Document:

EX-4.1

 Exhibit 4.1 

BAXALTA INCORPORATED 
 and 

COMPUTERSHARE INC. and 

COMPUTERSHARE TRUST COMPANY, N.A. 

(collectively, as Rights Agent) 

RIGHTS AGREEMENT 
 Dated as of
June 30, 2015 

 TABLE OF CONTENTS 

 

							
	 	 	 	  	Page	 
	 Section 1.
	 	 Definitions
	  	 	1	  
			
	 Section 2.
	 	 Appointment of Rights Agent
	  	 	6	  
			
	 Section 3.
	 	 Issuance of Rights Certificates
	  	 	7	  
			
	 Section 4.
	 	 Form of Rights Certificates
	  	 	9	  
			
	 Section 5.
	 	 Countersignature and Registration
	  	 	9	  
			
	 Section 6.
	 	 Transfer, Split-Up, Combination and Exchange of Rights Certificates; Lost, Stolen, Destroyed or Mutilated Rights
Certificates
	  	 	10	  
			
	 Section 7.
	 	 Exercise of Rights; Purchase Price; Expiration Date of Rights
	  	 	11	  
			
	 Section 8.
	 	 Cancellation and Destruction of Rights Certificates
	  	 	13	  
			
	 Section 9.
	 	 Reservation and Availability of Common Stock
	  	 	13	  
			
	 Section 10.
	 	 Preferred Stock Record Date
	  	 	14	  
			
	 Section 11.
	 	 Adjustment of Purchase Price, Number and Kind of Shares or Number of Rights
	  	 	15	  
			
	 Section 12.
	 	 Certificate of Adjustment
	  	 	21	  
			
	 Section 13.
	 	 Consolidation, Merger, Share Exchange, Sale or Transfer of Assets, Cash Flow or Earning Power
	  	 	21	  
			
	 Section 14.
	 	 Fractional Rights and Fractional Shares
	  	 	23	  
			
	 Section 15.
	 	 Rights of Action
	  	 	24	  
			
	 Section 16.
	 	 Agreement of Rights Holders
	  	 	24	  
			
	 Section 17.
	 	 Rights Certificate Holder Not Deemed a Stockholder
	  	 	25	  
			
	 Section 18.
	 	 Concerning the Rights Agent
	  	 	25	  
			
	 Section 19.
	 	 Merger, Share Exchange, Consolidation or Change of Name of Rights Agent
	  	 	26	  
			
	 Section 20.
	 	 Duties of Rights Agent
	  	 	27	  
			
	 Section 21.
	 	 Change of Rights Agent
	  	 	28	  

  
 i 

							
	 	 	 	  	Page	 
	 Section 22.
	 	 Issuance of New Rights Certificates
	  	 	29	  
			
	 Section 23.
	 	 Redemption and Termination
	  	 	29	  
			
	 Section 24.
	 	 Exchange
	  	 	30	  
			
	 Section 25.
	 	 Notice of Certain Events
	  	 	32	  
			
	 Section 26.
	 	 Notices
	  	 	32	  
			
	 Section 27.
	 	 Supplements and Amendments
	  	 	33	  
			
	 Section 28.
	 	 Successors
	  	 	34	  
			
	 Section 29.
	 	 Determinations and Actions by the Board
	  	 	34	  
			
	 Section 30.
	 	 Benefits of this Agreement
	  	 	34	  
			
	 Section 31.
	 	 Severability
	  	 	34	  
			
	 Section 32.
	 	 Governing Law
	  	 	34	  
			
	 Section 33.
	 	 Counterparts
	  	 	35	  
			
	 Section 34.
	 	 Force Majeure
	  	 	35	  
			
	 Section 35.
	 	 Descriptive Headings; Interpretation
	  	 	35	  
			
	 Section 36.
	 	 Exclusive Jurisdiction
	  	 	35	  
			
	 Section 37.
	 	 Confidentiality
	  	 	36	  

  
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 RIGHTS AGREEMENT 

RIGHTS AGREEMENT, dated as of June 30, 2015 (the “Agreement”), is between Baxalta Incorporated, a Delaware corporation
(the “Company”), and Computershare Inc., a Delaware corporation (“Computershare”), and Computershare Trust Company, N.A., a federally chartered trust company (together with Computershare, the “Rights
Agent”). 
 W I T N E S S E T H : 

WHEREAS, on June 29, 2015 (the “Rights Dividend Declaration Date”), the Board of Directors of the Company (the
“Board”) authorized and declared a dividend distribution of one Right (as hereinafter defined) for each share of Common Stock (as hereinafter defined) outstanding at the close of business on June 30, 2015 (the “Record
Date”) and has authorized the issuance of one Right (as such number may hereinafter be adjusted pursuant to the provisions of Section 11(o) hereof) for each share of Common Stock issued (whether as an original issuance or from
the Company’s treasury) between the Record Date and the earlier of the Distribution Date and the Expiration Date (each as hereinafter defined) and in certain other circumstances provided herein, each Right initially representing the right to
purchase one one-thousandth of a share of Preferred Stock (as hereinafter defined), having the rights, powers and preferences set forth in the form of Certificate of Designations of Series A Junior Participating Preferred Stock attached hereto as
Exhibit A, upon the terms and subject to the conditions hereinafter set forth (the “Rights”); 
 NOW, THEREFORE, in
consideration of the premises and the mutual agreements herein set forth, the parties hereby agree as follows: 
 Section 1.
Definitions. For purposes of this Agreement, the following terms have the meanings indicated: 
 (a) “Acquiring
Person” shall mean any Person who or which, together with all Affiliates and Associates of such Person, shall be the Beneficial Owner of 10% or more of the shares of Common Stock then outstanding. Notwithstanding the foregoing, none of the
following shall be deemed an “Acquiring Person”: 
 (i) the Company; 

(ii) any Subsidiary of the Company; 

(iii) any employee benefit plan of the Company, or of any Subsidiary of the Company, or any Person, trustee or entity holding (or acting in a
fiduciary capacity in respect of) shares of Common Stock for or pursuant to the terms of any such employee benefit plan; 
 (iv) any Person
who is the Beneficial Owner, as of the time of the public announcement of this Agreement (including any shares Beneficial Ownership of which is acquired on the date of announcement pursuant to orders placed prior to becoming aware of such
announcement), of 10%, or more of the shares of Common Stock then outstanding, unless and until such Person shall, after the time of such public announcement of 

 
this Agreement, become the Beneficial Owner of additional shares of Common Stock (other than pursuant to a dividend or distribution paid or made by the Company on the outstanding Common Stock or
pursuant to a split or subdivision of the outstanding shares of Common Stock), other than at a time when such Person is the Beneficial Owner of less than 10% of the outstanding shares of Common Stock and provided that such acquisition does not cause
such Person to then become the Beneficial Owner of 10% or more of the shares of Common Stock then outstanding; or 
 (v) any Person who
becomes the Beneficial Owner of 10% or more of the shares of Common Stock then outstanding as a result of a reduction in the number of shares of Common Stock outstanding due to the repurchase of shares of Common Stock by the Company (or any
Subsidiary of the Company, any employee benefit plan of the Company or of any Subsidiary of the Company, or any Person, trustee or entity holding (or acting in a fiduciary capacity in respect of) shares of Common Stock for or pursuant to the terms
of any such employee benefit plan) unless and until such Person, after becoming aware that such Person has become the Beneficial Owner of 10% or more of the then outstanding shares of Common Stock, acquires beneficial ownership of additional shares
of Common Stock (other than pursuant to a dividend or distribution paid or made by the Company on the outstanding Common Stock or pursuant to a split or subdivision of the outstanding shares of Common Stock). 

Notwithstanding the foregoing paragraphs of this Section 1(a), (A) if the Board determines in good faith that a Person who would otherwise be
an Acquiring Person has become such without actual knowledge (1) that such Person Beneficially Owns a percentage of shares of Common Stock that would otherwise cause such Person to be an “Acquiring Person” or (2) of the
consequences of such Beneficial Ownership under this Agreement, and, in each case, without any plan or intention to change or influence control of the Company, and such Person promptly reduces (or promptly enters into an agreement with the Company,
which agreement is satisfactory to the Board in its sole discretion, to reduce and subsequently reduces in accordance with the terms of such agreement) its, together with all Affiliates and Associates of such Person, Beneficial Ownership of Common
Stock so that such Person would no longer be an Acquiring Person, then such Person shall not be deemed to have become an Acquiring Person for any purposes of this Agreement and (B) if a bona fide swaps dealer who would otherwise be an
“Acquiring Person” has become such as a result of its actions in the ordinary course of its business that the Board determines, in its sole discretion, were taken without the intent or effect of evading or assisting any other Person to
evade the purposes and intent of this Agreement, or otherwise seeking to control or influence the management or policies of the Company, then, and unless and until the Board shall otherwise determine, such Person shall not be deemed to be an
“Acquiring Person” for any purposes of this Agreement. 
 (b) “Act” shall mean the Securities Act of 1933, as
amended. 
 (c) “Adjustment Shares” shall have the meaning set forth in Section 11(a)(ii) hereof. 

(d) “Affiliate” and “Associate” shall have the respective meanings ascribed to such terms in Rule 12b-2 of
the General Rules and Regulations under the Exchange Act, as in effect on the date of this Agreement. 

  
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 (e) “Agreement” shall have the meaning set forth in the preamble to this
Agreement. 
 (f) A Person shall be deemed the “Beneficial Owner” of, and shall be deemed to “beneficially
own” and have “beneficial ownership” of, any securities: 
 (i) which such Person or any of such Person’s
Affiliates or Associates, directly or indirectly, owns or has the right or obligation to acquire (whether such right is exercisable, or such obligation is required to be performed, immediately or only after the passage of time or the fulfillment of
a condition or both) pursuant to any agreement, arrangement or understanding (whether or not in writing) or upon the exercise of conversion rights, exchange rights, rights (other than the Rights), warrants or options, or otherwise; provided,
however, that a Person shall not be deemed the “Beneficial Owner” of, or to “beneficially own,” (A) securities tendered pursuant to a tender or exchange offer made by or on behalf of such Person or any
of such Person’s Affiliates or Associates until such tendered securities are accepted for purchase or exchange, (B) securities issuable upon exercise of Rights at any time prior to the occurrence of a Triggering Event (as hereinafter
defined), or (C) securities issuable upon exercise of Rights from and after the occurrence of a Triggering Event which Rights were acquired by such Person or any of such Person’s Affiliates or Associates prior to the Distribution Date or
pursuant to Section 3(a) or Section 22 hereof or pursuant to Section 11(i) hereof in connection with an adjustment made with respect to any such Rights. 

(ii) which such Person or any of such Person’s Affiliates or Associates, directly or indirectly, has the right to vote or dispose of, or
direct the voting or disposition of, or has “beneficial ownership” of (as determined pursuant to Rule 13d-3 of the General Rules and Regulations under the Exchange Act), including pursuant to any agreement, arrangement or
understanding, whether or not in writing; provided, however, that a Person shall not be deemed the “Beneficial Owner” of, or to “beneficially own,” any security under this Section 1(f)(ii)
as a result of an agreement, arrangement or understanding to vote such security if such agreement, arrangement or understanding (whether or not in writing): (A) arises solely from a revocable proxy given in response to a public proxy or consent
solicitation made pursuant to, and in accordance with, the applicable provisions of the General Rules and Regulations under the Exchange Act, and (B) is not reportable by such Person on Schedule 13D (or any comparable or successor report); 

(iii) which are beneficially owned, directly or indirectly, by any other Person (or any Affiliate or Associate thereof) with which such
Person (or any of such Person’s Affiliates or Associates) has any agreement, arrangement or understanding (other than customary agreements with and between underwriters and selling group members with respect to a bona fide public offering of
securities), written or otherwise, for the purpose of acquiring, holding, voting (except pursuant to a revocable proxy as described in the proviso to Section 1(f)(ii)) or disposing of any voting securities of the Company; or 

(iv) that are the subject of, or the reference securities for, or that underlie, any Derivative Interest of such Person or any of such
Person’s Affiliates or Associates, with the number of shares of Common Stock deemed Beneficially Owned being the notional or other number of shares of Common Stock specified in the documentation evidencing the

  
 3 

 
Derivative Interest as being subject to being acquired upon the exercise or settlement of the Derivative Interest or as the basis upon which the value or settlement amount of such Derivative
Interest is to be calculated in whole or in part or, if no such number of shares of Common Stock is specified in such documentation, as determined by the Board in its sole discretion to be the number of shares of Common Stock to which the Derivative
Interest relates. 
 For all purposes of this Agreement, the phrase “then outstanding,” when used with reference to the percentage of the
then outstanding securities “beneficially owned” by a Person, shall include the number of securities then issued and outstanding plus the number of such securities not then actually issued and outstanding which such Person would be
deemed to “beneficially own” hereunder; provided, however, that nothing in this Section 1(f) shall cause a Person engaged in business as an underwriter of securities to be the “Beneficial
Owner” of, or to “beneficially own,” any securities acquired through such Person’s participation in good faith in a firm commitment underwriting until the expiration of forty days after the date of such acquisition,
and then only if such securities continue to be owned by such Person at such expiration of forty days. 
 (g) “Board”
shall have the meaning set forth in the recitals of this Agreement. 
 (h) “Business Day” shall mean any day other than a
Saturday, Sunday or a day on which banking institutions in the State of New York are authorized or obligated by law or executive order to close. 

(i) “Close of business” on any given date shall mean 5:00 P.M., New York City time, on such date; provided,
however, that if such date is not a Business Day, it shall mean 5:00 P.M., New York City time, on the next succeeding Business Day. 

(j) “Common Stock” shall mean the common stock, par value $0.01 per share, of the Company, except that “Common
Stock” when used with reference to any Person other than the Company shall mean the capital stock of such Person with the greatest voting power, or the equity securities or other equity interest having power to control or direct the
management, of such Person. 
 (k) “Company” shall have the meaning set forth in the preamble to this Agreement. 

(l) “Computershare” shall have the meaning set forth in the preamble to this Agreement. 

(m) “Current Market Price” shall have the meaning set forth in Section 11(d)(i) hereof. 

(n) “Current Value” shall have the meaning set forth in Section 11(a)(iii) hereof. 

(o) “Derivative Interest” shall mean an interest in any derivative securities (as defined under Rule 16a–1 under the
Exchange Act) that increases in value as the value of the underlying securities increases, including a long convertible security, a long call 

  
 4 

 
option and a short put option position, in each case regardless of whether (i) such interest conveys any voting rights in such security, (ii) such interest is required to be, or is
capable of being, settled through delivery of such security or (iii) transactions hedge the economic effect of such interest. 
 (p)
“Distribution Date” shall have the meaning set forth in Section 3(a) hereof. 
 (q) “Equivalent
Preferred Stock” shall have the meaning set forth in Section 11(b) hereof. 
 (r) “Exchange Act”
shall mean the Securities Exchange Act of 1934, as amended. 
 (s) “Exchange Ratio” shall have the meaning set forth in
Section 24 hereof. 
 (t) “Expiration Date” shall have the meaning set forth in Section 7(a)
hereof. 
 (u) “Final Expiration Date” shall mean 5:00 P.M., New York City time, on May 1, 2016. 

(v) “Person” shall mean any individual, firm, corporation, partnership, limited liability company, trust, association,
syndicate, group (as such term is used in Rule 13d-5 under the Exchange Act, as such rule is in effect on the date of this Agreement) or other entity and includes any successor (by merger or otherwise) of any such Person and also includes an
unincorporated group of persons who, by formal or informal agreement or arrangement, have embarked on a common purpose or act. 
 (w)
“Preferred Stock” shall mean shares of Series A Junior Participating Preferred Stock, par value $0.01 per share, of the Company, having such rights and preferences as are set forth in the form of Certificate of Designations attached
as Exhibit A hereto. 
 (x) “Principal Party” shall have the meaning set forth in Section 13(b)
hereof. 
 (y) “Purchase Price” shall have the meaning set forth in Section 4 hereof. 

(z) “Record Date” shall have the meaning set forth in the recitals of this Agreement. 

(aa) “Redemption Price” shall have the meaning set forth in Section 23(a) hereof. 

  
 5 

 (bb) “Rights” shall have the meaning set forth in the recitals of this
Agreement. 
 (cc) “Rights Agent” shall have the meaning set forth in the preamble of this Agreement. 

(dd) “Rights Certificate” shall have the meaning set forth in Section 3(a) hereof. 

(ee) “Rights Dividend Declaration Date” shall have the meaning set forth in the recitals of this Agreement. 

(ff) “Stock Acquisition Date” shall mean the first date of a public announcement (or a report filed or furnished under the
Exchange Act) by the Company or an Acquiring Person that an Acquiring Person has become such pursuant to this Agreement. 
 (gg)
“Subsidiary” shall mean, with reference to any Person, any corporation or other entity of which an amount of securities or other ownership interests having ordinary voting power sufficient to elect at least a majority of the
directors or other Persons having similar functions of such corporation or other entity are at the time, directly or indirectly, beneficially owned by such Person. 

(hh) “Summary of Rights” shall have the meaning set forth in Section 3(b) hereof. 

(ii) “Trading Day” shall have the meaning set forth in Section 11(d)(i) hereof. 

(jj) “Triggering Event” shall mean any event described in Section 11(a)(ii) or clauses (x), (y) or
(z) of Section 13(a) hereof. 
 Section 2. Appointment of Rights Agent. The Company hereby appoints the Rights Agent
to act as agent for the Company in accordance with the express terms and conditions hereof, and the Rights Agent hereby accepts such appointment. The Company may from time to time appoint such co-Rights Agents as it may deem necessary or desirable,
upon ten days’ prior written notice to the Rights Agent. The Rights Agent has no duty to supervise, and shall in no event be liable for, the acts or omissions of any such co-Rights Agent. 

  
 6 

 Section 3. Issuance of Rights Certificates. 

(a) Until the earlier of (i) the close of business on the tenth Business Day after the Stock Acquisition Date (or, if the tenth Business
Day after the Stock Acquisition Date occurs before the Record Date, the close of business on the Record Date) and (ii) the close of business on the tenth Business Day (or such later date as the Board shall determine) after the date that a
tender or exchange offer by any Person (other than the Company, any Subsidiary of the Company, any employee benefit plan of the Company or of any Subsidiary of the Company, or any Person, trustee or entity holding (or acting in a fiduciary capacity
in respect of) shares of Common Stock for or pursuant to the terms of any such employee benefit plan) is first published or sent or given within the meaning of Rule 14d-2(a) of the General Rules and Regulations under the Exchange Act, if upon
consummation thereof, such Person would become an Acquiring Person (the earlier of (i) and (ii) being herein referred to as the “Distribution Date”), (x) the Rights will be evidenced (subject to the provisions of
Section 3(b) and (c)) by the certificates for the Common Stock registered in the names of the holders of the Common Stock (which certificates for Common Stock shall be deemed also to be certificates for the applicable number of
Rights attached to each share of Common Stock) and not by separate certificates (or, for shares participating in the direct registration system, by notations in the respective book entry accounts for the Common Stock), and (y) the Rights will
be transferable only in connection with the transfer of the underlying shares of Common Stock (including a transfer to the Company). As soon as practicable after the Distribution Date, but subject to the following sentence, the Company shall prepare
and execute, the Rights Agent shall countersign (either manual or facsimile signature) and the Company shall deliver or cause to be delivered (and the Rights Agent shall, if requested to do so by the Company and provided with all necessary
information and documentation, in form, format and substance satisfactory to the Rights Agent, deliver) by first-class, postage prepaid mail (or such other method requested by the Company and agreed to by the Rights Agent) to each record holder of
the Common Stock as of the close of business on the Distribution Date, at the address of such holder shown on the records of the Company or the transfer agent or registrar for the shares of Common Stock, one or more rights certificates, in
substantially the form of Exhibit B hereto (the “Rights Certificates”), evidencing one Right for each share of Common Stock so held, subject to adjustment as provided herein. To the extent that a Triggering Event under
Section 11(a)(ii) hereof has also occurred, the Company may implement such procedures, as it deems appropriate in its sole discretion, to minimize the possibility that Rights are received by Persons whose Rights would be null and void
under Section 7(e) hereof. In the event that an adjustment in the number of Rights per share of Common Stock has been made pursuant to Section 11(o) hereof, at the time of distribution of the Rights Certificates, the Company
shall make the necessary and appropriate rounding adjustments (in accordance with Section 14(a) hereof) (with prompt written notice thereof to the Rights Agent) so that Rights Certificates representing only whole numbers of Rights are
distributed and cash is paid in lieu of any fractional Rights. As of and after the Distribution Date, the Rights will be evidenced solely by such Rights Certificates (or by book-entry notations), and the Rights will be transferable separately from
the transfer of shares of Common Stock. 
 (b) The Company will make available, as promptly as practicable following the Record Date, a
copy of a Summary of Rights, in substantially the form attached hereto as Exhibit C (the “Summary of Rights”), to any holder of Rights who may so request from time to time prior to the Expiration Date. With respect to
certificates for the Common Stock 

  
 7 

 
outstanding as of the Record Date, or issued subsequent to the Record Date, unless and until the Distribution Date shall occur, the Rights will be evidenced by such certificates for the Common
Stock (or, in the case of shares reflected on the direct registration system, the notations in the book-entry account) and the registered holders of the Common Stock shall also be the registered holders of the associated Rights. Until the earlier of
the Distribution Date and the Expiration Date, the surrender for transfer of any shares of Common Stock in respect of which Rights have been issued shall also constitute the transfer of the Rights associated with such shares of Common Stock.
Notwithstanding anything to the contrary set forth in this Agreement, upon the effectiveness of a redemption pursuant to Section 23 hereof or an exchange pursuant to Section 24 hereof, the Company shall not thereafter issue
any additional Rights and, for the avoidance of doubt, no Rights shall be attached to or shall be issued with any shares of Common Stock (including any shares of Common Stock issued pursuant to an exchange) at any time thereafter. 

