Document:

Exhibit

Confidential Materials omitted and filed separately with the 
Securities and Exchange Commission. Double asterisks denote omissions.
Exhibit 4.15
	
											
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
	CONTRACT ID CODE
	PAGE  OF  PAGES
     1                 2

	2. AMENDMENT/MODIFICATION NO.
0003
	3.EFFECTIVE DATE
See Block 16C 
	4.REQUISITION/PURCHASE REQ. NO.
N/A
	5.PROJECT NO. (If applicable)

	6. ISSUED BY                               CODE
	ASPR-BARDA
	7.ADMINISTERED BY (If other than Item 5)                                                 CODE
	ASPR-BARDA02

	

ASPR-BARDA
O’NEILL HOUSE OFFICE BUILDING
Room 21B05
Washington DC 20515

	

US DEPT OF HEALTH & HUMAN SERVICES
ASPR AMCG
O’NEILL HOUSE OFFICE BUILDING
Room 21B05
Washington DC 20515

	8.NAME AND ADDRESS OF CONTRACTOR (No., Street, City, County, State and ZIP Code)

SUMMIT (OXFORD) LIMITED 1510803
Attn:  [**]
SUMMIT (OXFORD) LIMITED
136A EASTERN AVENUE
MILTON PARK
ABINGDON OXFORDSHIRE OX14 4SB
	(x)
	9A.AMENDMENT OF SOLICITATION NO.

	 

	9B.DATED (SEE ITEM 11)

	x
	10A.MODIFICATION OF CONTRACT/ORDER NO.
HHSO100201700014C

	10B.DATED (SEE ITEM 13)

09/05/2017

	CODE      1510803
	FACILITY CODE

	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	The above solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers                 ̈ is extended.     ̈ is not extended.                  Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods: (a) By completing Items 8 and 15, and returning                    copies of the amendments; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF THE OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment and is received prior to the opening hour and date specified.

	12.ACCOUNTING AND APPROPRIATION DATA (If required)

	13.THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

	CHECK ONE
	A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

	 

	X
	B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43 103(b).

	X
	C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
FAR 43.103(a)(3) Mutual Agreement of the Parties

	 
	D. OTHER (Specify type of modification and authority)

	E. IMPORTANT:    Contractor           ̈ is not       x is required to sign this document and return 2 copies to the issuing office.

	14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings including solicitation/contract subject matter where feasible.)
Tax ID Number: CO-0000487
DUNS Number: 733628718
The Purpose of this Modification is to (1) designate a new Contracting Officer (CO) and a new Contracting Officer’s Representative (COR) and to (2) change the Statement of Work (SOW).

No funding is affected by this modification.

See Continuation Sheet
Period of Performance:  09/05/2017 to 04/30/2022

Except as provided herein, all terms and condition of the document referenced in Item 9A or 10A, as heretofore changes, remains unchanged and in full force and effect.

	15A.NAME AND TITLE OF SIGNER (Type or print)
MELISSA STRANGE VP, FINANCE
	16A.NAME OF CONTRACTING OFFICER (Type or print)
JAMES P. BOWERS

	15B.NAME OF CONTRACTOR

BY /s/ Melissa Strange____________________
(Signature of person authorized to sign)
	15C.DATE SIGNED

13 FEB 19
	16B.UNITED STATES OF AMERICA

BY /s/ JAMES P. BOWERS   
(Signature of Contracting Officer)
	16C.DATE SIGNED

2/14/2019

	NSN 7540-01-152-8070
Previous edition is NOT usable
	STANDARD FORM 30 (REV. 10-83)
Prescribed by GSA 
FAR (48 CFR) 53.214(a)

	
			
	Contract No. HHSO100201700014C
Modification No. 0003
	Summit (Oxford) Ltd. Continuation Sheet
	Page 2 of 2

		
	1.
	Beginning with the effective date of this modification, the Government and the Contractor mutually agree as follows:

2.Under SECTION F, ARTICLE F.2 DELIVERABLES, Subparagraph a. Summary of Contract Deliverables:  The CO’s name and address is deleted and replaced as follows:
HHS/ASPR/BARDA
[**]
Contracting Officer
Room [**] O’Neill House Office Building
Washington, DC 20515
[**]   Email:  [**]
And the COR’s name and address is deleted and replaced as follows:
HHS/ASPR/BARDA
ATTN:  [**]
Contracting Officer’s Representative
Room [**] - O’Neill House Office Building
Washington, DC 20515
[**]
Email:  [**]
		
