PRAC HOLDINGS, INC.
	CURA PARTNERS, LLC
	AMBERCARE CORPORATION
	AMBERCARE HOME HEALTH CARE CORPORATION
	AMBERCARE HOSPICE, INC.
	ALLIANCE HOME HEALTH CARE, LLC
		
	By:	 	/s/ Brian Poff
	 Name:
	 	Brian Poff
	Title:	 	Secretary

 Signature Page to First Amendment 

 
			
	AGENT AND LENDERS:
	
	CAPITAL ONE, NATIONAL ASSOCIATION, as Agent, Swing Lender and as a Lender
		
	By:	 	/s/ Brian Dunn
	 Name:
	 	Brian Dunn
	 Title:
	 	 Its Duly Authorized Signatory

  
  
  

 
 Signature Page to First Amendment 

 
			
	BANK OF THE WEST, as a Lender
		
	By:	 	/s/ Jennifer Teubl
	 Name:
	 	Jennifer Teubl
	 Title:
	 	Vice President

  
  
  

 
 Signature Page to First Amendment 

 
			
	BBVA USA, as a Lender
		
	By:	 	/s/ Thomas W. Harazim
	 Name:
	 	Thomas W. Harazim
	 Title:
	 	Senior Vice President

  
  
  

 
  

Signature Page to First Amendment 

 
			
	Citizens Bank, N.A., as a Lender
		
	By:	 	/s/ Doug Cornett
	 Name:
	 	Doug Cornett
	 Title:
	 	Managing Director

  
  
  

 
  

Signature Page to First Amendment 

 
			
	FIFTH THIRD BANK, as a Lender
		
	By:	 	/s/ Nathaniel E. Sher
	 Name:
	 	Nathaniel E. Sher
	 Title:
	 	Senior Vice President

  
  
  

 
  

Signature Page to First Amendment 

 
			
	JPMORGAN CHASE BANK, N.A., as a Lender
		
	By:	 	/s/ Nicholas J. Watts
	 Name:
	 	Nicholas J. Watts
	 Title:
	 	Authorized Officer

  
  
  

 
  

Signature Page to First Amendment 

 
			
	Hancock Whitney Bank, as a Lender
		
	By:	 	/s/ Brian Wille
	 Name:
	 	Brian Wille
	 Title:
	 	Senior Vice President

  
  
  

 
  

Signature Page to First Amendment 

 
			
	WELLS FARGO BANK, NATIONAL ASSOCIATION, as a Lender
		
	By:	 	/s/ Teddy Koch
	 Name:
	 	Teddy Koch
	 Title:
	 	Director

  
  
  

 
  

Signature Page to First Amendment 

 
			
	Huntington National Bank, as a Lender
		
	By:	 	/s/ Joseph A. Miller
	 Name:
	 	Joseph A. Miller
	 Title:
	 	Managing Director

  
  
  

 
  

Signature Page to First Amendment 

 
			
	Woodforest National Bank, as a Lender
		
	By:	 	/s/ David Molnar
	 Name:
	 	David Molnar
	 Title:
	 	Senior Vice President

  
  
  

 
  

Signature Page to First Amendment

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00300-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00300-of-00352.parquet"}]]