(c) Rights shall be issued in respect of all shares of Common Stock that are issued (whether originally issued or from the Company’s
treasury) after the Record Date but prior to the earlier of the Distribution Date and the Expiration Date. Certificates representing shares of Common Stock shall also be deemed to be certificates for Rights. Such certificates shall bear a legend in
substantially the following form if such certificates are issued after the Record Date but prior to the earlier of the Distribution Date and the Expiration Date: 

This certificate also evidences and entitles the holder hereof to certain Rights as set forth in the Rights Agreement between
Baxalta Incorporated (the “Company”) and Computershare Inc. and Computershare Trust Company, N.A. (together, the “Rights Agent”), dated as of June 30, 2015, as it may be amended, supplemented or restated from
time to time (the “Rights Agreement”), the terms of which are hereby incorporated herein by reference and a copy of which is on file at the principal executive offices of the Company. Under certain circumstances, as set forth in the
Rights Agreement, such Rights will be evidenced by separate certificates and will no longer be evidenced by this certificate. The Company will mail or cause to be mailed to the holder of this certificate a copy of the Rights Agreement, as in effect
on the date of mailing, without charge, after receipt of a written request therefor. Under certain circumstances set forth in the Rights Agreement, Rights issued to, or held by, any Person who is, was or becomes an Acquiring Person or any Affiliate
or Associate thereof (as such terms are defined in the Rights Agreement), whether currently held by or on behalf of such Person or by any subsequent holder, may become null and void. 

With respect to such certificates containing the foregoing legend, until the earlier of (i) the Distribution Date and (ii) the
Expiration Date, the transfer of any of such certificates shall also constitute the transfer of the Rights associated with the Common Stock represented by such certificates. Similarly, during such time periods, transfers of shares participating in
the direct registration system shall also be deemed to be transfers of the associated Rights. In the case of any shares participating in the direct registration system, the Company shall cause the transfer agent for the Common Stock to include on
each direct registration account statement with respect thereto issued prior to the Distribution Date a notation to the effect that the Company will mail to the stockholder a copy of the Agreement, as in effect on the date of mailing, without
charge, after receipt of a written request therefor and that the recipient of the statement, as a holder of shares of Common Stock, may have certain rights thereunder. 

  
 8 

 
Notwithstanding this Section 3(c), the omission of the legend required hereby shall not affect the enforceability of any part of this Agreement or the rights of any holder of the
Rights. In the event that shares of the Common Stock are not represented by certificates, references in this Agreement to certificates shall be deemed to refer to the notations in the book entry accounts reflecting ownership of such shares. 

(d) If the Company purchases or acquires any shares of Common Stock after the Record Date but prior to the Distribution Date, any Rights
associated with such shares of Common Stock shall be deemed canceled and retired so that the Company shall not be entitled to exercise any Rights associated with the shares of Common Stock that are no longer outstanding. 

Section 4. Form of Rights Certificates. The Rights Certificates (and the forms of election to purchase and of assignment to be printed
on the reverse thereof) shall each be substantially in the form set forth in Exhibit B hereto and may have such marks of identification or designation and such legends, summaries or endorsements printed thereon as the Company may deem
appropriate and as are not inconsistent with the provisions of this Agreement, or as may be required to comply with any applicable law or with any rule or regulation made pursuant thereto or with any rule or regulation of any stock exchange on which
the Rights may from time to time be listed, or to conform to usage. Subject to the provisions of Section 11 and Section 22 hereof, the Rights Certificates, whenever distributed, shall be dated as of the Record Date and on
their face shall entitle the holders thereof to purchase such number of one one-thousandths of a share of Preferred Stock as shall be set forth therein at the price set forth therein (such exercise price per one one-thousandths of a share, the
“Purchase Price”), but the amount and type of securities purchasable upon the exercise of each Right and the Purchase Price thereof shall be subject to adjustment as provided herein. The Company may implement such procedures as it
deems appropriate, in its sole discretion, to minimize the possibility that Rights are received by Persons whose Rights would be null and void hereunder. Notwithstanding anything to the contrary in this Agreement, the Company and the Rights Agent
may amend this Agreement to provide for uncertificated Rights in addition to or in place of Rights evidenced by Rights Certificates. 

Section 5. Countersignature and Registration. 

(a) The Rights Certificates shall be executed on behalf of the Company by its Chairman of the Board, its Chief Executive Officer, its
President or any Vice President, either manually or by facsimile signature, shall have affixed thereto the Company’s seal or a facsimile thereof and shall be attested by the Secretary or an Assistant Secretary of the Company, either manually or
by facsimile signature. The Rights Certificates shall be countersigned by the Rights Agent, either manually or by facsimile signature, and shall not be valid for any purpose unless so countersigned. In case any officer of the Company who shall have
signed any of the Rights Certificates shall cease to be such officer of the Company before countersignature by the Rights Agent and issuance and delivery by the Company, such Rights Certificates, nevertheless, may be countersigned by the Rights
Agent and issued and delivered by the Company with the same force and effect as though the person who signed such Rights Certificates had not ceased to be such officer of the Company. Any Rights Certificate may be signed on behalf of the Company by
any person who, at the actual date of the execution of such Rights Certificate, is a proper officer of the Company to sign such Rights Certificate, even if at the date of the execution of this Agreement any such person was not such an officer. 

  
 9 

 (b) Following the Distribution Date, the Rights Agent will keep, or cause to be kept, at its
office or offices designated as the appropriate place for surrender of Rights Certificates upon exercise or transfer, books for registration and transfer of the Rights Certificates issued hereunder. Such books shall show the names and addresses of
the respective holders of the Rights Certificates, the number of Rights evidenced on its face by each of the Rights Certificates and the date of each of the Rights Certificates. 

Section 6. Transfer, Split-Up, Combination and Exchange of Rights Certificates; Lost, Stolen, Destroyed or Mutilated Rights
Certificates. 
 (a) Subject to the provisions of Section 4, Section 7(e) and Section 14 hereof, at
any time after the close of business on the Distribution Date and at or prior to the close of business on the Expiration Date, any Rights Certificate (other than a Rights Certificate representing Rights that may have been exchanged pursuant to
Section 24 hereof) may be transferred, split up, combined or exchanged for another Rights Certificate, entitling the registered holder to purchase a like number of one one-thousandths of a share of Preferred Stock (or, following a
Triggering Event, Common Stock, other securities, cash or other assets, as the case may be) as the Rights Certificate surrendered then entitles such holder (or former holder in the case of a transfer) to purchase. Any registered holder desiring to
transfer, split up, combine or exchange any Rights Certificate shall make such request in writing delivered to the Rights Agent, and shall surrender the Rights Certificate to be transferred, split up, combined or exchanged at the office or offices
of the Rights Agent designated for such purpose, along with such other documentation as the Company or the Rights Agent may reasonably request. Notwithstanding anything in this Agreement to the contrary, neither the Rights Agent nor the Company
shall be obligated to take any action whatsoever with respect to the transfer of any such surrendered Rights Certificate until the registered holder shall have properly completed and duly signed the certificate contained in the form of assignment on
the reverse side of such Rights Certificate and shall have provided such additional evidence, as the Company or the Rights Agent may reasonably request, of the identity of the Beneficial Owner (or former Beneficial Owner) or Affiliates or Associates
thereof as the Company shall reasonably request. Thereupon the Rights Agent shall, subject to Section 4, Section 7(e), Section 14 hereof and Section 24 hereof, countersign (by manual or facsimile
signature) and deliver to the Person entitled thereto a Rights Certificate as so requested. The Company may require payment from any holder of a Rights Certificate of a sum sufficient to cover any tax or governmental charge that may be imposed in
connection with any transfer, split up, combination or exchange of Rights Certificates. 
 (b) Upon receipt by the Company and the Rights
Agent of evidence reasonably satisfactory to them of the loss, theft, destruction or mutilation of a Rights Certificate, and, in case of loss, theft or destruction, of indemnity or security reasonably satisfactory to them, along with such other
documentation as the Company or the Rights Agent may reasonably request, and reimbursement to the Company and the Rights Agent of all reasonable expenses incidental thereto, and, in the case of mutilation, upon surrender to the Rights Agent and
cancellation of the Rights Certificate, the Company, upon receipt by the Rights Agent of an open 

  
 10 

 
penalty surety bond satisfactory to it and holding it and Company harmless, will execute and deliver a new Rights Certificate of like tenor to the Rights Agent for countersignature and delivery
to the registered owner in lieu of the Rights Certificate so lost, stolen, destroyed or mutilated. Any such new Rights Certificate shall constitute a substitute contractual obligation of the Company, whether or not the allegedly lost, stolen,
mutilated or destroyed Rights Certificate shall be at any time enforceable by anyone. The Rights Agent may, at its option, countersign replacement Rights Certificate for mutilated certificates upon presentation thereof without such indemnity or
security. 
 Section 7. Exercise of Rights; Purchase Price; Expiration Date of Rights. 

(a) Subject to Section 7(e) hereof, at any time after the Distribution Date the registered holder of any Rights Certificate may
exercise the Rights evidenced thereby (except as otherwise provided herein including the restrictions on exercisability set forth in Section 9(c), Section 11(a)(iii) and Section 23(a) hereof) in whole or in part
upon surrender of the Rights Certificate, with the form of election to purchase and the certificate on the reverse side thereof properly completed and duly executed, to the Rights Agent at the office or offices of the Rights Agent designated for
such purpose, together with payment of the aggregate Purchase Price with respect to the total number of one one-thousandths of a share of Preferred Stock (or other securities, cash or other assets, as the case may be) as to which such surrendered
Rights are then exercisable, at or prior to (i) the Final Expiration Date or, if earlier, (ii) the time at which the Rights are redeemed or exchanged as provided in Section 23 and Section 24 hereof (the earlier of
(i) and (ii) being herein referred to as the “Expiration Date”). Except for those provisions herein that expressly survive the termination of this Agreement, this Agreement shall terminate upon the earlier of the
Expiration Date and such time as all outstanding Rights have been exercised, redeemed or exchanged hereunder (other than Rights which have become null and void pursuant to the provisions of Section 7(e) hereof). 

(b) The Purchase Price for each one one-thousandth of a share of Preferred Stock pursuant to the exercise of a Right initially shall be
$200.00, shall be subject to adjustment from time to time as provided in Section 11 and Section 13(a) hereof and shall be payable in accordance with Section 7(c) below. 

(c) Upon receipt of a Rights Certificate representing exercisable Rights, with the form of election to purchase and the certificate properly
completed and duly executed, accompanied by payment, with respect to each Right so exercised, of the Purchase Price per one one-thousandth of a share of Preferred Stock (or other shares, securities, cash or other assets, as the case may be) to be
purchased as set forth below and an amount equal to any applicable transfer or similar tax or charge, the Rights Agent shall, subject to Section 7(f) and Section 20(j) hereof, thereupon promptly (i) (A) requisition
from any transfer agent of the shares of Preferred Stock (or make available, if the Rights Agent is the transfer agent for such shares) certificates for the total number of one one-thousandths of a share of Preferred Stock to be purchased and the
Company hereby irrevocably authorizes and directs each such transfer agent to comply with all such requests, or (B) if the Company shall have elected to deposit the total number of shares of Preferred Stock issuable upon exercise of the Rights
hereunder with a depositary agent, requisition from the depositary agent depositary receipts representing such number of one one-thousandths of a share of Preferred Stock as are to be purchased (in which

  
 11 

 
case certificates for the shares of Preferred Stock represented by such receipts shall be deposited by the transfer agent with the depositary agent) and the Company hereby irrevocably authorizes
and directs the depositary agent to comply with such request, (ii) when necessary to comply with this Agreement, requisition from the Company the amount of cash, if any, to be paid in lieu of the issuance of fractional shares in accordance with
Section 14 hereof, (iii) after receipt of such certificates or depositary receipts, cause the same to be delivered to or, upon the order of the registered holder of such Rights Certificate, registered in such name or names as may be
designated by such holder, and (iv) after receipt thereof, deliver such cash, if any, to or upon the order of the registered holder of such Rights Certificate. The payment of the Purchase Price (as such amount may be reduced pursuant to
Section 11(a)(iii) hereof) shall be made in cash or by certified bank check or bank draft payable to the order of the Company. In the event that the Company is obligated to issue other securities (including Common Stock) of the Company,
pay cash and/or distribute other property pursuant to Section 11(a) hereof, the Company will make all arrangements necessary so that such other securities, cash and/or other property are available for distribution by the Rights Agent, if
and when necessary to comply with this Agreement. The Company reserves the right to require prior to the occurrence of a Triggering Event that, upon any exercise of Rights, a number of Rights be exercised so that only whole shares of Preferred Stock
would be issued. 
 (d) In case the registered holder of any Rights Certificate shall properly exercise less than all of the Rights
evidenced thereby, a new Rights Certificate evidencing the Rights remaining unexercised shall be issued by the Rights Agent and delivered to, or upon the order of, the registered holder of such Rights Certificate, registered in such name or names as
may be designated by such holder, subject to the provisions of Section 14 hereof. 
 (e) Notwithstanding anything in this
Agreement to the contrary, from and after the first occurrence of an event described in Section 11(a)(ii), any Rights beneficially owned by (i) an Acquiring Person or an Associate or Affiliate of an Acquiring Person, (ii) a
transferee of an Acquiring Person (or of any such Associate or Affiliate) who becomes a transferee after the Acquiring Person becomes such, or (iii) a transferee of an Acquiring Person (or of any such Associate or Affiliate) who becomes a
transferee prior to or concurrently with the Acquiring Person becoming such and receives such Rights pursuant to either (A) a transfer (whether or not for consideration) from the Acquiring Person to holders of equity interests in such Acquiring
Person or to any Person with whom the Acquiring Person has any continuing agreement, arrangement or understanding regarding the transferred Rights or (B) a transfer that the Board has determined is part of a plan, arrangement or understanding
which has as a primary purpose or effect the avoidance of this Section 7(e), shall become null and void without any further action and no holder of such Rights shall have any rights whatsoever with respect to such Rights, whether under
any provision of this Agreement or otherwise. The Company shall use all reasonable efforts to insure that the provisions of this Section 7(e) are complied with, but shall have no liability to any holder of Rights Certificates or any
other Person as a result of its failure to make any determinations with respect to an Acquiring Person or any of its Affiliates, Associates or their respective transferees hereunder. 

(f) Notwithstanding anything in this Agreement to the contrary, neither the Rights Agent nor the Company shall be obligated to undertake any
action with respect to a registered holder of a Rights Certificate upon the occurrence of any purported 

  
 12 

 
exercise as set forth in this Section 7 unless and until such registered holder shall have (i) properly completed and duly executed the certificate contained in the form of
election to purchase set forth on the reverse side of the Rights Certificate surrendered for such transfer or exercise and (ii) provided such additional evidence of the identity of the Beneficial Owner (or former Beneficial Owner) or Affiliates
or Associates thereof as the Company or the Rights Agent shall reasonably request. 
 Section 8. Cancellation and Destruction of Rights
Certificates. All Rights Certificates surrendered for the purpose of exercise, transfer, split-up, combination, redemption or exchange shall, if surrendered to the Company or any of its agents, be delivered to the Rights Agent for cancellation
or in canceled form, or, if surrendered to the Rights Agent, shall be canceled by it, and no Rights Certificates shall be issued in lieu thereof except as expressly permitted by any of the provisions of this Agreement. The Company shall deliver to
the Rights Agent for cancellation and retirement, and the Rights Agent shall so cancel and retire, any other Rights Certificate purchased or acquired by the Company otherwise than upon the exercise thereof. The Rights Agent shall deliver all
cancelled Rights Certificates to the Company, or shall, at the written request of the Company, destroy such canceled Rights Certificates, and in such case shall deliver a certificate of destruction thereof to the Company. 

Section 9. Reservation and Availability of Common Stock. 

(a) The Company covenants and agrees that it will cause to be reserved and kept available out of its authorized and unissued shares of
Preferred Stock (and, following the occurrence of a Triggering Event, out of its authorized and unissued shares of Common Stock and/or other securities or out of its authorized and issued shares held in its treasury), the number of shares of
Preferred Stock (and, following the occurrence of a Triggering Event, Common Stock and/or other securities) that, as provided in this Agreement including Section 11(a)(iii) hereof, will be sufficient to permit the exercise in full of all
outstanding Rights. 
 (b) So long as the shares of Preferred Stock (and, following the occurrence of a Triggering Event, Common Stock
and/or other securities) issuable and deliverable upon the exercise of the Rights may be listed on any national securities exchange, the Company shall use its reasonable best efforts to cause, from and after such time as the Rights become
exercisable, all shares reserved for such issuance to be listed on such exchange upon official notice of issuance upon such exercise. 

(c) The Company shall use its reasonable best efforts to (i) file, as soon as practicable following the earliest date after the first
occurrence of an event described in Section 11(a)(ii) on which the consideration to be delivered by the Company upon exercise of the Rights has been determined in accordance with Section 11(a)(iii) hereof, a registration
statement under the Act with respect to the securities purchasable upon exercise of the Rights on an appropriate form, (ii) cause such registration statement to become effective as soon as practicable after such filing, and (iii) cause
such registration statement to remain effective (with a prospectus at all times meeting the requirements of the Act) until the earlier of (A) the date as of which the Rights are no longer exercisable for such securities and (B) the
Expiration Date. The Company will also take such action as may be appropriate under, or to ensure compliance with, the securities or “blue sky” laws of the various states in connection with the exercisability of the

  
 13 

 
Rights. The Company may temporarily suspend, for a period of time not to exceed ninety (90) days after the date set forth in clause (i) of the first sentence of this
Section 9(c), the exercisability of the Rights in order to prepare and file such registration statement and permit it to become effective. Upon any such suspension, the Company shall issue a public announcement stating that the
exercisability of the Rights has been temporarily suspended, as well as a public announcement at such time as the suspension has been rescinded. In addition, if the Company shall determine that a registration statement is required following the
Distribution Date, the Company may temporarily suspend the exercisability of the Rights until such time as a registration statement has been declared effective. Notwithstanding any provision of this Agreement to the contrary, the Rights shall not be
exercisable in any jurisdiction if the requisite qualification in such jurisdiction shall not have been obtained, the exercise thereof shall not be permitted under applicable law or a registration statement shall not have been declared effective.