	3.
	Under ARTICLE G.2 CONTRACTING OFFICER’S REPRESENTATIVE (COR) the COR’s name and address is deleted and replaced  as follows:

[**]
Biomedical Advanced Research & Development Authority (BARDA)
Office of Secretary for Preparedness & Response (ASPR)
Department of Health and Human Services
Mailing Address:
Contracting Officer’s Representative
Room [**] -O’Neill House Office Building Washington, DC 20515

Email:  [**]
		
	4.
	Under ARTICLE G.5 INVOICE/ FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING the address chart is deleted and replaced as follows:

	
			
	PSC_Invoices@psc.hhs.gov
	[**]
Contracting Officer
DHHS/OS/ASPR/BARDA
Room [**] O'Neill House
Office Building
Washington, DC 20515
Email:  [**]
	[**]
Contracting Officer Representative
DHHS/ASPR/BARDA
Room [**] O'Neill House Office Building
Washington, DC 20515
Email:  [**]

		
	5.
	Under SECTION J - LIST OF ATTACHMENTS, delete ATTACHMENT 1, Statement of Work dated June 29, 2018 (5 pages) and replace with Statement of Work dated February 4, 2019 (5 pages).

END OF MODIFICATION 0003 TO HHS0100201700014C

HHSO100201700014C
Contractual Statement of Work
CLINICAL DEVELOPMENT OF DRUG
Topic Area of Interest No. 3
4 February 4, 2019
PREAMBLE
Independently and not as an agency of the Government, Summit (Oxford) Limited (hereafter the “Contractor”) shall be required to furnish all the necessary services, qualified personnel, material, equipment, and facilities, not otherwise provided by the Government, as needed to perform the Statement of Work submitted in response to the BARDA Broad Agency Announcement (BAA) BARDA CBRN BAA-16-100-SOL-00001.
The Government reserves the right to modify the milestones, progress, schedule, budget, or deliverables to add or delete deliverables, process, or schedules if the need arises.  Because of the nature of this research and development (R&D) contract and the complexities inherit in this and prior programs, at designated milestones the Government will evaluate whether work should be redirected, removed, or whether schedule or budget adjustments should be made.  The Government reserves the right to change the product, process, schedule, or events to add or delete part or all of these elements as the need arises.
Overall Objectives and Scope
The overall objective of this contract is to advance the development of ridinilazole, a novel therapy for the treatment of Clostridium difficile Infections (CDI) and reducing the recurrence of CDI.  The scope of work for this contract includes clinical and manufacturing development activities that fall into the following areas:  non-clinical toxicology studies; clinical activities; manufacturing activities; and all associated regulatory, quality assurance, management, and administrative activities.  The Research and Development (R&D) effort for ridinilazole will progress in specific stages that cover the base performance (I) segment and option segment (II) as specified herein.  The Contractor must complete specific tasks required in each of the two discrete work segments.  The statement of work has been broken into the following phases which are discrete work segments:
		
	1.
	CLIN 1:  [**]

		
	2.
	CLIN 2:  [**]

		
	3.
	CLIN 3:  [**]

		
	4.
	CLIN 4:  [**]

		
	1.
	CLIN 1:  [**]

The overall objective of CLIN 1 will be to [**].
1.1     Program Management (WBS 1.1)
[**]
.

		
	2.
	CLIN 2:  [**]

The overall objective of CLIN2 is to [**]
2.1     Program Management (WBS 1.1)
[**]
		
	3.
	CLIN 3:  [**]

The overall objective of CLIN3 is to [**].
3.1     Program Management (WBS 1.1)
[**].
		