 (d) The Company covenants and agrees that it will take all such action as may be necessary to ensure that all one one-thousandths of a
share of Preferred Stock (and, following the occurrence of a Triggering Event, Common Stock and/or other securities) delivered upon exercise of Rights shall, at the time of delivery of the certificates for such shares (subject to payment of the
Purchase Price), be duly and validly authorized and issued and fully paid and non-assessable. 
 (e) The Company further covenants and
agrees that it will pay when due and payable any and all federal and state transfer and similar taxes and charges which may be payable in respect of the issuance or delivery of the Rights Certificates and of any certificates for a number of one
one-thousandths of a share of Preferred Stock (or Common Stock and/or other securities, as the case may be) upon the exercise of Rights. Neither the Rights Agent nor the Company shall, however, be required to pay any transfer and similar tax or
charge which may be payable in respect of any transfer or delivery of Rights Certificates to a Person other than, or the issuance or delivery of a number of one one-thousandths of a share of Preferred Stock (or Common Stock and/or other securities,
as the case may be) in respect of a name other than that of the registered holder of the Rights Certificates evidencing Rights surrendered for exercise, nor shall the Rights Agent or the Company be required to register for transfer, issue or deliver
any certificates for a number of one one-thousandths of a share of Preferred Stock (or Common Stock and/or other securities, as the case may be) in a name other than that of the registered holder upon the exercise of any Rights until such tax or
charge shall have been paid (any such tax being payable by the holder of such Rights Certificates at the time of surrender) or until it has been established to the Rights Agent’s and the Company’s reasonable satisfaction that no such tax
or charge is due. 
 Section 10. Preferred Stock Record Date. Each person in whose name any certificate for a number of one
one-thousandths of a share of Preferred Stock (or Common Stock and/or other securities, as the case may be) is issued upon the exercise of Rights shall for all purposes be deemed to have become the holder of record of such fractional shares of
Preferred Stock (or Common Stock and/or other securities, as the case may be) represented thereby on, and such certificate shall be dated, the date upon which the Rights Certificate evidencing such Rights was duly surrendered and payment of the
Purchase Price (and all applicable transfer or similar taxes or charges) was made; provided, however, that if the date of such surrender and payment is a date upon which the Preferred Stock (or Common Stock and/or other securities, as
the case 

  
 14 

 
may be) transfer books of the Company are closed, such Person shall be deemed to have become the record holder of such shares (fractional or otherwise) on, and such certificate shall be dated as
of, the next succeeding Business Day on which the Preferred Stock (or Common Stock and/or other securities, as the case may be) transfer books of the Company are open. Prior to the exercise of the Rights evidenced thereby, the holder of a Rights
Certificate shall not be entitled to any rights of a stockholder of the Company with respect to shares for which the Rights shall be exercisable, including the right to vote, to receive dividends or other distributions or to exercise any preemptive
rights, and shall not be entitled to receive any notice of any proceedings of the Company, except as provided herein. 
 Section 11.
Adjustment of Purchase Price, Number and Kind of Shares or Number of Rights. The Purchase Price, the number and kind of shares covered by each Right and the number of Rights outstanding are subject to adjustment from time to time as provided
in this Section 11. 
 (a) 

(i) In the event the Company shall at any time after the date of this Agreement (A) declare a dividend on the Preferred Stock payable in
shares of Preferred Stock, (B) subdivide or split the outstanding shares of Preferred Stock, (C) combine or consolidate the outstanding shares of Preferred Stock into a smaller number of shares, through a reverse stock split or otherwise,
or (D) issue any shares of its capital stock in a reclassification of the Preferred Stock (including any such reclassification in connection with a consolidation or merger in which the Company is the continuing or surviving entity), except as
otherwise provided in this Section 11(a) and Section 7(e) hereof, the Purchase Price in effect at the time of the record date for such dividend or of the effective date of such subdivision, split, combination, consolidation
or reclassification, and the number and kind of shares of Preferred Stock or capital stock, as the case may be, issuable on such date, shall be proportionately adjusted so that the holder of any Right exercised after such time shall be entitled to
receive, upon payment of the Purchase Price then in effect, the aggregate number and kind of shares of Preferred Stock or capital stock, as the case may be, which, if such Right had been exercised immediately prior to such date, such holder would
have owned upon such exercise and been entitled to receive by virtue of such dividend, subdivision, split, combination, consolidation or reclassification; provided, however, that in no event shall the consideration to be paid upon the
exercise of one Right be less than the aggregate par value of the shares of capital stock of the Company issuable upon exercise of one Right. If an event occurs which would require an adjustment under both this Section 11(a)(i) and
Section 11(a)(ii) hereof, the adjustment provided for in this Section 11(a)(i) shall be in addition to, and shall be made prior to, any adjustment required pursuant to Section 11(a)(ii) hereof. 

(ii) Subject to Section 24 hereof, in the event that any Person shall, at any time after the Rights Dividend Declaration Date,
become an Acquiring Person, unless the event causing such Person to become an Acquiring Person is a transaction set forth in Section 13(a) hereof, then promptly following the occurrence of such event, proper provision shall be made so
that each holder of a Right (except as provided below and in Section 7(e) hereof) shall thereafter have the right to receive, upon exercise thereof at the then current Purchase Price in accordance with the terms of this Agreement, in
lieu of a number of one one-thousandths 

  
 15 

 
of a share of Preferred Stock, such number of shares of Common Stock as shall equal the result obtained by (x) multiplying the then current Purchase Price by the then number of one
one-thousandths of a share of Preferred Stock for which a Right was exercisable immediately prior to the first occurrence of an event described in this Section 11(a)(ii), and (y) dividing that product (which, following such first
occurrence, shall thereafter be referred to as the “Purchase Price” for each Right and for all purposes of this Agreement) by fifty percent (50%) of the Current Market Price (determined pursuant to Section 11(d)
hereof) per share of Common Stock on the date of such first occurrence (such number of shares, the “Adjustment Shares”). 

(iii) In the event that the number of shares of Common Stock that are authorized by the Company’s Certificate of Incorporation but not
outstanding or reserved for issuance for purposes other than upon exercise of the Rights, is not sufficient to permit the exercise in full of the Rights in accordance with Section 11(a)(ii), the Company shall (A) determine the value
of the Adjustment Shares issuable upon the exercise of a Right (the “Current Value”) and (B) with respect to each Right (subject to Section 7(e) hereof), make adequate provision to substitute for the Adjustment
Shares, upon the exercise of a Right and payment of the applicable Purchase Price, (1) cash, (2) a reduction in the Purchase Price, (3) Common Stock or other equity securities of the Company, (4) debt securities of the Company,
(5) other assets, or (6) any combination of the foregoing, having an aggregate value equal to the Current Value (less the amount of any reduction in the Purchase Price), where such aggregate value has been determined by the Board based
upon the advice of a nationally recognized investment banking firm selected by the Board. 
 (b) In case the Company shall fix a record date
for the issuance of rights, options or warrants to all holders of shares of Preferred Stock entitling them to subscribe for or purchase (for a period expiring within forty-five (45) calendar days after such record date) shares of Preferred
Stock (or shares having the same rights, privileges and preferences as the shares of Preferred Stock (“Equivalent Preferred Stock”)) or securities convertible into Preferred Stock or Equivalent Preferred Stock at a price per share
of Preferred Stock or per share of Equivalent Preferred Stock (or having a conversion price per share, if a security convertible into Preferred Stock or Equivalent Preferred Stock) less than the Current Market Price (as determined pursuant to
Section 11(d) hereof) per share of Preferred Stock on such record date, the Purchase Price to be in effect after such record date shall be determined by multiplying the Purchase Price in effect immediately prior to such record date by a
fraction, the numerator of which shall be the number of shares of Preferred Stock outstanding on such record date plus the number of shares of Preferred Stock which the aggregate offering price of the total number of shares of Preferred Stock and/or
Equivalent Preferred Stock to be offered (and/or the aggregate initial conversion price of the convertible securities so to be offered) would purchase at such Current Market Price, and the denominator of which shall be the number of shares of
Preferred Stock outstanding on such record date plus the number of additional shares of Preferred Stock and/or Equivalent Preferred Stock to be offered for subscription or purchase (or into which the convertible securities so to be offered are
initially convertible); provided, however, that in no event shall the consideration to be paid upon the exercise of one Right be less than the aggregate par value of the shares of capital stock of the Company issuable upon exercise of
one Right. In case such subscription price may be paid by delivery of consideration, part or all of which may be in a form other than cash, the value of such consideration shall be as determined in good faith by the

  
 16 

 
Board, whose determination shall be described in a statement filed with the Rights Agent and shall be binding on the Rights Agent and the holders of the Rights. Shares of Preferred Stock owned by
or held for the account of the Company shall not be deemed outstanding for the purpose of any such computation. Such adjustment shall be made successively whenever such a record date is fixed, and in the event that such rights or warrants are not so
issued, the Purchase Price shall be adjusted to be the Purchase Price which would then be in effect if such record date had not been fixed. 

(c) In case the Company shall fix a record date for a distribution to all holders of shares of Preferred Stock (including any such
distribution made in connection with a consolidation or merger in which the Company is the continuing or surviving entity) of cash (other than a regular quarterly cash dividend out of the earnings or retained earnings of the Company), assets (other
than a dividend payable in Preferred Stock, but including any dividend payable in stock other than Preferred Stock) or evidences of indebtedness, or of subscription rights or warrants (excluding those referred to in Section 11(b)
hereof), the Purchase Price to be in effect after such record date shall be determined by multiplying the Purchase Price in effect immediately prior to such record date by a fraction, the numerator of which shall be the Current Market Price (as
determined pursuant to Section 11(d) hereof) per share of Preferred Stock on such record date, less the fair market value (as determined in good faith by the Board, whose determination shall be described in a statement filed with the
Rights Agent and shall be binding on the Rights Agent and the holders of the Rights) of the portion of the cash, assets or evidences of indebtedness so to be distributed or of such subscription rights or warrants applicable to a share of Preferred
Stock, and the denominator of which shall be such Current Market Price (as determined pursuant to Section 11(d) hereof) per share of Preferred Stock; provided, however, that in no event shall the consideration to be paid
upon the exercise of one Right be less than the aggregate par value of the shares of capital stock of the Company issuable upon exercise of one Right. Such adjustments shall be made successively whenever such a record date is fixed, and in the event
that such distribution is not so made, the Purchase Price shall be adjusted to be the Purchase Price which would have been in effect if such record date had not been fixed. 

(d) 
 (i) For the purpose of
any computation hereunder, other than computations made pursuant to Section 11(a)(iii) hereof, the Current Market Price per share of Common Stock on any date shall be deemed to be the average of the daily closing prices per share of such
Common Stock for the thirty (30) consecutive Trading Days immediately prior to such date, and for purposes of computations made pursuant to Section 11(a)(iii) hereof, the Current Market Price per share of Common Stock on any date
shall be deemed to be the average of the daily closing prices per share of such Common Stock for the ten (10) consecutive Trading Days immediately following such date; provided, however, that in the event that the Current Market
Price per share of the Common Stock is determined during a period following the announcement by the issuer of such Common Stock of (A) a dividend or distribution on such Common Stock payable in shares of such Common Stock or securities
convertible into shares of such Common Stock (other than the Rights) or (B) any subdivision, combination, consolidation, reverse stock split or reclassification of such Common Stock, and the ex-dividend date for such dividend or distribution,
or the record date for such subdivision, combination, consolidation, reverse stock split or reclassification, shall not have occurred prior to the commencement of the 

  
 17 

 
requisite thirty (30) Trading Day or ten (10) Trading Day period, as set forth above, then, and in each such case, the Current Market Price shall be properly adjusted to take into
account ex-dividend trading. The closing price for each day shall be the last sale price, regular way, or, in case no such sale takes place on such day, the average of the closing bid and asked prices, regular way, in either case as reported in the
principal consolidated transaction reporting system with respect to securities listed or admitted to trading on the New York Stock Exchange or, if the shares of Common Stock are not listed or admitted to trading on the New York Stock Exchange, the
average of the closing bid and asked prices as furnished by a professional market maker making a market in the Common Stock selected by the Board. The term “Trading Day” shall mean a day on which the principal national securities
exchange on which the shares of Common Stock are listed or admitted to trading is open for the transaction of business or, if the shares of Common Stock are not listed or admitted to trading on any national securities exchange, a Business Day. 

(ii) For the purpose of any computation hereunder, the Current Market Price per share of Preferred Stock shall be determined in the same
manner as set forth above for the Common Stock in Section 11(d)(i). If the Current Market Price per share of Preferred Stock cannot be determined in the manner provided above or if the Preferred Stock is not publicly held or listed or
traded in a manner described in Section 11(d)(i), the Current Market Price per share of Preferred Stock shall be conclusively deemed to be an amount equal to one thousand (1,000) (as such number may be appropriately adjusted for
such events as stock splits, stock dividends and recapitalizations with respect to the Common Stock occurring after the date of this Agreement) multiplied by the Current Market Price per share of the Common Stock. If neither the Common Stock nor the
Preferred Stock is publicly held or so listed or traded, Current Market Price per share of the Preferred Stock shall mean the fair value per share as determined in good faith by the Board, whose determination shall be described in a statement filed
with the Rights Agent and shall be conclusive for all purposes and shall be binding on the Rights Agent and the holders of the Rights. 

(e) Notwithstanding anything herein to the contrary, no adjustment in the Purchase Price shall be required unless such adjustment would
require an increase or decrease of at least 1% in the Purchase Price; provided, however, that any adjustments which by reason of this Section 11(e) are not required to be made shall be carried forward and taken into account
in any subsequent adjustment. All calculations under this Section 11 shall be made to the nearest cent or to the nearest ten-thousandth of a share of Common Stock or other share or one ten-millionth of a share of Preferred Stock, as the
case may be. Notwithstanding the first sentence of this Section 11(e), any adjustment required by this Section 11 shall be made no later than the earlier of (i) three (3) years from the date of the transaction which
mandates such adjustment, and (ii) the Expiration Date. 
 (f) If as a result of an adjustment made pursuant to
Section 11(a)(ii) or Section 13(a) hereof, the holder of any Right thereafter exercised shall become entitled to receive any shares of capital stock other than Preferred Stock, the number of such other shares so receivable
upon exercise of any Right and the Purchase Price thereof shall thereafter be subject to adjustment from time to time in a manner and on terms as nearly equivalent as practicable to the provisions with respect to the Preferred Stock contained in
Sections 11(a), (b), (c), (e), (g), (h), (i), (j), (k) and (m), and the provisions of Sections 7, 9, 10, 13 and 14 hereof with respect to
the Preferred Stock shall apply on like terms to any such other shares. 

  
 18 

 (g) All Rights originally issued by the Company subsequent to any adjustment made to the
Purchase Price hereunder shall evidence the right to purchase, at the adjusted Purchase Price, the number of one one-thousandths of a share of Preferred Stock purchasable from time to time hereunder upon exercise of the Rights, all subject to
further adjustment as provided herein. 
 (h) Unless the Company shall have exercised its election as provided in
Section 11(i), upon each adjustment of the Purchase Price as a result of the calculations made in Sections 11(b) and (c), each Right outstanding immediately prior to the making of such adjustment shall thereafter evidence
the right to purchase, at the adjusted Purchase Price, that number of one one-thousandths of a share of Preferred Stock (calculated to the nearest one-millionth) obtained by (i) multiplying (x) the number of one one-thousandths of a share
covered by a Right immediately prior to this adjustment by (y) the Purchase Price in effect immediately prior to such adjustment of the Purchase Price and (ii) dividing the product so obtained by the Purchase Price in effect immediately
after such adjustment of the Purchase Price. 
 (i) The Company may elect on or after the date of any adjustment of the Purchase Price to
adjust the number of Rights in substitution for any adjustment in the number of one one-thousandths of a share of Preferred Stock purchasable upon the exercise of a Right. Each of the Rights outstanding after the adjustment in the number of Rights
shall be exercisable for the number of one one-thousandths of a share of Preferred Stock for which a Right was exercisable immediately prior to such adjustment. Each Right held of record prior to such adjustment of the number of Rights shall become
that number of Rights (calculated to the nearest one-ten-thousandth) obtained by dividing the Purchase Price in effect immediately prior to adjustment of the Purchase Price by the Purchase Price in effect immediately after adjustment of the Purchase
Price. The Company shall make a public announcement of its election to adjust the number of Rights, indicating the record date for the adjustment, and, if known at the time, the amount of the adjustment to be made. This record date may be the date
on which the Purchase Price is adjusted or any day thereafter, but, if the Rights Certificates have been distributed, shall be at least ten (10) days after the date of the public announcement. If Rights Certificates have been distributed, upon
each adjustment of the number of Rights pursuant to this Section 11(i), the Company shall, as promptly as practicable, cause to be distributed to holders of record of Rights Certificates on such record date Rights Certificates
evidencing, subject to Section 14, the additional Rights to which such holders shall be entitled as a result of such adjustment or, at the option of the Company, shall cause to be distributed to such holders of record in substitution and
replacement for the Rights Certificates held by such holders prior to the date of adjustment, and upon surrender thereof if required by the Company, new Rights Certificates evidencing all of the Rights to which such holders shall be entitled after
such adjustment. Rights Certificates to be distributed shall be issued, executed and countersigned in the manner provided for herein and shall be registered in the names of the holders of record of Rights Certificates on the record date specified in
the public announcement. 

  
 19 

 (j) Irrespective of any adjustment or change in the Purchase Price or the number of one
one-thousandths of a share of Preferred Stock issuable upon the exercise of the Rights, the Rights Certificates theretofore and thereafter issued may continue to express the Purchase Price per one one-thousandth of a share and the number of one
one-thousandths of a share which were expressed in the initial Rights Certificates issued hereunder. 
 (k) Before taking any action that
would cause an adjustment reducing the Purchase Price below the then stated value, if any, of the number of one one-thousandths of a share of Preferred Stock issuable upon exercise of the Rights, the Company shall take any corporate action which
may, in the opinion of its counsel, be necessary in order that the Company may validly and legally issue fully paid and nonassessable such number of one one-thousandths of a share of Preferred Stock at such adjusted Purchase Price. 

(l) If this Section 11 requires that an adjustment in the Purchase Price be made effective as of a record date for a specified
event, the Company may elect to defer until the occurrence of such event the issuance to the holder of any Right exercised after such record date the number of one one-thousandths of a share of Preferred Stock and other capital stock or securities
of the Company, if any, issuable upon such exercise over and above the number of one one-thousandths of a share of Preferred Stock and other capital stock or securities of the Company, if any, issuable upon such exercise on the basis of the Purchase
Price in effect prior to such adjustment; provided, however, that the Company shall deliver to such holder a due bill or other appropriate instrument evidencing such holder’s right to receive such additional shares (fractional or
otherwise) or securities upon the occurrence of the event requiring such adjustment. 
 (m) Notwithstanding anything in this
Section 11 to the contrary, the Company shall be entitled to make such reductions in the Purchase Price, in addition to those adjustments expressly required by this Section 11, as and to the extent that the Board shall
determine, in its sole discretion, to be advisable in order that any (i) combination or subdivision of the Preferred Stock, (ii) issuance wholly for cash of any shares of Preferred Stock at less than the Current Market Price,
(iii) issuance wholly for cash of shares of Preferred Stock or securities which by their terms are convertible into or exchangeable for shares of Preferred Stock, (iv) stock dividends or (v) issuance of rights, options or warrants
referred to in this Section 11, hereafter made by the Company to holders of its Preferred Stock shall not be taxable to such stockholders. 

(n) The Company covenants and agrees that, after the Distribution Date, it will not, except as permitted by Section 23,
Section 24 or Section 27 hereof, take (or permit any Subsidiary to take) any action if at the time such action is taken it is reasonably foreseeable that such action will substantially diminish or otherwise eliminate the
benefits intended to be afforded by the Rights. 
 (o) Notwithstanding anything in this Agreement to the contrary, in the event that the
Company shall at any time after the Rights Dividend Declaration Date and prior to the Distribution Date (i) declare a dividend on the outstanding shares of Common Stock payable in shares of Common Stock, (ii) subdivide the outstanding
shares of Common Stock, or (iii) combine the outstanding shares of Common Stock into a smaller number of shares, the number of Rights associated with each share of Common Stock then outstanding, or issued or delivered thereafter but prior to
the Distribution Date, shall be proportionately adjusted so that 

  
 20 

 
the number of Rights thereafter associated with each share of Common Stock following any such event shall equal the result obtained by multiplying the number of Rights associated with each share
of Common Stock immediately prior to such event by a fraction the numerator which shall be the total number of shares of Common Stock outstanding immediately prior to the occurrence of the event and the denominator of which shall be the total number
of shares of Common Stock outstanding immediately following the occurrence of such event. The adjustments provided for in this Section 11(o) shall be made successively whenever such a dividend is declared or such a subdivision or
combination is effected. 
 Section 12. Certificate of Adjustment. Whenever an adjustment is made or any event affecting the Rights
or their exercisability (including an event that causes Rights to become null and void) occurs as provided in Section 11 and Section 13 hereof, the Company shall (a) promptly prepare a certificate setting forth such
adjustment and a brief statement of the facts accounting for such adjustment, (b) promptly file with the Rights Agent, and with each transfer agent for the Preferred Stock and the Common Stock, a copy of such certificate and (c) if a
Distribution Date has occurred, mail a brief summary thereof to each holder of a Rights Certificate in accordance with Section 25 hereof; provided, however, that the failure to give, or any defect in, any such certificate
or notice shall not affect the validity of such adjustment. The Rights Agent shall have no obligation under any Section of this Agreement to determine whether an adjustment event has occurred or are scheduled or contemplated to occur or to calculate
any of the adjustments set forth in this Agreement. 
 Section 13. Consolidation, Merger, Share Exchange, Sale or Transfer of Assets,
Cash Flow or Earning Power. 
 (a) In the event that, following the Stock Acquisition Date, directly or indirectly, (x) the
Company shall consolidate with, or merge with and into, any other Person and the Company shall not be the continuing or surviving entity of such consolidation or merger, (y) any Person shall consolidate with, or merge with or into, the Company,
and the Company shall be the continuing or surviving entity of such consolidation or merger, and, in connection with such consolidation or merger, all or part of the outstanding shares of Common Stock shall be changed into or exchanged for stock or
other securities of any other Person or cash or any other property, or (z) the Company shall sell or otherwise transfer (or one or more of its Subsidiaries shall sell or otherwise transfer), in one transaction or a series of related
transactions, assets, cash flow or earning power aggregating more than fifty percent (50)% of the assets, cash flow or earning power of the Company and its Subsidiaries (taken as a whole) to any Person or Persons, then, and in each such case, proper
provision shall be made so that: (i) each holder of a Right, except as provided in Section 7(e) hereof, shall thereafter have the right to receive, upon the exercise thereof at the then current Purchase Price in accordance with the
terms of this Agreement, such number of validly authorized and issued, fully paid, non-assessable and freely tradeable shares of Common Stock of the Principal Party (as such term is hereinafter defined), not subject to any liens, encumbrances,
rights of first refusal or other adverse claims, as shall be equal to the result obtained by (1) multiplying the then current Purchase Price by the number of one one-thousandths of a share of Preferred Stock for which a Right is exercisable
immediately prior to the first occurrence of a Triggering Event and (2) dividing that product by fifty percent (50%) of the Current Market Price (determined pursuant to Section 11(d)(i) hereof) per share of the Common Stock of
such Principal Party on the date of consummation of such consolidation, 

  
 21 

 
merger, sale or transfer; (ii) such Principal Party shall thereafter be liable for, and shall assume, by virtue of such consolidation, merger, sale or transfer, all of the obligations and
duties of the Company pursuant to this Agreement; (iii) the term “Company” shall thereafter be deemed to refer to such Principal Party, it being specifically intended that the provisions of Section 11 hereof shall
apply only to such Principal Party following the first occurrence of such a consolidation, merger, sale or transfer; (iv) such Principal Party shall take such steps (including, but not limited to, the reservation of a sufficient number of
shares of its Common Stock) in connection with the consummation of any such transaction as may be necessary to assure that the provisions hereof shall thereafter be applicable, as nearly as reasonably may be, in relation to its shares of Common
Stock thereafter deliverable upon the exercise of the Rights; and (v) the provisions of Section 11(a)(ii) hereof shall be of no effect following the first occurrence of any event described in clause (x), (y) or (z) of this
Section 13(a). 
 (b) “Principal Party” shall mean: 

(i) in the case of any transaction described in clause (x) or (y) of the first sentence of Section 13(a) hereof, the
Person that is the issuer of any securities into which shares of Common Stock are converted in such merger or consolidation, and if no securities are so issued, the Person that is the other party to such merger or consolidation; and 

(ii) in the case of any transaction described in clause (z) of the first sentence of Section 13(a) hereof, the Person that
is the party receiving the greatest portion of the assets, cash flow or earning power transferred pursuant to such transaction or transactions; 

provided, however, that in any such case, (1) if the Common Stock of such Person is not at such time and has not been
continuously over the preceding twelve (12) month period registered under Section 12 of the Exchange Act, and such Person is a direct or indirect Subsidiary of another Person the Common Stock of which is and has been so registered,
“Principal Party” shall refer to such other Person; and (2) in case such Person is a Subsidiary, directly or indirectly, of more than one Person, the Common Stock of two or more of which are and have been so registered,
“Principal Party” shall refer to whichever of such Persons is the issuer of the Common Stock having the greatest aggregate market value. 

(c) The Company shall not consummate any such consolidation, merger, sale or transfer unless the Principal Party shall have a sufficient
number of authorized shares of its Common Stock which have not been issued or reserved for issuance to permit the exercise in full of the Rights in accordance with this Section 13 and unless prior thereto the Company and such Principal
Party shall have executed and delivered to the Rights Agent a supplemental agreement providing for the terms set forth in Section 13(a) and (b) and further providing that, as soon as practicable after the date of any
consolidation, merger or sale or transfer described in Section 13(a), the Principal Party will 
 (i) prepare and file a
registration statement under the Act, with respect to the Rights and the securities purchasable upon exercise of the Rights on an appropriate form, and will use its best efforts to cause such registration statement to (A) become effective as
soon as practicable after such filing and (B) remain effective (with a prospectus at all times meeting the requirements of the Act) until the Expiration Date; 

  
 22 

 (ii) take all such other action as may be necessary to enable the Principal Party to issue the
securities purchasable upon exercise of the Rights, including but not limited to the registration or qualification of such securities under all requisite securities laws or “blue sky” laws of jurisdictions of the various states and
the listing of such securities on such exchanges and trading markets as may be necessary or appropriate; and 
 (iii) deliver to holders of
the Rights historical financial statements for the Principal Party and each of its Affiliates which comply in all respects with the requirements for registration on Form 10 (or any successor form) under the Exchange Act. 

The provisions of this Section 13 shall similarly apply to successive mergers, consolidations or sales or other transfers. 

Section 14. Fractional Rights and Fractional Shares. 

(a) The Company shall not be required to issue fractions of Rights, except prior to the Distribution Date as provided in
Section 11(o) hereof, or to distribute Rights Certificates which evidence fractional Rights. In lieu of such fractional Rights, the Company shall pay to the registered holders of the Rights Certificates with regard to which such
fractional Rights would otherwise be issuable an amount in cash equal to the same fraction of the current market value of a whole Right. For purposes of this Section 14(a), the current market value of a whole Right shall be the closing
price of the Rights for the Trading Day immediately prior to the date on which such fractional Rights would have been otherwise issuable. The closing price of the Rights for any Trading Day shall be the last sale price, regular way, or, in case no
such sale takes place on such day, the average of the closing bid and asked prices, regular way, in either case as reported in the principal consolidated transaction reporting system with respect to securities listed or admitted to trading on the
New York Stock Exchange or, if the Rights are not listed or admitted to trading on the New York Stock Exchange, the average of the closing bid and asked prices as furnished by a professional market maker making a market in the Rights selected by the
Board. If on any such date no such market maker is making a market in the Rights, the fair value of the Rights on such date as determined in good faith by the Board shall be used. 

(b) The Company shall not be required to issue fractions of shares of Preferred Stock (other than fractions which are integral multiples of
one one-thousandth of a share of Preferred Stock) upon exercise of the Rights or to distribute certificates which evidence fractional shares of Preferred Stock (other than fractions which are integral multiples of one one-thousandth of a share of
Preferred Stock). In lieu of fractional shares of Preferred Stock that are not integral multiples of one one-thousandth of a share of Preferred Stock, the Company may pay to the registered holders of Rights Certificates at the time such Rights are
exercised as herein provided an amount in cash equal to the same fraction of the current market value of one one-thousandth of a share of Preferred Stock. For purposes of this Section 14(b), the current market value of one one-thousandth
of a share of Preferred Stock shall be one one-thousandth of the closing price of a share of Preferred Stock (as determined pursuant to Section 11(d)(ii) hereof) on the Trading Day immediately prior to the date of such exercise. 

  
 23 

 (c) Following the occurrence of a Triggering Event, the Company shall not be required to issue
fractions of shares of Common Stock upon exercise of the Rights or to distribute certificates which evidence fractional shares of Common Stock. In lieu of fractional shares of Common Stock, the Company may pay to the registered holders of Rights
Certificates at the time such Rights are exercised as herein provided an amount in cash equal to the same fraction of the current market value of one (1) share of Common Stock. For purposes of this Section 14(c), the current market
value of one share of Common Stock shall be the closing price per share of Common Stock (as determined pursuant to Section 11(d)(i) hereof) on the Trading Day immediately prior to the date of such exercise. 

(d) The holder of a Right by the acceptance of the Rights expressly waives such holder’s right to receive any fractional Rights or any
fractional shares upon exercise of a Right, except as permitted by this Section 14. 
 Section 15. Rights of Action. All
rights of action in respect of this Agreement, excepting the rights of action given to the Rights Agent hereunder, including under Section 18 and Section 20 hereof, are vested in the respective registered holders of the
Rights Certificates (and, prior to the Distribution Date, the registered holders of the Common Stock). Any registered holder of any Rights Certificate (or, prior to the Distribution Date, of the Common Stock), without the consent of the Rights Agent
or of the holder of any other Rights Certificate (or, prior to the Distribution Date, of the Common Stock), may, in the holder’s own behalf and for the holder’s own benefit, enforce, and may institute and maintain any suit, action or
proceeding against the Company to enforce, or otherwise act in respect of, the holder’s right to exercise the Rights evidenced by such Rights Certificate in the manner provided in such Rights Certificate and in this Agreement. Without limiting
the foregoing or any remedies available to the holders of Rights, it is specifically acknowledged that the holders of Rights would not have an adequate remedy at law for any breach of this Agreement and shall be entitled to specific performance of
the obligations hereunder and injunctive relief against actual or threatened violations of the obligations hereunder of any Person subject to this Agreement. 

Section 16. Agreement of Rights Holders. Every holder of a Right, by accepting the same, consents and agrees with the Company and the
Rights Agent and with every other holder of a Right that: 
 (a) prior to the Distribution Date, the Rights will be transferable only in
connection with the transfer of shares of Common Stock; 
 (b) after the Distribution Date, the Rights Certificates are transferable only
on the registry books of the Rights Agent if surrendered at the office or offices of the Rights Agent designated for such purposes, duly endorsed or accompanied by a proper instrument of transfer and with the appropriate forms and certificates
properly completed and duly executed; and 
 (c) subject to Section 6(a) and Section 7(f) hereof, the Company and
the Rights Agent may deem and treat the person in whose name a Rights Certificate (or, prior to the Distribution Date, the associated Common Stock certificate (or book entry shares in respect of Common Stock)) is registered as the absolute owner
thereof and of the Rights evidenced 

  
 24 

 
thereby (notwithstanding any notations of ownership or writing on the Rights Certificate or the associated Common Stock certificate (or notices provided to holders of book entry shares of Common
Stock) made by anyone other than the Company or the Rights Agent) for all purposes whatsoever, and neither the Company nor the Rights Agent shall be affected by any notice to the contrary. 

Section 17. Rights Certificate Holder Not Deemed a Stockholder. No holder, as such, of any Rights Certificate shall be entitled to
vote, receive dividends or be deemed for any purpose the holder of the number of one one-thousandths of a share of Preferred Stock or any other securities of the Company which may at any time be issuable on the exercise or exchange of the Rights
represented thereby, nor shall anything contained herein or in any Rights Certificate be construed to confer upon the holder of any Rights Certificate, as such, any of the rights of a stockholder of the Company or any right to vote for the election
of directors or upon any matter submitted to stockholders at any meeting thereof, or to give or withhold consent to any corporate action, or to receive notice of meetings or other actions affecting stockholders (except as provided in
Section 25), or to receive dividends or subscription rights, or otherwise, until the Rights evidenced by such Rights Certificate shall have been exercised or exchanged in accordance with the provisions hereof. 

Section 18. Concerning the Rights Agent. 

(a) The Company agrees to pay to the Rights Agent reasonable compensation for all services rendered by it hereunder and, from time to time,
on demand of the Rights Agent, its reasonable and documented out-of-pocket expenses incurred in the administration and execution of this Agreement and the exercise and performance of its duties hereunder. The Rights Agent shall be liable hereunder
only for its own gross negligence, willful misconduct or bad faith (each as determined by a final judgment of a court of competent jurisdiction). The Company covenants and agrees to indemnify and to hold the Rights Agent harmless against any costs,
expenses (including reasonable fees of its legal counsel), losses or damages that may be paid, incurred or suffered by it, or to which it may become subject, arising from or out of, directly or indirectly, any claims or liability resulting from its
actions as Rights Agent pursuant hereto; provided, however, that such covenant and agreement of the Company does not extend to, and the Rights Agent shall not be indemnified with respect to, such costs, expenses, losses and damages incurred or
suffered by the Rights Agent as a result of, or arising out of, its own gross negligence, bad faith, or willful misconduct (each as determined by a final judgment of a court of competent jurisdiction). 

(b) The Rights Agent shall be protected, held harmless and shall incur no liability for or in respect of any action taken, suffered or
omitted to be taken by it in connection with its administration of this Agreement in reliance upon any Rights Certificate or certificate for Common Stock or for other securities of the Company, instrument of assignment or transfer, power of
attorney, endorsement, affidavit, letter, notice, direction, consent, certificate, statement, or other paper or document believed by it to be genuine and to have been executed by the proper party or parties or upon any written or oral instructions
or statements from the Company with respect to any matter relating to its acting as Rights Agent hereunder without further inquiry or examination on its part. 

  
 25 

 (c) Notwithstanding anything contained herein to the contrary, the Rights Agent’s aggregate
liability during any term of this Agreement with respect to, arising from, or arising in connection with this Agreement, or from all services provided or omitted to be provided under this Agreement, whether in contract, or in tort, or otherwise, is
limited to, and shall not exceed, the amounts paid hereunder by the Company to the Rights Agent as fees and charges, but not including reimbursable expenses, during the twelve (12) months immediately preceding the event for which recovery from
the Rights Agent is being sought. Neither party to this Agreement shall be liable to the other party for any consequential, indirect, special, punitive or incidental damages under any provisions of this Agreement or for any consequential, indirect,
punitive, special or incidental damages arising out of any act or failure to act hereunder even if that party has been advised of or has foreseen the possibility or likelihood of such damages. The terms under this Section 18 shall survive the
termination or removal of the Rights Agent hereunder. 
 Section 19. Merger, Share Exchange, Consolidation or Change of Name of Rights
Agent. 
 (a) Any Person into which the Rights Agent or any successor Rights Agent may be merged or with which it may effect a share
exchange or be consolidated, or any Person resulting from any merger, share exchange or consolidation to which the Rights Agent or any successor Rights Agent shall be a party, or any Person succeeding to the corporate trust, stock transfer or other
stockholder services business of the Rights Agent or any successor Rights Agent, shall be the successor to the Rights Agent under this Agreement without the execution or filing of any paper or any further act on the part of any of the parties
hereto; but only if such Person would be eligible for appointment as a successor Rights Agent under the provisions of Section 21. If, at the time such successor Rights Agent shall succeed to the agency created by this Agreement, any of
the Rights Certificates shall have been countersigned but not delivered, any such successor Rights Agent may adopt the countersignature of a predecessor Rights Agent and deliver such Rights Certificates so countersigned. If, at that time, any of the
Rights Certificates shall not have been countersigned, any successor Rights Agent may countersign such Rights Certificates either in the name of the predecessor or in the name of the successor Rights Agent. In all such cases, such Rights
Certificates shall have the full force provided in the Rights Certificates and in this Agreement. 
 (b) If, at any time, the name of the
Rights Agent shall be changed and at such time any of the Rights Certificates shall have been countersigned but not delivered, the Rights Agent may adopt the countersignature under its prior name and deliver Rights Certificates so countersigned. If,
at that time, any of the Rights Certificates shall not have been countersigned, the Rights Agent may countersign such Rights Certificates either in its prior name or in its changed name. In all such cases, such Rights Certificates shall have the
full force provided in the Rights Certificates and in this Agreement. 

  
 26 

 Section 20. Duties of Rights Agent. The Rights Agent undertakes the duties and obligations
set forth in this Agreement upon the following terms and conditions, by all of which the Company and the holders of Rights Certificates, by their acceptance thereof, shall be bound: 

(a) The Rights Agent may consult with legal counsel (who may be legal counsel for the Rights Agent or the Company or an employee of the
Rights Agent), and the opinion of such counsel shall be full and complete authorization and protection to the Rights Agent as to any action taken or omitted by it in good faith and in accordance with such opinion. 

(b) Whenever in the performance of its duties under this Agreement the Rights Agent shall deem it necessary or desirable that any fact or
matter be proved or established by the Company prior to taking or suffering any action hereunder, such fact or matter (unless other evidence in respect thereof is specifically prescribed herein) may be deemed to be conclusively proved and
established by a certificate signed by the Chairman of the Board, the Chief Executive Officer, the President, any Vice President, the Treasurer, any Assistant Treasurer, the Secretary or any Assistant Secretary of the Company and delivered to the
Rights Agent, and such certificate shall be full authorization to the Rights Agent for any action taken or suffered in good faith by it under the provisions of this Agreement in reliance upon such certificate. 

(c) The Rights Agent shall not be liable for or by reason of any of the statements of fact or recitals contained in this Agreement or in the
Rights Certificates (except as to its countersignature on such Rights Certificates) or be required to verify the same. All such statements and recitals are and shall be deemed to have been made by the Company only. 

(d) The Rights Agent shall not be under any responsibility in respect of the validity of this Agreement or the execution and delivery hereof
(except the due authorization, execution and delivery hereof by the Rights Agent) or in respect of the validity or execution of any Rights Certificate (except its countersignature thereof); nor shall it be responsible for any breach by the Company
of any covenant or condition contained in this Agreement or in any Rights Certificate; nor shall it be responsible for any adjustment required under the provisions of Section 11, Section 13 or Section 24 hereof or
responsible for the manner, method or amount of any such adjustment or the ascertaining of the existence of facts that would require any such change or adjustment (except with respect to the exercise of Rights evidenced by Rights Certificates after
receipt of notice of any such adjustment, upon which the Rights Agent may rely); nor shall it by any act hereunder be deemed to make any representation or warranty as to the authorization or reservation of any shares of Common Stock or Preferred
Stock or other securities to be issued pursuant to this Agreement or any Rights Certificate or as to whether any shares of Common Stock or Preferred Stock or other securities will, when so issued, be validly authorized and issued, fully paid and
non-assessable. 
 (e) The Company agrees that it will perform, execute, acknowledge and deliver or cause to be performed, executed,
acknowledged and delivered all such further and other acts, instruments and assurances as may reasonably be required by the Rights Agent for the carrying out or performing by the Rights Agent of the provisions of this Agreement. 

(f) The Rights Agent is hereby authorized and directed to accept instructions with respect to the performance of its duties hereunder and
certificates delivered pursuant to any provision hereof from the Chairman of the Board, the Chief Executive Officer, the President, any Vice President, the Secretary, any Assistant Secretary, the Treasurer or any Assistant Treasurer of the Company,
and to apply to such officers for advice or instructions in connection with its duties. The Rights Agent shall not be liable for any action taken, suffered or omitted to be taken by it in good faith in accordance with instructions of any such
officer. 

  
 27 

 (g) The Rights Agent and any stockholder, director, officer or employee of the Rights Agent may
buy, sell or deal in any of the Rights or other securities of the Company or become pecuniarily interested in any transaction in which the Company may be interested, or contract with or lend money to the Company or otherwise act as fully and freely
as though it were not Rights Agent under this Agreement. Nothing herein shall preclude the Rights Agent from acting in any other capacity for the Company or for any other Person. 

(h) The Rights Agent may execute and exercise any of the rights or powers hereby vested in it or perform any duty hereunder either itself
(through its directors, officers and employees) or by or through its attorneys or agents. The Rights Agent shall not be answerable or accountable for any act, default, neglect or misconduct of any such attorney or agent or for any loss to the
Company resulting from any such act, default, neglect or misconduct, absent gross negligence, bad faith or willful misconduct (each as determined by a final judgment of a court of competent jurisdiction) in the selection and continued employment
thereof. 
 (i) From time to time after the Distribution Date, upon the written request of the Company, the Rights Agent will promptly
deliver to the Company a list, as of the most reasonable practicable date (or as of such earlier date as may be specified by the Company), of the record holders of Rights and Rights Certificates. 

(j) If, with respect to any Rights Certificate surrendered to the Rights Agent for exercise or transfer, the certificate attached to the form
of assignment or form of election to purchase, as the case may be, has either not been completed or indicates an affirmative response to clause 1 and/or 2 thereof, the Rights Agent shall not take any further action with respect to such
requested exercise or transfer without first consulting with the Company. 
 (k) The Rights Agent shall not be obligated to expend or risk
its own funds or to take any action that it believes would expose or subject it to expense or liability or to a risk of incurring expense or liability, unless it has been furnished with assurances of repayment or indemnity satisfactory to it. 