	4.
	CLIN 4:  [**]

4.1     Program Management (WBS 1.1)
[**]
		
	5.
	OTHER ITEMS

5.1     Facilities, Equipment and Other Resources.  (Contract:  Section J)
[**].
END
STATEMENT OF WORK
HHSO100201700014Cex_139133.htm

Exhibit 4.1

 

AMENDMENT NO. 2 TO RIGHTS AGREEMENT

 

Amendment No. 2 (this “Amendment”), dated as of March 24, 2019 (the “Effective Date”), by and between Kona Grill, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, as Rights Agent (the “Rights Agent”), to the Rights Agreement, dated as of September 6, 2016, by and between the Company and the Rights Agent (the “Rights Agreement”), as amended by that certain Amendment No. 1 to Rights Agreement, dated May 2, 2018, by and between the Company and the Rights Agent (the “First Amendment”). Unless otherwise defined herein, all capitalized terms shall have the meanings given to such terms in the Rights Agreement.

 

WHEREAS, the Company desires to make certain amendments to the Rights Agreement, as amended by the First Amendment, to provide for a new Final Expiration Date under the Rights Agreement;

 

WHEREAS, Section 27 of the Rights Agreement permits the Company to, from time to time, supplement or amend any provision of the Rights Agreement in accordance with the terms of such Section 27; and

 

WHEREAS, pursuant to, and in accordance with, Section 27 of the Rights Agreement, the Company hereby amends, and directs the Rights Agent to amend, the Rights Agreement as set forth in this Amendment.

 

NOW, THEREFORE, in consideration of the foregoing premises and mutual covenants and agreements set forth herein, and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Company and the Rights Agent, intending to be legally bound, hereby agree as follows:

 

SECTION 1. Amendment to Section 1. The definition of the following term in Section 1 of the Rights Agreement is hereby deleted in its entirety and substituted therefor is the following:

 

““Final Expiration Date” means the close of business on March 24, 2019.”

 

SECTION 2. Effective Date; Effectiveness; Certification. This Amendment shall be effective as of Effective Date. Except as expressly modified by this Amendment and the First Amendment, the Rights Agreement and its exhibits shall remain in full force and effect. The officer of the Company executing this Amendment hereby certifies to the Rights Agent that this Amendment to the Rights Agreement is in compliance with Section 27 of the Rights Agreement and the certification contained in this SECTION 2 shall constitute the certification required by Section 27 of the Rights Agreement.

 

SECTION 3. Governing Law. This Amendment shall be deemed to be a contract made under the laws of the State of Delaware and, for all purposes, shall be governed by, and construed in accordance with, the laws of such State applicable to contracts made and to be performed entirely within such State.

 

 

 

 

SECTION 4. Severability. The terms, provisions, covenants or restrictions of this Amendment shall be deemed severable and the invalidity or unenforceability of any term, provision, covenant or restriction shall not affect the validity or enforceability of any other term, provision, covenant or restriction hereof. If any term, provision, covenant or restriction of this Amendment, or the application thereof to any person or circumstance, is held to be prohibited by or invalid, illegal or unenforceable under applicable law in any respect by a court of competent jurisdiction, such term, provision, covenant or restriction shall be ineffective only to the extent of such prohibition or invalidity, illegality or unenforceability, without invalidating the remainder of such term, provision, covenant or restriction or the remaining terms, provisions, covenants and restrictions of this Amendment. In lieu of such illegal, invalid or unenforceable term, provision, covenant or restriction, there shall be added automatically as part of this Amendment a legal, valid and enforceable term, provision, covenant or restriction, as applicable, as similar in terms to such illegal, invalid or unenforceable term, provision, covenant or restriction as may be possible under applicable law.

 

SECTION 5. Descriptive Headings. Descriptive headings of the Sections of this Amendment are inserted for convenience only and shall not control or affect the meaning or construction of any provision hereof.

 

SECTION 6. Counterparts. This Amendment may be executed in any number of counterparts and each of such counterparts shall for all purposes be deemed to be an original, and all such counterparts shall together constitute one and the same instrument.

 

[Signature page follows]

 

 

 

 

IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed as of the Effective Date.

 

	 	COMPANY:
	 	 
	 	KONA GRILL, INC.
	 	 
	 	 
	 	By: 	/s/Christi Hing
	 	Name: 	Christi Hing
	 	Its: 	Secretary

 

 

	 	RIGHTS AGENT:
	 	 
	 	CONTINENTAL STOCK TRANSFER & TRUST COMPANY
	 	 
	 	 
	 	By: 	/s/ Ana Gois
	 	Name: 	Ana Gois
	 	Its: 	Vice President

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