Section 21. Change of Rights Agent. The Rights Agent or any successor Rights Agent may resign and be discharged from its duties under
this Agreement upon thirty (30) days’ written notice to the Company by registered or certified mail. The Company may remove the Rights Agent or any successor Rights Agent upon thirty (30) days’ notice in writing, mailed to the
Rights Agent or successor Rights Agent, as the case may be, and to each transfer agent of the Common Stock and Preferred Stock, by registered or certified mail, and, if such removal occurs after the Distribution Date, to the holders of the Rights
Certificates by first-class mail. If the Rights Agent shall resign or be removed or shall otherwise become incapable of acting, the Company shall appoint a successor to the Rights Agent. If the Company shall fail to make such appointment within a
period of thirty (30) days after giving notice of such removal or after it has been notified in writing of such resignation or incapacity by the resigning or incapacitated Rights Agent or by the holder of a Rights Certificate (who shall, with
such notice, submit his Rights 

  
 28 

 
Certificate for inspection by the Company), then any registered holder of any Rights Certificate may apply to any court of competent jurisdiction for the appointment of a new Rights Agent. Any
successor Rights Agent, whether appointed by the Company or by such a court, shall be a legal business entity organized and doing business under the laws of the United States or of any state of the United States, in good standing, which is
authorized under such laws to exercise the powers of a transfer agent and which has at the time of its appointment as Rights Agent a combined capital (including its direct and indirect parents and Subsidiaries) and surplus of at least $50,000,000.
After appointment, the successor Rights Agent shall be vested with the same powers, rights, duties and responsibilities as if it had been originally named as Rights Agent under this Agreement without further act or deed, and the predecessor Rights
Agent shall deliver and transfer to the successor Rights Agent any property at the time held by it hereunder, and execute and deliver any further assurance, conveyance, act or deed necessary for the purpose. Not later than the effective date of any
such appointment, the Company shall file notice thereof in writing with the predecessor Rights Agent and each transfer agent of the Common Stock and the Preferred Stock, and, if such appointment occurs after the Distribution Date, mail a notice
thereof in writing to the registered holders of the Rights Certificates. 
 Section 22. Issuance of New Rights Certificates.
Notwithstanding any of the provisions of this Agreement or of the Rights to the contrary, the Company may, at its option, issue new Rights Certificates evidencing Rights in such form as may be approved by the Board to reflect any adjustment or
change in the Purchase Price and the number or kind or class of shares or other securities or property purchasable under the Rights Certificates made in accordance with the provisions of this Agreement. In addition, in connection with the issuance
or sale of shares of Common Stock following the Distribution Date and prior to the redemption, exchange or expiration of the Rights, the Company (a) shall, with respect to shares of Common Stock so issued or sold pursuant to the exercise of
stock options or under any employee benefit plan or arrangement, granted or awarded as of the Distribution Date, or upon the exercise, conversion or exchange of securities hereinafter issued by the Company (except as may otherwise be provided in the
instrument(s) governing such securities), and (b) may, in any other case, if deemed necessary or appropriate by the Board, issue Rights Certificates representing the appropriate number of Rights in connection with such issuance or sale;
provided, however, that (i) no such Rights Certificate shall be issued if, and to the extent that, the Company shall be advised by counsel that such issuance would create a significant risk of material adverse tax consequences to
the Company or the Person to whom such Rights Certificate would be issued, and (ii) no such Rights Certificate shall be issued if, and to the extent that, appropriate adjustment shall otherwise have been made in lieu of the issuance thereof.

 Section 23. Redemption and Termination. 

(a) The Board may, at its option, at any time prior to the Stock Acquisition Date (or, if the Stock Acquisition Date shall have occurred
prior to the Record Date, the close of business on the tenth Business Day following the Record Date), redeem all but not less than all of the then outstanding Rights at a redemption price of $0.001 per Right, as such amount may be appropriately
adjusted to reflect any stock split, stock dividend or similar transaction occurring after the date hereof (such redemption price being hereinafter referred to as the “Redemption Price”). The Company may, at its option, pay the
Redemption Price in cash, shares of Common Stock (based on the Current Market Price, as defined in Section 11(d)(i) 

  
 29 

 
hereof, of the Common Stock at the time of redemption) or any other form of consideration deemed appropriate by the Board. The redemption of the Rights by the Board may be made effective at such
time, on such basis and subject to such conditions as the Board in its sole discretion may establish. 
 (b) Immediately upon the action of
the Board electing to redeem the Rights, and without any further action and without any notice, the right to exercise the Rights will terminate and the only right thereafter of the holders of Rights shall be to receive the Redemption Price for each
Right so held. Promptly after the action of the Board electing to redeem the Rights, the Company shall give notice of such redemption to the Rights Agent and the holders of the then outstanding Rights by mailing such notice to all such holders at
each holder’s last address as it appears upon the registry books of the Rights Agent or, prior to the Distribution Date, on the registry books of the transfer agent for the Common Stock. Any notice which is mailed in the manner herein provided
shall be deemed given, whether or not the holder receives the notice. Each such notice of redemption will state the method by which the payment of the Redemption Price will be made. The failure to give, or any defect in, any such notice shall not
affect the validity of such redemption. 
 (c) Neither the Company nor any of its Affiliates or Associates may redeem, acquire or purchase
for value any Rights at any time in any manner other than that specifically set forth in this Section 23 or in Section 24 and other than in connection with the purchase or repurchase by any of them of Common Stock prior to
the Distribution Date. 
 Section 24. Exchange. 

(a) The Board may, at its option, at any time after the Stock Acquisition Date, exchange all or part of the then outstanding and exercisable
Rights (which shall not include Rights that have become void pursuant to the provisions of Section 7(e) hereof) for Common Stock at an exchange ratio of one share of Common Stock per Right, appropriately adjusted to reflect any stock
split, stock dividend or similar transaction occurring after the date hereof (the “Exchange Ratio”). Notwithstanding the foregoing, the Board shall not be empowered to effect such exchange at any time after (i) any Person
(other than the Company, any Subsidiary of the Company, any employee benefit plan of the Company or any such Subsidiary, or any entity holding Common Stock for or pursuant to the terms of any such plan), together with all Affiliates and Associates
of such Person, becomes the Beneficial Owner of fifty percent (50%) or more of the Common Stock then outstanding or (ii) the occurrence of an event specified in Section 13(a) hereof. 

(b) Immediately upon the action of the Board electing to exchange Rights pursuant to Section 24(a) and without any further action
and without any notice, the right to exercise such Rights shall terminate and the only right thereafter of a holder of such Rights shall be to receive that number of shares of Common Stock equal to the number of such Rights held by such holder
multiplied by the Exchange Ratio. The Company shall promptly give public notice of any such exchange; provided, however, that the failure to give, or any defect in, such notice shall not affect the validity of such exchange. The
Company promptly shall mail a notice of any such exchange to all of the holders of such Rights at their last addresses as they appear upon the registry books of the Rights Agent. Any notice which is mailed in the manner herein

  
 30 

 
provided shall be deemed given, whether or not the holder receives the notice. Each such notice of exchange will state the method by which the exchange of the Common Stock for Rights will be
effected and, in the event of any partial exchange, the number of Rights which will be exchanged. Any partial exchange shall be effected pro rata based on the number of Rights (other than Rights which have become void pursuant to the provisions of
Section 7(e) hereof) held by each holder of Rights. 
 (c) Following the action of the Board ordering the exchange of any
Rights pursuant to Section 24(a), the Company may implement such procedures in its sole discretion as it deems appropriate for the purpose of ensuring that the Common Stock (or such other consideration) issuable upon an exchange pursuant
to this Section 24 not be received by holders of Rights that have become void pursuant to Section 7(e) hereof. In furtherance thereof, if so directed by the Company, shares of Common Stock (or other consideration) potentially
issuable to holders of Rights upon an exchange pursuant to this Section 24 who have not verified to the satisfaction of the Company, in its sole discretion, that they are not Acquiring Persons, may be deposited in a trust established by
the Company pending receipt of appropriate verification. To the extent that such trust is established, holders of Rights entitled to receive such shares of Common Stock (or other consideration) pursuant to an exchange pursuant to this
Section 24 who have not previously received such shares of Common Stock (or other consideration) shall be entitled to receive such shares of Common Stock (or other consideration) (and any dividends paid or distributions made thereon
after the date on which such Common Shares (or other consideration) are deposited in the trust) only from the trust and solely upon compliance with the relevant terms and provisions of the applicable trust agreement. 

(d) In any exchange pursuant to this Section 24, the Company, at its option, may substitute Preferred Stock (or Equivalent
Preferred Stock, as such term is defined in Section 11(b)) for Common Stock exchangeable for Rights, at the initial rate of one one-thousandth of a share of Preferred Stock (or Equivalent Preferred Stock) for each share of Common Stock,
as appropriately adjusted to reflect stock splits, stock dividends and other similar transactions after the date hereof. 
 (e) In the
event that there shall not be sufficient shares of Common Stock issued but not outstanding or authorized but unissued to permit any exchange of Rights as contemplated in accordance with this Section 24, the Company shall take all such
action as may be necessary to authorize additional shares of Common Stock for issuance upon exchange of the Rights. 
 (f) The Company
shall not be required to issue fractional shares of Common Stock or to distribute certificates that evidence fractional shares of Common Stock. In lieu of such fractional shares of Common Stock, there shall be paid to the registered holders of the
Rights Certificates with regard to which such fractional shares of Common Stock would otherwise be issuable an amount in cash equal to the same fraction of the current market value of a whole share of Common Stock. For the purposes of this
Section 24(f), the current market value of a whole share of Common Stock shall be the closing price of a share of Common Stock (as determined pursuant to the second sentence of Section 11(d)(i)) for the Trading Day
immediately prior to the date of exchange pursuant to this Section 24. 

  
 31 

 Section 25. Notice of Certain Events. 

(a) In case the Company shall propose, at any time after the Distribution Date, (i) to pay any dividend payable in stock of any class to
the holders of Preferred Stock or to make any other distribution to the holders of Preferred Stock (other than a regular quarterly cash dividend out of earnings or retained earnings of the Company), (ii) to offer to the holders of Preferred
Stock rights or warrants to subscribe for or to purchase any additional shares of Preferred Stock or shares of stock of any class or any other securities, rights or options, (iii) to effect any reclassification of its Preferred Stock (other
than a reclassification involving only the subdivision of outstanding shares of Preferred Stock), (iv) to effect any share exchange, consolidation or merger into or with any other Person or to effect any sale or other transfer (or to permit one
or more of its Subsidiaries to effect any sale or other transfer), in one transaction or a series of related transactions, of more than fifty percent (50%) of the assets, cash flow or earning power of the Company and its Subsidiaries (taken as
a whole) to any other Person, (v) to effect the liquidation, dissolution or winding up of the Company or (vi) to declare or pay any dividend on the shares of Common Stock payable in Common Stock, or to effect a subdivision, combination or
consolidation of the Common Stock (by reclassification or otherwise than by payment of dividends in shares of Common Stock), then, in each such case, the Company shall give to each holder of a Rights Certificate, in accordance with
Section 26, a notice of such proposed action, which notice shall specify the record date for the purposes of such stock dividend, distribution of rights or warrants, or the date on which such reclassification, consolidation, merger,
sale, transfer, liquidation, dissolution, or winding up is to take place and the date of participation therein by the holders of the shares of Preferred Stock and/or Common Stock, if any such date is to be fixed, and such notice shall be so given in
the case of any action covered by clause (i) or (ii) above at least ten (10) days prior to the record date for determining holders of the shares of Preferred Stock for purposes of such action, and in the case of any such other action,
at least ten (10) days prior to the date of the taking of such proposed action or the date of participation therein by the holders of the shares of Preferred Stock, whichever shall be the earlier. 

(b) In case any event described in Section 11(a)(ii) shall occur, (i) the Company shall as soon as practicable thereafter
give to each holder of a Rights Certificate, to the extent feasible and in accordance with Section 26 hereof, a notice of the occurrence of such event, which notice shall specify the event and the consequences of the event to holders of
Rights under Section 11(a)(ii) hereof, and (ii) all references in the preceding paragraph to Preferred Stock shall be deemed thereafter to refer to Common Stock and/or, if appropriate, other securities. 

Section 26. Notices. Notices or demands authorized by this Agreement to be given or made by the Rights Agent or by the holder of any
Rights Certificate to or on the Company shall be delivered by recognized national overnight delivery service or by first-class mail, postage prepaid and properly addressed (until another address is filed in writing with the Rights Agent by the
Company) as follows: 
 Baxalta Incorporated 

One Baxter Parkway 
 Deerfield,
IL 60015 
 Attention: General Counsel 

  
 32 

 Subject to the provisions of Section 21, any notice or demand authorized by this Agreement to be
given or made by the Company or by the holder of any Rights Certificate to or on the Rights Agent shall be delivered by recognized national overnight delivery service or by first-class mail, postage prepaid, addressed (until another address is filed
in writing by the Rights Agent with the Company) as follows: 
 Computershare Trust Company, N.A. 

250 Royall Street 
 Canton,
Massachusetts 02021 
 Attention: Client Services 

Notices or demands authorized by this Agreement to be given or made by the Company or the Rights Agent to the holder of any Rights Certificate
(or, if prior to the Distribution Date, to the holder of certificates representing shares of Common Stock) shall be sent by first-class mail, postage prepaid, addressed to such holder at the address of such holder as shown on the registry books of
the Company. Notwithstanding anything to the contrary in this Agreement, prior to the Distribution Date, the issuance of a press release or the making of a publicly available filing by the Company with the Securities and Exchange Commission will
constitute sufficient notice by the Rights Agent or the Company to the holders of securities of the Company, including the Rights, for all purposes of this Agreement and no other notice need be given. 

Section 27. Supplements and Amendments. Prior to the Stock Acquisition Date, the Company and the Rights Agent may supplement or amend
any provision of this Agreement without the approval of any holders of certificates representing shares of Common Stock. From and after the Stock Acquisition Date, the Company and the Rights Agent may supplement or amend this Agreement without the
approval of any holders of Rights Certificates in order (i) to cure any ambiguity, (ii) to correct or supplement any provision contained herein which may be defective or inconsistent with any other provisions herein, (iii) to shorten
or lengthen any time period hereunder or (iv) to change or supplement the provisions hereunder in any manner which the Rights Agent and the Company may deem necessary or desirable and which shall not adversely affect the interests of the
holders of Rights Certificates (other than an Acquiring Person or an Affiliate or Associate of an Acquiring Person). As a condition precedent to the Rights Agent’s execution of any amendment, the Company shall deliver a certificate executed by
an appropriate officer of the Company which states that the proposed supplement or amendment is in compliance with the terms of this Section 27. Notwithstanding anything herein to the contrary contained herein, the Rights Agent may, but
shall not be obligated to, enter into any supplement or amendment that affects the Rights Agent’s own rights, duties, obligations or immunities under this Agreement. Prior to the Stock Acquisition Date, the interests of the holders of Rights
shall be deemed coincident with the interests of the holders of shares of Common Stock. Notwithstanding anything herein to the contrary, this Agreement may not be amended (other than pursuant to clauses (i) or (ii) of the second sentence
of this Section 27) at a time when the Rights are not redeemable. 

  
 33 

 Section 28. Successors. All the covenants and provisions of this Agreement by or for the
benefit of the Company or the Rights Agent shall bind and inure to the benefit of their respective successors. 
 Section 29.
Determinations and Actions by the Board. The Board shall have the exclusive power and authority to administer this Agreement and to exercise all rights and powers specifically granted to the Board or to the Company, or as may be necessary or
advisable in the administration of this Agreement, including the right and power to (i) interpret the provisions of this Agreement, and (ii) make all determinations deemed necessary or advisable for the administration of this Agreement
(including a determination to redeem or not redeem the Rights or to amend the Agreement). All such actions, calculations, interpretations and determinations which are done or made by the Board in good faith shall be final, conclusive and binding on
the Company, the Rights Agent (except with respect to the Rights Agent’s rights, duties, obligations or immunities under this Agreement), the holders of the Rights and all other parties and not subject the Board or any of the directors on the
Board to any liability, including to the holders of the Rights. 
 Section 30. Benefits of this Agreement. Nothing in this Agreement
shall be construed to give to any Person other than the Company, the Rights Agent and the registered holders of the Rights Certificates (and, prior to the Distribution Date, registered holders of the Common Stock) any legal or equitable right,
remedy or claim under this Agreement; but this Agreement shall be for the sole and exclusive benefit of the Company, the Rights Agent and the registered holders of the Rights Certificates (and, prior to the Distribution Date, registered holders of
the Common Stock). 
 Section 31. Severability. If any term, provision, covenant or restriction of this Agreement is held by a court
of competent jurisdiction or other authority to be invalid, void or unenforceable, the remainder of the terms, provisions, covenants and restrictions of this Agreement shall remain in full force and effect and shall in no way be affected, impaired
or invalidated; provided, however, that notwithstanding anything in this Agreement to the contrary, if any such term, provision, covenant or restriction is held by such court or authority to be invalid, void or unenforceable and the
Board determines in its good faith judgment that severing the invalid language from this Agreement would adversely affect the purpose or effect of this Agreement, the right of redemption set forth in Section 23 hereof shall be reinstated
and shall not expire until the close of business on the tenth Business Day following the date of such determination by the Board. 
 Section
32. Governing Law. This Agreement, each Right and each Rights Certificate issued hereunder shall be deemed to be a contract made under the laws of the State of Delaware (without giving effect to the conflicts of laws principles thereof) 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. 

  
 34 

 Section 33. Counterparts. This Agreement 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 but one and the same instrument. A signature to this Agreement transmitted electronically shall have the same
authority, effect and enforceability as an original signature. 
 Section 34. Force Majeure. Notwithstanding anything to the contrary
contained herein, the Rights Agent shall not be liable for any delays or failures in performance resulting from acts beyond its reasonable control including, acts of God, terrorist acts, shortage of supply, breakdowns or malfunctions, interruptions
or malfunctions of computer facilities, or loss of data due to power failures or mechanical difficulties with information storage or retrieval systems, labor difficulties, war or civil unrest. 

Section 35. Descriptive Headings; Interpretation. 

(a) Descriptive headings of the several sections of this Agreement are inserted for convenience only and shall not control or affect the
meaning or construction of any of the provisions hereof. 
 (b) Whenever the words “include,” “includes” or
“including” are used in this Agreement, they shall be deemed to be followed by the words “without limitation.” 

Section 36. Exclusive Jurisdiction. 

(a) The Company and the registered holders of Rights Certificates (and, prior to the Distribution Date, the registered holders of Common
Stock) each hereby irrevocably submits to the exclusive jurisdiction of the Court of Chancery of the State of Delaware, or, if such court lacks subject matter jurisdiction, the United States District Court for the District of Delaware, over any
suit, action or proceeding arising out of or relating to or concerning this Agreement. The Company and the registered holders of Right Certificates (and, prior to the Distribution Date, the registered holders of Common Stock) each acknowledge that
the forum designated by this Section 36(a) has a reasonable relation to this Agreement and to such Persons’ relationship with one another. 

(b) The Company and the registered holders of Rights Certificates (and, prior to the Distribution Date, the registered holders of Common
Stock) each hereby waive, to the fullest extent permitted by applicable law, any objection that they now or hereafter have to personal jurisdiction or to the laying of venue of any such suit, action or proceeding brought in any court referred to in
Section 36(a) (or the appellate courts thereof). The Company and the registered holders of Rights Certificates (and, prior to the Distribution Date, the registered holders of Common Stock) each undertake not to commence any action
subject to this Agreement in any forum other than the forum described in Section 36(a). The Company and the registered holders of Rights Certificates (and, prior to the Distribution Date, the registered holders of Common Stock) each
hereby agree that, to the fullest extent permitted by applicable law, a final and non-appealable judgment in any such suit, action or proceeding brought in any such court will be conclusive and binding upon such Persons. 

  
 35 

 Section 37. Confidentiality. The Rights Agent and the Company agree that all books,
records, information and data pertaining to the business of the other party, including inter alia, personal, non-public warrant holder information, which are exchanged or received pursuant to the negotiation or the carrying out of this Agreement,
including the fees for services set forth in the attached schedule, shall remain confidential, and shall not be voluntarily disclosed to any other person, except as may be required by law, including, without limitation, pursuant to subpoenas from
state or federal government authorities. 

  
 36 

 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed as of the
day and year first above written. 
  

									
	Attest:				BAXALTA INCORPORATED
					
	By:		 /s/ Stephanie Miller
				By:		 /s/ Robert Hombach

	Name:		Stephanie Miller				Name:		Robert Hombach
	Title:		Corporate Secretary				Title:		Chief Financial Officer
			
	Attest:				COMPUTERSHARE TRUST COMPANY, N.A.
					
	By:		 /s/ John Ruocco
				By:		 /s/ David Adamson

	Name:		John Ruocco				Name:		David Adamson
	Title:		Assistant Vice President				Title:		Vice President
				
							COMPUTERSHARE INC.
					
							By:		 /s/ David Adamson

							Name:		David Adamson
							Title:		Vice President

  
 37 

 Exhibit A 

FORM OF 
 CERTIFICATE OF
DESIGNATIONS 
 OF SERIES A JUNIOR PARTICIPATING PREFERRED STOCK 

of 
 BAXALTA INCORPORATED

 Pursuant to Section 151 of the General Corporation Law of the State of Delaware 

I, Robert Hombach, Chief Financial Officer of Baxalta Incorporated, a corporation organized and existing under the General Corporation Law of
the State of Delaware, in accordance with the provisions of Section 103 thereof, DO HEREBY CERTIFY: 
 That pursuant to the authority
vested in the Board of Directors by the Restated Certificate of Incorporation of the Corporation (as may be amended from time to time, the “Certificate of Incorporation”), the Board of Directors on June 29, 2015, duly adopted
the following resolution creating a series of shares of Preferred Stock designated as Series A Junior Participating Preferred Stock: 

RESOLVED, that pursuant to the authority granted to and vested in the Board of Directors of the Corporation in accordance with the provisions
of the Certificate of Incorporation, a series of Preferred Stock of the Corporation be and it hereby is created, and that the designation and amount thereof and the voting powers, preferences and relative, participating, optional and other special
rights of the shares of such series, and the qualifications, limitations or restrictions thereof are as follows: 
 Section 1.
Designation and Amount. The shares of such series shall be designated as “Series A Junior Participating Preferred Stock” and the number of shares constituting such series shall be 10,000,000. Such number of shares may be
increased or decreased by resolution of the Board of Directors; provided, that no decrease shall reduce the number of shares of Series A Junior Participating Preferred Stock to a number less than the number of shares then outstanding plus the number
of shares reserved for issuance upon the exercise of outstanding options, rights or warrants or upon the exercise of any options, rights or warrants issuable upon conversion of any outstanding securities issued by the Corporation convertible into
Series A Junior Participating Preferred Stock. 
 Section 2. Dividends and Distributions. 

(A) Subject to the superior rights of the holders of any shares of any series of Preferred Stock ranking senior to the shares of Series A
Junior Participating Preferred Stock with respect to dividends, the holders of shares of Series A Junior Participating Preferred Stock, in preference to the holders of common stock, par value $0.01 per share, of the Corporation (the “Common
Stock”), and of any other junior stock, shall be entitled to receive, when, as and if declared by the Board of Directors out of funds legally available for the purpose, quarterly dividends payable in cash on the last day of February, May,
August and November in each year (each such date being referred to herein as a “Quarterly Dividend Payment Date”), commencing 

  
 A-1 

 
on the first Quarterly Dividend Payment Date after the first issuance of a share or fraction of a share of Series A Junior Participating Preferred Stock, in an amount per share (rounded to the
nearest cent) equal to the greater of (a) $1.00 or (b) subject to the provision for adjustment hereinafter set forth, one thousand (1,000) times the aggregate per share amount of all cash dividends, and one thousand (1,000) times
the aggregate per share amount (payable in kind) of all non-cash dividends or other distributions, other than a dividend payable in shares of Common Stock or a subdivision of the outstanding shares of Common Stock (by reclassification or otherwise),
declared on the Common Stock since the immediately preceding Quarterly Dividend Payment Date, or, with respect to the first Quarterly Dividend Payment Date, since the first issuance of any share or fraction of a share of Series A Junior
Participating Preferred Stock. In the event the Corporation shall at any time after June 29, 2015 (the “Rights Declaration Date”) (i) declare any dividend on Common Stock payable in shares of Common Stock,
(ii) subdivide the outstanding Common Stock, or (iii) combine the outstanding Common Stock into a smaller number of shares, then in each such case the amount to which holders of shares of Series A Junior Participating Preferred Stock were
entitled immediately prior to such event under clause (b) of the preceding sentence shall be adjusted by multiplying such amount by a fraction, the numerator of which is the number of shares of Common Stock outstanding immediately after such
event and the denominator of which is the number of shares of Common Stock that were outstanding immediately prior to such event. 
 (B) The
Corporation shall declare a dividend or distribution on the Series A Junior Participating Preferred Stock as provided in paragraph (A) above immediately after it declares a dividend or distribution on the Common Stock (other than a
dividend payable in shares of Common Stock); provided that, in the event no dividend or distribution shall have been declared on the Common Stock during the period between any Quarterly Dividend Payment Date and the next subsequent Quarterly
Dividend Payment Date, a dividend of $1.00 per share on the Series A Junior Participating Preferred Stock shall nevertheless be payable on such subsequent Quarterly Dividend Payment Date. 

(C) Dividends shall begin to accrue and be cumulative on outstanding shares of Series A Junior Participating Preferred Stock from the
Quarterly Dividend Payment Date next preceding the date of issue of such shares of Series A Junior Participating Preferred Stock, unless the date of issue of such shares is prior to the record date for the first Quarterly Dividend Payment Date, in
which case dividends on such shares shall begin to accrue from the date of issue of such shares, or unless the date of issue is a Quarterly Dividend Payment Date or is a date after the record date for the determination of holders of shares of Series
A Junior Participating Preferred Stock entitled to receive a quarterly dividend and before such Quarterly Dividend Payment Date, in either of which events such dividends shall begin to accrue and be cumulative from such Quarterly Dividend Payment
Date. Accrued but unpaid dividends shall not bear interest. Dividends paid on the shares of Series A Junior Participating Preferred Stock in an amount less than the total amount of such dividends at the time accrued and payable on such shares shall
be allocated pro rata on a share-by-share basis among all such shares at the time outstanding. The Board of Directors may fix a record date for the determination of holders of shares of Series A Junior Participating Preferred Stock entitled to
receive payment of a dividend or distribution declared thereon, which record date shall be no more than thirty (30) days prior to the date fixed for the payment thereof. 

  
 A-2 

 Section 3. Voting Rights. The holders of shares of Series A Junior Participating
Preferred Stock shall have the following voting rights: 
 (A) Subject to the provision for adjustment hereinafter set forth, each share of
Series A Junior Participating Preferred Stock shall entitle the holder thereof to one thousand (1,000) votes on all matters submitted to a vote of the stockholders of the Corporation. In the event the Corporation shall at any time after the
Rights Declaration Date (i) declare any dividend on Common Stock payable in shares of Common Stock, (ii) subdivide the outstanding Common Stock, or (iii) combine the outstanding Common Stock into a smaller number of shares, then in
each such case the number of votes per share to which holders of shares of Series A Junior Participating Preferred Stock were entitled immediately prior to such event shall be adjusted by multiplying such number by a fraction the numerator of which
is the number of shares of Common Stock outstanding immediately after such event and the denominator of which is the number of shares of Common Stock that were outstanding immediately prior to such event. 

(B) Except as otherwise provided herein or by law, the holders of shares of Series A Junior Participating Preferred Stock and the holders of
shares of Common Stock shall vote together as one class on all matters submitted to a vote of stockholders of the Corporation. 
 (C) Except
as set forth herein, holders of Series A Junior Participating Preferred Stock shall have no special voting rights and their consent shall not be required (except to the extent they are entitled to vote with holders of Common Stock as set forth
herein) for taking any corporate action. 
 Section 4. Certain Restrictions. 

(A) Whenever quarterly dividends or other dividends or distributions payable on the Series A Junior Participating Preferred Stock as provided
in Section 2 are in arrears, thereafter and until all accrued and unpaid dividends and distributions, whether or not declared, on shares of Series A Junior Participating Preferred Stock outstanding shall have been paid in full, the Corporation
shall not 
 (i) declare or pay dividends on, make any other distributions on, or redeem or purchase or otherwise acquire for consideration
any shares of stock ranking junior (either as to dividends or upon liquidation, dissolution or winding up) to the Series A Junior Participating Preferred Stock; 

(ii) declare or pay dividends on or make any other distributions on any shares of stock ranking on a parity (either as to dividends or upon
liquidation, dissolution or winding up) with the Series A Junior Participating Preferred Stock, except dividends paid ratably on the Series A Junior Participating Preferred Stock and all such parity stock on which dividends are payable or in arrears
in proportion to the total amounts to which the holders of all such shares are then entitled; 
 (iii) redeem or purchase or otherwise
acquire for consideration shares of any stock ranking on a parity (either as to dividends or upon liquidation, dissolution or winding up) with the Series A Junior Participating Preferred Stock, provided that the Corporation

  
 A-3 

 
may at any time redeem, purchase or otherwise acquire shares of any such parity stock in exchange for shares of any stock of the Corporation ranking junior (either as to dividends or upon
dissolution, liquidation or winding up) to the Series A Junior Participating Preferred Stock; or 
 (iv) purchase or otherwise acquire for
consideration any shares of Series A Junior Participating Preferred Stock, or any shares of stock ranking on a parity with the Series A Junior Participating Preferred Stock, except in accordance with a purchase offer made in writing or by
publication (as determined by the Board of Directors) to all holders of such shares upon such terms as the Board of Directors, after consideration of the respective annual dividend rates and other relative rights and preferences of the respective
series and classes, shall determine in good faith will result in fair and equitable treatment among the respective series or classes. 
 (B)
The Corporation shall not permit any subsidiary of the Corporation to purchase or otherwise acquire for consideration any shares of stock of the Corporation unless the Corporation could, under paragraph (A) of this Section 4,
purchase or otherwise acquire such shares at such time and in such manner. 
 Section 5. Reacquired Shares. Any shares of Series
A Junior Participating Preferred Stock purchased or otherwise acquired by the Corporation in any manner whatsoever shall be retired and cancelled promptly after the acquisition thereof. All such shares shall upon their cancellation become authorized
but unissued shares of Preferred Stock and may be reissued as part of a new series of Preferred Stock to be created by resolution or resolutions of the Board of Directors, subject to the conditions and restrictions on issuance set forth herein or as
otherwise required by law. 
 Section 6. Liquidation, Dissolution or Winding Up. (i) Upon any liquidation (voluntary or
otherwise), dissolution or winding up of the Corporation, no distribution shall be made to the holders of shares of stock ranking junior (either as to dividends or upon liquidation, dissolution or winding up) to the Series A Junior Participating
Preferred Stock unless, prior thereto, the holders of shares of Series A Junior Participating Preferred Stock shall have received an amount equal to $1,000.00 per share of Series A Junior Participating Preferred Stock, plus an amount equal to
accrued and unpaid dividends and distributions thereon, whether or not declared, to the date of such payment (the “Series A Liquidation Preference”). Following the payment of the full amount of the Series A Liquidation Preference,
no additional distributions shall be made to the holders of shares of Series A Junior Participating Preferred Stock unless, prior thereto, the holders of shares of Common Stock shall have received an amount per share (the “Common
Adjustment”) equal to the quotient obtained by dividing (i) the Series A Liquidation Preference by (ii) one thousand (1,000) (as appropriately adjusted as set forth in subparagraph (C) below to reflect such events as
stock splits, stock dividends and recapitalizations with respect to the Common Stock) (such number in clause (ii), the “Adjustment Number”). Following the payment of the full amount of the Series A Liquidation Preference and
the Common Adjustment in respect of all outstanding shares of Series A Junior Participating Preferred Stock and Common Stock, respectively, holders of Series A Junior Participating Preferred Stock and holders of shares of Common Stock shall receive
their ratable and proportionate share of the remaining assets to be distributed in the ratio of the Adjustment Number to 1 with respect to such Preferred Stock and Common Stock, on a per share basis, respectively. 

  
 A-4 

 (B) In the event, however, that there are not sufficient assets available to permit payment in
full of the Series A Liquidation Preference and the liquidation preferences of all other series of preferred stock, if any, which rank on a parity with the Series A Junior Participating Preferred Stock, then such remaining assets shall be
distributed ratably to the holders of such parity shares in proportion to their respective liquidation preferences. In the event, however, that there are not sufficient assets available to permit payment in full of the Common Adjustment, then such
remaining assets shall be distributed ratably to the holders of Common Stock. 
 (C) In the event the Corporation shall at any time after
the Rights Declaration Date (i) declare any dividend on Common Stock payable in shares of Common Stock, (ii) subdivide the outstanding Common Stock, or (iii) combine the outstanding Common Stock into a smaller number of shares, then
in each such case the Adjustment Number in effect immediately prior to such event shall be adjusted by multiplying such Adjustment Number by a fraction the numerator of which is the number of shares of Common Stock outstanding immediately after such
event and the denominator of which is the number of shares of Common Stock that were outstanding immediately prior to such event. 

Section 7. Consolidation, Merger, etc. In case the Corporation shall enter into any consolidation, merger, combination or other
transaction in which the shares of Common Stock are exchanged for or changed into other stock or securities, cash and/or any other property, then in any such case the shares of Series A Junior Participating Preferred Stock shall at the same time be
similarly exchanged or changed in an amount per share (subject to the provision for adjustment hereinafter set forth) equal to one thousand (1,000) times the aggregate amount of stock, securities, cash and/or any other property (payable in
kind), as the case may be, into which or for which each share of Common Stock is changed or exchanged. In the event the Corporation shall at any time after the Rights Declaration Date (i) declare any dividend on Common Stock payable in shares
of Common Stock, (ii) subdivide the outstanding Common Stock, or (iii) combine the outstanding Common Stock into a smaller number of shares, then in each such case the amount set forth in the preceding sentence with respect to the exchange
or change of shares of Series A Junior Participating Preferred Stock shall be adjusted by multiplying such amount by a fraction the numerator of which is the number of shares of Common Stock outstanding immediately after such event and the
denominator of which is the number of shares of Common Stock that were outstanding immediately prior to such event. 
 Section 8. No
Redemption. The shares of Series A Junior Participating Preferred Stock shall not be redeemable. 
 Section 9. Ranking. The
Series A Junior Participating Preferred Stock shall rank junior to any and all other series of the Corporation’s Preferred Stock as to the payment of dividends and the distribution of assets, unless the terms of any such series shall provide
otherwise. 

  
 A-5 

 Section 10. Amendment. At any time when any shares of Series A Junior Participating
Preferred Stock are outstanding, neither the Certificate of Incorporation nor this Certificate of Designation shall be amended in any manner which would materially alter or change the powers, preferences or special rights of the Series A Junior
Participating Preferred Stock so as to affect them adversely without the affirmative vote of the holders of a majority or more of the outstanding shares of Series A Junior Participating Preferred Stock, voting separately as a class. 

Section 11. Fractional Shares. Series A Junior Participating Preferred Stock may be issued in fractions of a share which shall
entitle the holder, in proportion to such holder’s fractional shares, to exercise voting rights, receive dividends, participate in distributions and to have the benefit of all other rights of holders of Series A Junior Participating Preferred
Stock. 
 [Signature Page Follows] 

  
 A-6 

 IN WITNESS WHEREOF, we have executed and subscribed this Certificate and do affirm the foregoing
as true under the penalties of perjury this             day of June, 2015. 
  

			
	By:		  

	Name:		  

	Title:		  

  

			
	Attest:		
	By:		  

	Name:		  

	Title:		  

  
 A-7 

 Exhibit B 

[Form of Rights Certificate] 
 Certificate
No. R- [                    ] Rights 
 NOT
EXERCISABLE AFTER MAY 1, 2016 OR SUCH EARLIER DATE AS THE RIGHTS ARE REDEEMED, EXCHANGED OR TERMINATED. THE RIGHTS ARE SUBJECT TO REDEMPTION AT THE OPTION OF THE COMPANY, AT $0.001 PER RIGHT, AND TO EXCHANGE ON THE TERMS SET FORTH IN THE RIGHTS
AGREEMENT. UNDER CERTAIN CIRCUMSTANCES, RIGHTS BENEFICIALLY OWNED BY AN ACQUIRING PERSON (AS SUCH TERM IS DEFINED IN THE RIGHTS AGREEMENT) AND ANY SUBSEQUENT HOLDER OF SUCH RIGHTS MAY BECOME NULL AND VOID. 

Rights Certificate 
 BAXALTA
INCORPORATED 
 This certifies that
[                    ], or registered assigns, is the registered owner of the number of Rights set forth above, each of which entitles the owner
thereof, subject to the terms, provisions and conditions of the Rights Agreement, dated as of June 30, 2015 (the “Rights Agreement”), between Baxalta Incorporated, a Delaware corporation (the “Company”), and
Computershare Trust Company, N.A. (the “Rights Agent”), to purchase from the Company at any time prior to 5:00 P.M. (New York City time) on May 1, 2016 or the Rights are earlier redeemed, exchanged or terminated, at the office
or offices of the Rights Agent designated for such purpose, or its successors as Rights Agent, one one-thousandth of a fully paid, non-assessable share of Series A Junior Participating Preferred Stock, $0.01 par value per share (the
“Preferred Stock”) of the Company, at a purchase price of $200.00 per one one-thousandth of a share (the “Purchase Price”), upon presentation and surrender of this Rights Certificate with the Form of Election to
Purchase and related Certificate duly executed. The number of Rights evidenced by this Rights Certificate (and the number of shares which may be purchased upon exercise thereof) set forth above, and the Purchase Price per share set forth above, are
the number and Purchase Price as of June 30, 2015, based on the Preferred Stock as constituted at such date. The Company reserves the right to require prior to the occurrence of a Triggering Event (as such term is defined in the Rights
Agreement) that a number of Rights be exercised so that only whole shares of Preferred Stock will be issued. Capitalized terms used in this Rights Certificate without definition shall have the meanings ascribed to them in the Rights Agreement. 

Upon the occurrence of any event described in Section 11(a)(ii), if the Rights evidenced by this Rights Certificate are
beneficially owned by (i) an Acquiring Person or an Affiliate or Associate of any such Acquiring Person (as such terms are defined in the Rights Agreement), (ii) a transferee of any such Acquiring Person, Associate or Affiliate, or
(iii) under certain circumstances specified in the Rights Agreement, a transferee of a person who, after such transfer, became an Acquiring Person, or an Affiliate or Associate of an Acquiring Person, such Rights shall become null and void and
no holder hereof shall have any right with respect to such Rights from and after the occurrence of such event. 

  
 B-1 

 As provided in the Rights Agreement, the Purchase Price and the number and kind of shares of
Preferred Stock or other securities, which may be purchased upon the exercise of the Rights evidenced by this Rights Certificate are subject to modification and adjustment upon the happening of certain events, including Triggering Events. 

This Rights Certificate is subject to all of the terms, provisions and conditions of the Rights Agreement, which terms, provisions and
conditions are hereby incorporated herein by reference and made a part hereof and to which Rights Agreement reference is hereby made for a full description of the rights, limitations of rights, obligations, duties and immunities hereunder of the
Rights Agent, the Company and the holders of the Rights Certificates, which limitations of rights include the temporary suspension of the exercisability of such Rights under the specific circumstances set forth in the Rights Agreement. Copies of the
Rights Agreement are on file at the above-mentioned office of the Rights Agent and are also available upon written request to the Rights Agent. 

This Rights Certificate, with or without other Rights Certificates, upon surrender at the office or offices of the Rights Agent designated for
such purpose, may be exchanged for another Rights Certificate or Rights Certificates of like tenor and date evidencing Rights entitling the holder to purchase a like aggregate number of one one-thousandths of a share of Preferred Stock as the Rights
evidenced by the Rights Certificate or Rights Certificates surrendered shall have entitled such holder to purchase. If this Rights Certificate shall be exercised in part, the holder shall be entitled to receive upon surrender hereof another Rights
Certificate or Rights Certificates for the number of whole Rights not exercised. 
 Subject to the provisions of the Rights Agreement, the
Rights evidenced by this Certificate may be redeemed by the Company at its option at a redemption price of $0.001 per Right at any time prior to the earlier of the close of business on (i) the tenth Business Day following the Stock Acquisition
Date, and (ii) the Final Expiration Date. In addition, under certain circumstances following the Stock Acquisition Date, the Rights may be exchanged, in whole or in part, for shares of the Common Stock, or shares of Preferred Stock having
essentially the same value or economic rights as such shares. Immediately upon the action of the Board of Directors of the Company authorizing any such exchange, and without any further action or any notice, the Rights (other than Rights which are
not subject to such exchange) will terminate and the Rights will only enable holders to receive the shares issuable upon such exchange. 

No fractional shares of Preferred Stock will be issued upon the exercise of any Right or Rights evidenced hereby (other than fractions which
are integral multiples of one one-thousandth of a share of Preferred Stock, which may, at the election of the Company, be evidenced by depositary receipts), but in lieu thereof a cash payment will be made, as provided in the Rights Agreement. The
Company, at its election, may require that a number of Rights be exercised so that only whole shares of Preferred Stock would be issued. 

No holder of this Rights Certificate shall be entitled to vote or receive dividends or be deemed for any purpose the holder of shares of
Preferred Stock or of any other securities of the Company which may at any time be issuable on the exercise hereof, nor shall anything contained in the Rights Agreement or herein be construed to confer upon the holder hereof, as such, any of the
rights of a stockholder of the Company or any right to vote for the election of 

  
 B-2 

 directors or upon any matter submitted to stockholders at any meeting thereof, or to give consent to or withhold
consent from any corporate action, or, to receive notice of meetings or other actions affecting stockholders (except as provided in the Rights Agreement), or to receive dividends or subscription rights, or otherwise, until the Right or Rights
evidenced by this Rights Certificate shall have been exercised as provided in the Rights Agreement. 
 This Rights Certificate shall not be
valid or obligatory for any purpose until it shall have been countersigned by the Rights Agent. 
 WITNESS the facsimile signature of the
proper officers of the Company and its corporate seal. 
 Dated as of [            ]
[    ], [            ] 
  

							
	ATTEST:				BAXALTA INCORPORATED
				
	  
				By:		  

	Secretary				Title:		

  

			
	Countersigned:
	
	COMPUTERSHARE TRUST COMPANY, N.A.
		
	By:		  

			Authorized Signature
	
	COMPUTERSHARE INC.
		
	By:		  

			Authorized Signature

  
 B-3 

 [Form of Reverse Side of Rights Certificate] 

FORM OF ASSIGNMENT 
 (To be
executed by the registered holder if such 
 holder desires to transfer the Rights Certificate.) 

FOR VALUE RECEIVED
                                         
                            hereby sells, assigns and transfers unto
                
                                        
                                         
                                         
                                         
                                         
        
                                        
                                         
                                         
                                         
                                         
         
 (Please print name and address of transferee) 

 
  

this Rights Certificate, together with all right, title and interest therein, and does hereby irrevocably constitute and appoint
                     Attorney, to transfer the within Rights Certificate on the books of the within named Company, with full power of
substitution. 
 Dated:             ,
         
 Signature 

Signature Guaranteed: 
 Certificate 

The undersigned hereby certifies by checking the appropriate boxes that: 

(1) this Rights Certificate
[                    ] is [                    ]
is not being sold, assigned and transferred by or on behalf of a Person who is or was an Acquiring Person or an Affiliate or Associate of any such Acquiring Person (as such terms are defined pursuant to the Rights Agreement); 

(2) after due inquiry and to the best knowledge of the undersigned, it [ ] did [ ] did not acquire the Rights evidenced by this Rights
Certificate from any Person who is, was or subsequently became an Acquiring Person or an Affiliate or Associate of an Acquiring Person. 
  

					
	Dated: [            ], [        ]				  

					Signature
			
	Signature Guaranteed:				

  
 B-4 

 NOTICE 

The signature to the foregoing Assignment and Certificate must correspond to the name as written upon the face of this Rights Certificate in
every particular, without alteration or enlargement or any change whatsoever. 

  
 B-5 

 FORM OF ELECTION TO PURCHASE 

(To be executed if holder desires to exercise Rights represented by the Rights Certificate.) 

To: BAXALTA INCORPORATED: 
 The undersigned
hereby irrevocably elects to exercise [                    ] Rights represented by this Rights Certificate to purchase the shares of Preferred
Stock issuable upon the exercise of the Rights (or such other securities of the Company or of any other person which may be issuable upon the exercise of the Rights) and requests that certificates for such shares be issued in the name of and
delivered to: 
 Please insert social security 
 or other
identifying number 
  
  

(Please print name and address) 
  

 
 If such number of Rights shall not
be all the Rights evidenced by this Rights Certificate, a new Rights Certificate for the balance of such Rights shall be registered in the name of and delivered to: 

Please insert social security 
 or other identifying number 

 
  

(Please print name and address) 
  

 
  

 
 Dated:
[            ], [        ] 
 Signature
Guaranteed: 

  
 B-6 

 Certificate 

The undersigned hereby certifies by checking the appropriate boxes that: 

(1) the Rights evidenced by this Rights Certificate
[                    ] are [                    ]
are not being exercised by or on behalf of a Person who is or was an Acquiring Person or an Affiliate or Associate of any such Acquiring Person (as such terms are defined pursuant to the Rights Agreement); 

(2) after due inquiry and to the best knowledge of the undersigned, it
[                    ] did [                    ]
did not acquire the Rights evidenced by this Rights Certificate from any Person who is, was or became an Acquiring Person or an Affiliate or Associate of an Acquiring Person. 
  

					
	Dated: [            ], [        ]				  

					Signature
			
	Signature Guaranteed:				

  
 B-7 

 NOTICE 

The signature to the foregoing Election to Purchase and Certificate must correspond to the name as written upon the face of this Rights
Certificate in every particular, without alteration or enlargement or any change whatsoever. 

  
 B-8 

 Exhibit C 

FORM OF 
 SUMMARY OF
RIGHTS TO PURCHASE 
 PREFERRED STOCK 

On June 29, 2015, the Board of Directors of Baxalta Incorporated (the “Company”) declared a dividend distribution of one
right (a “Right”) for each outstanding share of common stock, par value $0.01 per share, of the Company (the “Common Stock”), to stockholders of record at the close of business on June 30, 2015 (the
“Record Date”). Each Right entitles the registered holder to purchase from the Company a unit consisting of one one-thousandth of a share (a “Unit”) of Series A Junior Participating Preferred Stock, par value $0.01
per share (the “Series A Junior Participating Preferred Stock”) at a purchase price of $200.00 per Unit, subject to adjustment (the “Purchase Price”). The description and terms of the Rights are set forth in a
Rights Agreement (the “Rights Agreement”) between the Company and Computershare Trust Company, N.A., as Rights Agent. 
 Rights
Certificates; Exercise Period. 
 Initially, the Rights will be attached to all Common Stock certificates representing shares
then outstanding, and no separate rights certificates (“Rights Certificates”) will be distributed. Subject to certain exceptions specified in the Rights Agreement, the Rights will separate from the Common Stock and a distribution
date (“Distribution Date”) will occur upon the earlier of (i) 10 business days following a public announcement that a person or group of affiliated or associated persons (an “Acquiring Person”) has acquired
beneficial ownership of 10% or more of the outstanding shares of Common Stock (the “Stock Acquisition Date”), other than as a result of (a) preexisting beneficial ownership in excess of the applicable threshold (in which case
such person shall become an Acquiring Person upon acquisition of an additional 0.001% of the outstanding shares of Common Stock), (b) repurchases of stock by the Company or (c) certain inadvertent actions by institutional or certain other
stockholders, and (ii) 10 business days (or such later date as the Board shall determine) following the commencement of a tender offer or exchange offer that would result in a person or group becoming an Acquiring Person. Until the Distribution
Date, (i) the Rights will be evidenced by the Common Stock certificates (or, in the case of shares reflected on the direct registration system, by the notations in the book entry accounts) and will be transferred with and only with such Common
Stock, (ii) new Common Stock certificates issued after the Record Date will contain a notation incorporating the Rights Agreement by reference and (iii) the surrender for transfer of any certificates for Common Stock outstanding will also
constitute the transfer of the Rights associated with the Common Stock represented by such certificates. Pursuant to the Rights Agreement, the Company reserves the right to require prior to the occurrence of a Triggering Event (as defined below)
that, upon any exercise of Rights, a number of Rights be exercised so that only whole shares of Preferred Stock will be issued. 
 The
Rights are not exercisable until the Distribution Date and will expire at 5:00 P.M. (New York City time) on May 1, 2016, unless the Rights are earlier redeemed, exchanged or terminated. 

  
 C-1 

 As soon as practicable after the Distribution Date, Rights Certificates will be mailed to holders
of record of the Common Stock as of the close of business on the Distribution Date and, thereafter, the separate Rights Certificates alone will represent the Rights. Except as otherwise determined by the Board of Directors, only shares of Common
Stock issued prior to the Distribution Date will be issued with the Rights. 
 Flip-in Trigger. 

In the event that a person or group of affiliated or associated persons becomes an Acquiring Person, each holder of a Right will thereafter
have the right to receive, upon exercise, Common Stock (or, in certain circumstances, cash, property or other securities of the Company) having a value equal to two times the exercise price of the Right. Notwithstanding any of the foregoing,
following the occurrence of any of the events set forth in this paragraph, all Rights that are, or (under certain circumstances specified in the Rights Agreement) were, beneficially owned by any Acquiring Person will be null and void. However,
Rights are not exercisable following the occurrence of the event set forth above until such time as the Rights are no longer redeemable by the Company as set forth below. 

For example, at an exercise price of $200 per Right, each Right not owned by an Acquiring Person (or by certain related parties) following an
event set forth in the preceding paragraph would entitle its holder to purchase $400 worth of Common Stock (or other consideration, as noted above) for $200. 

Flip-over Trigger. 
 In the event that, at
any time following the Stock Acquisition Date, (i) the Company engages in a merger or other business combination transaction in which the Company is not the surviving entity, (ii) the Company engages in a merger or other business
combination transaction in which the Company is the surviving entity and the Common Stock is changed or exchanged, or (iii) fifty percent (50%) or more of the Company’s assets, cash flow or earning power is sold or transferred, each
holder of a Right (except Rights which have previously been voided as set forth above) shall thereafter have the right to receive, upon exercise, common stock of the acquiring company having a value equal to two times the exercise price of the
Right. The events set forth in this paragraph and in the second preceding paragraph are referred to as the “Triggering Events.” 

Exchange Feature. 
 At any time after a
person becomes an Acquiring Person and prior to the acquisition by such person or group of fifty percent (50%) or more of the outstanding Common Stock, the Board may exchange the Rights (other than Rights owned by such person or group which
have become void), in whole or in part, at an exchange ratio of one share of Common Stock, or one one-thousandth of a share of Preferred Stock (or of a share of a class or series of the Company’s preferred stock having equivalent rights,
preferences and privileges), per Right (subject to adjustment). 

  
 C-2 

 Equitable Adjustments. 

The Purchase Price payable, and the number of Units of Preferred Stock or other securities or property issuable, upon exercise of the Rights
are subject to adjustment from time to time to prevent dilution (i) in the event of a stock dividend on, or a subdivision, combination or reclassification of, the Preferred Stock, (ii) if holders of the Preferred Stock are granted certain
rights or warrants to subscribe for Preferred Stock or convertible securities at less than the current market price of the Preferred Stock, or (iii) upon the distribution to holders of the Preferred Stock of evidences of indebtedness or assets
(excluding regular quarterly cash dividends) or of subscription rights or warrants (other than those referred to above). 
 With certain
exceptions, no adjustment in the Purchase Price will be required until cumulative adjustments amount to at least 1% of the Purchase Price. No fractional Units will be issued and, in lieu thereof, an adjustment in cash will be made based on the
market price of the Preferred Stock on the last trading date prior to the date of exercise. 
 Redemption Rights. 

At any time prior to the earlier to occur of (i) 10 business days following the Stock Acquisition Date (as such time period may be
extended pursuant to the Rights Agreement) or (ii) the Final Expiration Date, the Company may redeem the Rights in whole, but not in part, at a price of $0.001 per Right (payable in cash, Common Stock or other consideration deemed appropriate
by the Board of Directors). Immediately upon the action of the Board of Directors ordering redemption of the Rights, the Rights will terminate and the only right of the holders of Rights will be to receive the $0.001 redemption price. 

Amendment of Rights. 
 Any of the
provisions of the Rights Agreement may be amended by the Board of Directors of the Company prior to the Distribution Date. After the Distribution Date, the provisions of the Rights Agreement may be amended by the Board in order to cure any
ambiguity, to make changes which do not adversely affect the interests of holders of Rights, or to shorten or lengthen any time period under the Rights Agreement. The foregoing notwithstanding, no amendment may be made at such time as the Rights are
not redeemable, except to cure any ambiguity or correct or supplement any provision contained in the Rights Agreement that may be defective or inconsistent with any other provision therein. 

Miscellaneous. 
 Until a Right is
exercised, the holder thereof, as such, will have no separate rights as a stockholder of the Company, including, without limitation, the right to vote or to receive dividends in respect of the Rights. While the distribution of the Rights will not be
taxable to stockholders or to the Company, stockholders may, depending upon the circumstances, recognize taxable income in the event that the Rights become exercisable for Common Stock (or other consideration) of the Company or for common stock of
the acquiring company or in the event of the redemption of the Rights as set forth above. 

  
 C-3 

 A copy of the Rights Agreement has been or will be filed with the Securities and Exchange
Commission as an Exhibit to a Registration Statement on Form 8-A or a Current Report on Form 8-K. A copy of the Rights Agreement is available free of charge from the Rights Agent. This summary description of the Rights does not purport to be
complete and is qualified in its entirety by reference to the Rights Agreement, which is incorporated herein by reference. 

  
 C-4Exhibit 10.1

 

AMENDED AND RESTATED 
 PATENT LICENSE AGREEMENT

 

THIS AMENDED AND RESTATED PATENT LICENSE AGREEMENT (“Amended and Restated Agreement”) is entered into and effective as of this 30th day of June, 2015 (the “Restatement Date”), by and between GLAUKOS CORPORATION, a Delaware corporation, having a place of business at 26051 Merit Circle, Suite 103, Laguna Hills, California 92653 (“GLAUKOS”), and DOSE MEDICAL CORPORATION, a Delaware corporation, having a place of business at 26051 Merit Circle, Suite 103, Laguna Hills, California 92653 (“DOSE”).

 

RECITALS

 

A.                                    GLAUKOS and DOSE have entered into that certain Patent License Agreement dated March 30, 2010, as amended by that certain letter agreement dated July 19, 2012 (the “Original Agreement”) under which, among other things, each party has licensed the other party certain rights to certain patent and patent applications; and

 

B.                                    GLAUKOS and DOSE now wish to amend and restate the Original Agreement as set forth herein.

 

NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants herein contained, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Original Agreement is hereby amended and restated to read, and the parties hereto agree, as follows:

 

1.                                      DEFINITIONS

 

For purposes of this Agreement, the following terms shall have the meanings set forth below:

 

1.1.                            “Agreement” means the Original Agreement as amended and restated by this Amended and Restated Agreement, as hereafter amended from time to time in accordance with its terms.

 

1.2.                            “Biosensor” means any system and/or apparatus designed (i) to be implanted in or affixed to the human body (or any part thereof) and (ii) to monitor and/or measure at least one state or condition of the human body (or any part thereof) or any changes or other aspects affecting the human body (or any part thereof).

 

1.3.                            “Confidential Information” means any information that in any way relates to a party, including without limitation information regarding a party’s business and operations, research and development activities, pre-clinical and clinical data, regulatory strategies and submissions, products, customers, employees, financial results and contractual relationships; provided, however, that the term “Confidential Information” shall not include information: (i) that, at the time of disclosure, is generally available to the public; (ii) that, after disclosure hereunder, becomes generally available to the public, except as a result of a breach of this Agreement by the recipient of such information; (iii) that becomes available to the recipient of such information from a third party that is not legally or contractually prohibited by the disclosing party from disclosing such information; or (iv) that the recipient can demonstrate was developed by or for such recipient without the use of any of the Confidential Information of the disclosing party hereunder.

 

1

 

1.4.                            “Dose Field of Use” means (i) any and all applications of a Biosensor and/or (ii) any and all applications for the treatment of any disorder or disease (other than Glaucoma) primarily affecting the posterior segment of the eye (i.e. the back two-thirds of the eye that includes the anterior hyaloid membrane and all of the optical structures behind it: the vitreous humor, retina, choroid, and optic nerve), provided that such applications described in this clause (ii) do not include an apparatus that includes a drainage lumen unless the drainage lumen’s primary purpose is to relieve intraocular pressure caused by the administration of steroids, delivered by an apparatus implanted in or on the eye, to treat a disorder or disease primarily affecting the posterior segment of the eye and not associated with Glaucoma.

 

1.5.                            “Dose Licensed Patents” means any and all patents and patent applications listed in Exhibit A to this Agreement and any and all U.S. and foreign patents and patent applications, as of the Restatement Date or thereafter, that claim priority to one or more of the patents and patent applications listed in Exhibit A, including, but not limited to, all reissues, reexaminations, continuations, continuations-in-part and divisionals of such patents and patent applications; provided, however, that for such continuations-in-part (and foreign counterparts to such continuations-in-part), Dose Licensed Patents only include those claims in the continuations-in-part (and claims in any foreign counterparts to such continuations-in-part) that are entitled to priority to one or more of the patents and patent applications listed in Exhibit A.

 

1.6.                            “Effective Date” means March 30, 2010.

 

1.7.                            “Glaukos Field of Use” means any and all applications for the treatment of (i) Glaucoma, including but not limited to therapies directed toward reducing intraocular pressure and/or reducing the death of retinal ganglion cells (i.e., neuroprotection) associated with Glaucoma) and/or (ii) any disorder or disease primarily affecting the anterior segment of the eye (i.e., the front third of the eye that includes the structures in front of the vitreous humor: the cornea, iris, ciliary body, the lens, the anterior chamber between the posterior surface of the cornea and the iris and the posterior chamber between the iris and the front face of the vitreous); provided that, such applications described in clauses (i) or (ii) above do not include a Biosensor.

 

1.8.                            “Glaukos Group 1 Licensed Patents” means any and all patents and patent applications listed in Exhibit B to this Agreement and any and all U.S. and foreign patents and patent applications, as of the Restatement Date or thereafter, that claim priority to one or more of the patents and patent applications listed in Exhibit B, including, but not limited to, all reissues, reexaminations, continuations, continuations-in-part and divisionals of such patents and patent applications; provided, however, that for such continuations-in-part (and foreign counterparts to such continuations-in-part), Glaukos Group 1 Licensed Patents only include those claims in the continuations-in-part (and claims in any foreign counterparts to such continuations-in-part) that are entitled to priority to one or more of the patents and patent applications listed in Exhibit B.

 

2

 

1.9.                            “Glaukos Group 2 Licensed Patents” means any and all patents and patent applications listed in Exhibit C to this Agreement and any and all U.S. and foreign patents and patent applications, as of the Restatement Date or thereafter, that claim priority to one or more of the patents and patent applications listed in Exhibit C, including, but not limited to all reissues, reexaminations, continuations, continuations-in-part and divisionals of such patents and patent applications; provided, however, that for such continuations-in-part (and foreign counterparts to such continuations-in-part), Glaukos Group 2 Licensed Patents only include those claims in the continuations-in-part (and claims in any foreign counterparts to such continuations-in-part) that are entitled to priority to one or more of the patents and patent applications listed in Exhibit C.

 

1.10.                     “Regulatory Information” means pre-clinical, clinical, manufacturing and testing data, protocols, and chemical, pharmacological, toxicological, pharmaceutical, physical, analytical, safety, efficacy, bioequivalency, quality assurance, quality control and other information and data relating to any investigations, trials and/or the preparation, submission and prosecution of one or more applications filed in connection with obtaining regulatory approval for any product, including but not limited to, with respect to GLAUKOS, information relating to preliminary investigations and the preparation, submission and prosecution of one or more applications filed in connection with obtaining regulatory approval for the iStent® (a/k/a G1 device), iStent InjectTM (a/k/a G2 device), and iStent SupraTM (a/k/a G3 device) including but not limited to FDA application materials, safety and efficacy data, clinical trial protocols and reports, statistical analyses, communications with the FDA, etc.

 

1.11.                     “Term of Access” means the period commencing on the Effective Date and continuing through and including June 30, 2018; provided, however, that the end date of the Term of Access may be earlier as determined (i) by DOSE upon not less than sixty (60) days’ prior written notice to GLAUKOS, (ii) by GLAUKOS upon not less than one hundred eighty (180) days’ prior written notice to DOSE or (c) by mutual agreement of GLAUKOS and DOSE.

 

1.12.                     “Valid Claim” means a claim that (i) in the case of any issued and unexpired patent, has not been dedicated to the public, disclaimed, nor held invalid or unenforceable by a court or other government entity of competent jurisdiction in an unappealed or unappealable decision, or (ii) in the case of any patent application, (a) has not been cancelled, withdrawn or abandoned, without being refiled in another application, in the applicable jurisdiction, (b) shall not have been finally rejected by a governmental entity or other governmental action from which no appeal can be taken and (c) shall not have been pending for more than five (5) years in the United States Patent and Trademark Office or seven (7) years in a foreign patent office.  For purposes of this definition, the time period for which a claim is pending shall begin on the priority date for such claim, and shall continue until such claim is either issued or is no longer deemed to be a Valid Claim in accordance with the preceding sentence regardless of whether such claim is amended or refiled in another application in the applicable jurisdiction.  If a claim of a patent application which ceased to be a Valid Claim under clause (ii) of the preceding sentence due to the passage of time later issues as part of a patent described within clause (i) of the preceding sentence then it shall again be considered to be a Valid Claim effective as of the issuance of such patent.

 

3

 

2.                                      EXCLUSIVE LICENSE FROM DOSE TO GLAUKOS

 

2.1.                            Subject to Section 2.2, DOSE hereby grants to GLAUKOS a limited, exclusive (even as to DOSE), irrevocable, perpetual, fully paid-up, worldwide license under the Dose Licensed Patents to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products, and to practice any and all methods, solely in the Glaukos Field of Use.  The license granted to GLAUKOS under this Section 2.1, however, shall not limit DOSE’s right to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any all products and to practice any and all methods under the Dose Licensed Patents within the Dose Field of Use.  The license granted to GLAUKOS under this Section 2.1 includes the right to sublicense, provided that any such sublicense from GLAUKOS be restricted to the Glaukos Field of Use and subject to the terms of this Agreement, including without limitation Section 2.2.

 

2.2.                            Neither GLAUKOS nor its sublicensees shall seek or obtain a label indication in any country for the treatment of any disorder or disease affecting the posterior segment of the eye for any product whose manufacture, use, offer for sale, sale or importation in or to such country would (absent the license granted under Section 2.1 above) infringe a Valid Claim of a Dose Licensed Patent; provided that, the foregoing of this Section 2.2 shall not limit GLAUKOS from seeking or obtaining any label indication for the treatment of Glaucoma or reduction of intraocular pressure and/or reduction of the death of retinal ganglion cells (i.e., neuroprotection).

 

3.                                      EXCLUSIVE LICENSE FROM GLAUKOS TO DOSE

 

3.1.                            Subject to Section 3.2, GLAUKOS hereby grants to DOSE a limited, exclusive (even as to GLAUKOS), irrevocable, perpetual, fully paid-up, worldwide license under the Glaukos Group 1 Licensed Patents to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products and to practice any and all methods solely in the Dose Field of Use.  The license granted to DOSE under this Section 3.1, however, shall not limit GLAUKOS’ right to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any all products and to practice any and all methods under the Glaukos Group 1 Licensed Patents within the Glaukos Field of Use.  The license granted to DOSE under this Section 3.1 includes the right to sublicense, provided that any such sublicense from DOSE be restricted to the Dose Field of Use and subject to the terms of this Agreement, including without limitation Section 3.2.

 

3.2.                            Neither DOSE nor its sublicensees shall seek or obtain a label indication in any country for the treatment of any disorder or disease affecting the anterior segment of the eye for any product whose manufacture, use, offer for sale, sale or importation in or to such country would (absent the license granted under Section 3.1 above) infringe a Valid Claim of a Glaukos Group 1 Licensed Patent; provided that, the foregoing of this Section 3.2 shall not limit DOSE from seeking or obtaining any label indication for application(s) of a Biosensor.

 

4

 

4.                                      EXCLUSIVE LICENSE TO DOSE / LICENSE BACK TO GLAUKOS

 

4.1.                            GLAUKOS hereby grants to DOSE an exclusive (even as to GLAUKOS), irrevocable, perpetual, fully paid-up, worldwide license, with the right to sublicense, under the Glaukos Group 2 Licensed Patents to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products and to practice any and all methods that fall within the scope of one or more claims of the Glaukos Group 2 Licensed Patents.

 

4.2.                            Subject to Section 4.3, DOSE hereby grants back to GLAUKOS a limited exclusive (even as to DOSE), irrevocable, fully paid-up, perpetual, worldwide sublicense, with the right to sublicense such sublicense rights, under the Glaukos Group 2 Licensed Patents to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products and to practice any and all methods solely in the Glaukos Field of Use.  The sublicense to GLAUKOS, however, shall not limit DOSE’s right to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any all products and to practice any and all methods under the Glaukos Group 2 Licensed Patents within the Dose Field of Use.  This sublicense includes the right for GLAUKOS to grant further sublicenses, provided that any such further sublicense be restricted to the Glaukos Field of Use and subject to the terms of this Agreement, including without limitation Section 4.3.

 

4.3.                            Neither GLAUKOS nor its sublicencees shall seek or obtain a label indication in any country for the treatment of any disorder or disease affecting the posterior segment of the eye for any product whose manufacture, use, offer for sale, sale or importation in or to such country would (absent the license granted under Section 4.2 above) infringe a Valid Claim of a Glaukos Group 2 Licensed Patent; provided that, the foregoing of this Section 4.3 shall not limit GLAUKOS from seeking or obtaining any label indication for the treatment of Glaucoma or reduction of intraocular pressure and/or reduction of the death of retinal ganglion cells (i.e., neuroprotection).

 

5.                                      ASSIGNMENT OF RIGHTS

 

5.1.                            Each of GLAUKOS and DOSE shall have the right to assign in whole or in part its rights, obligations and licenses under this Agreement.

 

5.2.                            Each party shall have the right to assign any or all of its patents or other intellectual property licensed to the other party by this Agreement only if such assignment is expressly subject to the continuance of such license.

 

6.                                      REGULATORY APPROVAL; TECHNOLOGY LICENSE

 

6.1.                            Each party shall be solely responsible, at its sole cost and expenses, for identifying and obtaining, including testing or other procedures, any necessary regulatory or safety approvals or certifications (e.g., FDA and safety agencies) required for the marketing and sale by such party of its products in any country.  Nevertheless, each party will cooperate with the other party by providing, upon request, any Regulatory Information in its possession and control that could reasonably assist the other party to obtain approvals or certifications of its products.  Each party will further permit the other party and its sublicensees to expressly reference each party’s Regulatory Information in the other party’s filings to obtain such approvals or certifications of its products.

 

5

 

6.2.                            Each party acknowledges and agrees that Regulatory Information provided by the other party may contain Confidential Information belonging to the other party. Each party shall disclose its Confidential Information to the other party only on a confidential basis subject to the provisions of Section 13.9.  Any use or disclosure of the Confidential Information of a party under this Agreement, including but not limited to any reference by the other party to the Confidential Information of a party in the other party’s filings to obtain approvals or certifications, shall be designated as confidential.

 

6.3.                            GLAUKOS hereby grants to DOSE a non-exclusive, irrevocable, perpetual, fully paid-up, worldwide license, with the right to sublicense, to use (including without limitation the right to copy and create derivative works) any and all works of authorship, know-how, trade secrets, and other proprietary data or information of GLAUKOS (including but not limited to Regulatory Information and Confidential Information of GLAUKOS), existing as of the Effective Date or during the Term of Access, to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products, and to practice any and all inventions, within the Dose Field of Use.  From time to time (including without limitation after the Term of Access), upon DOSE’s written request and expense, GLAUKOS shall promptly deliver to DOSE copies of any and all records, documentation and other tangible embodiments (in whatever form or medium) in Glaukos’s possession or control embodying any works of authorship, know-how, trade secrets or other proprietary data or information within the scope of the license rights granted above.

 

6.4.                            DOSE hereby grants to GLAUKOS a non-exclusive, irrevocable, perpetual, fully paid-up, worldwide license, with the right to sublicense, to use (including without limitation the right to copy and create derivative works) any and all works of authorship, know-how, trade secrets, and other proprietary data or information of DOSE (including but not limited to Regulatory Information and Confidential Information of DOSE), existing as the Effective Date and/or during the Term of Access, to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products, and to practice any and all inventions, within the Glaukos Field of Use.  From time to time (including without limitation after the Term of Access), upon GLAUKOS’s written request and expense, DOSE shall promptly deliver to GLAUKOS copies of any and all records, documentation and other tangible embodiments (in whatever form or medium) in DOSE’s possession or control embodying any works of authorship, know-how, trade secrets or other proprietary data or information within the scope of the license rights granted above.

 

6.5.                            Notwithstanding anything herein to the contrary, the rights and obligations of each party set forth Sections 6.1, 6.2, 6.3 and 6.4 shall not pertain to any data or other information arising from investigations or clinical trials conducted after the Term of Access but shall continue to pertain to all other Regulatory Information, including but not limited to any regulatory applications filed after the Term of Access to the extent based on data or information existing as of the Effective Date and/or during the Term of Access.

 

6

 

7.                                      OWNERSHIP

 

7.1.                            DOSE acknowledges that GLAUKOS is the sole owner of the Glaukos Group 1 Licensed Patents and Glaukos Group 2 Licensed Patents, and DOSE agrees that it does not obtain any interest in such patents except for the rights granted herein.  DOSE agrees not to take any action challenging or opposing, on any grounds whatsoever, the ownership by GLAUKOS of such patents, or GLAUKOS’ intellectual property rights therein.  Furthermore, DOSE agrees not to contest the validity or enforceability, or to assist or request any third party to contest the validity or enforceability of any of such patents, to the extent and in jurisdictions where permitted by law, in any judicial, governmental, or quasi-governmental suit or proceeding; and not to request reexamination, post grant review, or inter partes review, or assist or request any third party to request reexamination, post grant review, or inter partes review of any of such patents, to the extent and in jurisdictions where permitted by law.

 

7.2.                            GLAUKOS acknowledges that DOSE is the sole owner of the Dose Licensed Patents, and GLAUKOS agrees that it does not obtain any interest in such patents except for the rights granted herein.  GLAUKOS agrees not to take any action challenging or opposing, on any grounds whatsoever, the ownership by DOSE of the Dose Licensed Patents, or DOSE’s intellectual property rights therein.  Furthermore, GLAUKOS agrees not to contest the validity or enforceability, or to assist or request any third party to contest the validity or enforceability of any of the Dose Licensed Patents, to the extent and in jurisdictions where permitted by law, in any judicial, governmental, or quasi-governmental suit or proceeding; and not to request reexamination, post grant review, or inter partes review, or assist or request any third party to request reexamination, post grant review, or inter partes review of any of the Dose Licensed Patents, to the extent and in jurisdictions where permitted by law.

 

7.3.                            DOSE, in its sole discretion and at its own expense, shall control the entire patent process relating to the Dose Licensed Patents and the Glaukos Group 2 Licensed Patents, including without limitation, prosecution of patent applications and maintenance, reexamination, reissue, and extension of patents; provided, however, that DOSE agrees to (i) promptly provide copies of all prosecution documents to GLAUKOS upon request; (ii) provide GLAUKOS an opportunity to contribute to the prosecution of claims relating to the Glaukos Field of Use, including without limitation making suggestions for (A) claims to pursue, (B) claim amendments and (C) responsive arguments, and consider in good faith whether to adopt any such suggestions and contributions in any responsive filing to a patent office; (iii) subject to clause (iv) below, maintain all issued patents and pending patent applications licensed to GLAUKOS, including paying any and all maintenance fees and annuities; and (iv) notify GLAUKOS in writing sixty (60) days prior to the abandonment of any patent or application for a patent licensed to GLAUKOS, and if requested by GLAUKOS, assign such patent or application to GLAUKOS to take action to prevent the abandonment thereof.  Any patent or patent application assigned pursuant to this Section 7.3 shall hereby be licensed back to the DOSE on a non-exclusive, worldwide, irrevocable, perpetual, fully paid-up basis, without the right to sublicense, to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products and to practice any and all methods that fall within the scope of such patent or patent application outside of the Glaukos Field of Use.    With respect to the Glaukos Group 2 Licensed Patents, GLAUKOS will, among other things, assist DOSE in exercising its rights hereunder to

 

7

 

control the entire patent process related to the Glaukos Group 2 Patents, and GLAUKOS hereby irrevocably designates and appoints DOSE as its agent and attorneys-in-fact, coupled with an interest, to act for and on GLAUKOS’ behalf to execute and file any document and to do all other lawfully permitted acts to further the foregoing provisions of this Section 7.3 with the same legal force and effect as if executed by GLAUKOS.

 

7.4.                            GLAUKOS, in its sole discretion and at its own expense, shall control the entire patent process relating to the Glaukos Group 1 Licensed Patents, including without limitation, prosecution of patent applications and maintenance, reexamination, reissue, and extension of patents; provided, however, that GLAUKOS agrees to (i) promptly provide copies of all prosecution documents to DOSE upon request; (ii) provide DOSE an opportunity to contribute to the prosecution of claims relating to the Dose Field of Use, including without limitation making suggestions for (A) claims to pursue, (B) claim amendments and (C) responsive arguments, and consider in good faith whether to adopt any such suggestions and contributions in any responsive filing to a patent office; (iii) subject to clause (iv) below, maintain all issued patents and pending patent applications licensed to DOSE, including paying any and all maintenance fees and annuities; and (iv) notify DOSE in writing sixty (60) days prior to the abandonment of any patent or application for a patent licensed to DOSE, and if requested by DOSE, assign such patent or application to DOSE to take action to prevent the abandonment thereof.  Any patent or patent application assigned pursuant to this Section 7.4 shall hereby be licensed back to GLAUKOS on a non-exclusive, worldwide, irrevocable, perpetual, fully paid-up basis, without the right to sublicense, to make, have made, use, import, offer for sale, sell and otherwise develop and commercialize any and all products and to practice any and all methods that fall within the scope of such patent or patent application outside of the Dose Field of Use.

 

8.                                      TERM

 

8.1.                            This Agreement shall remain in effect until the expiration date of the last expiring of the Dose Licensed Patents, Glaukos Group 1 Licensed Patents and Glaukos Group 2 Licensed Patents.

 

8.2.                            Notwithstanding the foregoing, Sections 1, 5, 6, 8.2, 11, 12 and 13 shall survive any expiration of this Agreement.

 

9.                                      ENFORCEMENT OF PATENTS

 

9.1.                            Each party agrees that if it becomes aware of any infringement of any of the rights belonging to the other party that are subject of this Agreement, it will promptly disclose such information to the other party.

 

9.2.                            Subject to Sections 9.3 and 9.4, each party shall have the sole and exclusive right, but not the obligation, to bring, prosecute and control any action or proceeding, at its expense, to enforce or defend any patents owned by such party against any infringer.

 

9.3.                            GLAUKOS shall have the sole and exclusive right, but not the obligation, to bring, prosecute and control any action or proceeding, at its expense, to enforce or defend the Dose Licensed Patents and the Glaukos Group 2 Licensed Patents solely in the Glaukos Field of Use.

 

8

 

9.4.                            DOSE shall have the sole and exclusive right, but not the obligation, to bring, prosecute and control any action or proceeding, at its expense, to enforce or defend the Glaukos Group 1 Licensed Patents in the DOSE Field of USE and the Glaukos Group 2 Licensed Patents in any and all applications other than the Glaukos Field of Use.

 

9.5.                            In the event of any action or proceeding under this Section 9, each party agrees to reasonably cooperate with the party taking such action and, at the request of the party taking such action, to give such party all needed information and assistance to file and prosecute such action or proceeding; provided that the acting party shall promptly reimburse the assisting party for all verified out-of-pocket expenses incurred in providing such assistance.  In connection with the foregoing, with respect to any legal action brought under Sections 9.3 or 9.4, each party agrees to join in such action (as necessary to provide standing for such action based on such party’s ownership of the patents at issue) as a party plaintiff if requested to do so by the other party taking such action at such other party’s expense.

 

9.6.                            In resolving any action or proceeding brought by DOSE or GLAUKOS under Sections 9.3 or 9.4, the acting party shall not settle any claim or enter into any other voluntary disposition of the action or proceeding that (i) admits that any third party product, which is outside the scope of such acting party’s exclusive license rights hereunder, does not infringe an asserted patent; (ii) admits that any asserted patent is invalid or unenforceable as to any claim contained therein (provided this clause (ii) shall not apply to DOSE’s enforcement or defense of the Glaukos Group 2 Licensed Patents with respect to claims outside the Glaukos Field of Use); (iii) settles any claim as to any patent rights exclusively licensed to the other party hereunder or (iv) would require the other party to be subject to an injunction or to make a monetary payment or would otherwise adversely affect the other party’s rights hereunder, in each case of clauses (i), (ii), (iii) and (iv) above without the other party’s prior written consent.  Any and all damages, settlement amounts or other consideration obtained by a party to the extent arising as a result of its enforcement or defense of its patent rights pursuant to Sections 9.3 or 9.4, respectively, shall go to such party after reimbursement of any expenses respectively incurred by the parties in accordance with this Section 9 in connection with such enforcement or defense.

 

9.7.                            If DOSE with respect to the Dose Licensed Patents or the Glaukos Group 2 Licensed Patents or GLAUKOS with respect to the Glaukos Group 1 Licensed Patents desires to participate in an action brought by the other party under Sections 9.3 or 9.4, respectively, it shall have the right to do so at its own expense; provided such participation is limited to protecting its patent rights licensed hereunder or owned by it (subject to the exclusive licenses granted herein).  The party taking legal action under Sections 9.3 or 9.4 shall consider in good faith any and all concerns or comments by DOSE or GLAUKOS (as the case may be) in exercising its rights under the foregoing sentence.

 

9

 

9.8.                            In resolving any action or proceeding brought by DOSE or GLAUKOS under Section 9.2, the acting party shall not settle any claim or enter into any other voluntary disposition of the action or proceeding that (i) admits that any third party product, which is within the scope of the other party’s exclusive license rights hereunder, does not infringe an asserted patent; (ii) admits that any asserted patent is invalid or unenforceable as to claims within the other party’s exclusive license rights hereunder; (iii) settles any claim as to any patent rights exclusively licensed to the other party: or (iv) would require the other party to be subject to an injunction or to make a monetary payment or would otherwise adversely affect the other party’s rights hereunder, in each case of clauses (i), (ii), (iii) and (iv) above, without the other party’s prior written consent.  Any and all damages, settlement amounts or other consideration obtained by a party to the extent arising as a result of its enforcement or defense of its patent rights pursuant to Sections 9.2 shall go to such party after reimbursement of any expenses respectively incurred by the parties in accordance with this Section 9 in connection with such enforcement or defense.

 

10.                               PATENT MARKING

 

Each party agrees to mark, and to require its licensees or sublicensees to mark, each product that is made, used, sold or imported pursuant to the provisions herein with a patent notice in compliance with the applicable statutory requirements.

 

11.                               NO REPRESENTATIONS AND WARRANTIES

 

11.1.                     EXCEPT AS EXPRESSLY STATED HEREIN, NEITHER PARTY MAKES ANY REPRESENTATIONS OR WARRANTIES WHATSOEVER TO THE OTHER PARTY UNDER THIS AGREEMENT, INCLUDING BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, AND ALL SUCH WARRANTIES ARE HEREBY EXPRESSLY EXCLUDED AND DISCLAIMED TO THE FULLEST EXTENT ALLOWED BY APPLICABLE LAW.

 

11.2.                     Without limiting Section 11.1, nothing in this Agreement shall be construed as a warranty or representation by GLAUKOS to DOSE as to the scope or validity of the Glaukos Group 1 Licensed Patents or Glaukos Group 2 Licensed Patents, or that anything made, used, sold or otherwise disposed of under the rights granted in this Agreement is or will be free from infringement of patents of third parties.

 

11.3.                     Without limiting Section 11.1, nothing in this Agreement shall be construed as a warranty or representation by DOSE to GLAUKOS as to the scope or validity of the Dose Licensed Patents, or that anything made, used, sold or otherwise disposed of under the rights granted in this Agreement is or will be free from infringement of patents of third parties.

 

12.                               NOTICES

 

12.1.                     In the event that either GLAUKOS or DOSE sublicenses or assigns any of the rights, obligations or licenses provided under this Agreement or assigns any of the patents licensed hereunder, the assigning or sublicensing party must promptly notify the other party and must identify the third party to whom such assignment or sublicense has been made, including providing a name and contact information of a representative of such third party and a reasonable description of the rights so sublicensed or assigned and/or a list of the patents so assigned.

 

10

 

12.2.                     Any notice, request, demand, or other communication required or permitted to be given under this Agreement shall be in writing and addressed to its addressee at the address set forth above, or such address as a party may specify from time to time.

 

12.3.                     Such notice, request, demand, or other communication shall be deemed to have been duly given (i) at the time of delivery when hand delivered to the other party; or (ii) at the time of confirmed transmission when sent by facsimile at the address and number set forth below, provided that a confirmation copy is sent by overnight or registered or certified mail within twenty-four (24) hours after the fax transmission (any notice given by facsimile shall be deemed received on the next business day if such notice is received after 5:00 p.m. (recipient’s time) or on a non-business day); or (iii) at the time of delivery, or of attempted delivery in the event that delivery cannot be completed due to no fault of the sender, when sent by registered or certified mail or by overnight courier service.

 

13.                               GENERAL PROVISIONS

 

13.1.                     The parties hereby agree that no agency, joint venture or partnership is created by this Agreement, and that neither party shall incur obligations in the name of the other party, except as expressly set forth in this Agreement.

 

13.2.                     This Agreement shall be governed and construed in accordance with the laws of the State of California, and the parties agree that it is executed and delivered in that state.  In the event that any legal action becomes necessary to enforce or interpret the terms of this Agreement, the parties agree that such action shall be brought in the United States District Court for the Central District of California, or in the State Court for the County of Orange, California, and the parties hereby submit to the exclusive jurisdiction of said Courts.  In the event that any legal action becomes necessary to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled, in addition to its court costs or arbitration fees, to such reasonable attorneys’ fees, expert witness fees, and other litigation expenses as shall be fixed by a court of competent jurisdiction.

 

13.3.                     If any provision of this Agreement should be held to be void or unenforceable, in whole or in part, the court or tribunal so holding shall reform the provision to make it enforceable while maintaining the spirit and goal of the provision, and if the court or tribunal finds it cannot so reform that provision, such provision or part thereof shall be treated as severable, leaving valid the remainder of this Agreement.

 

13.4.                     This Agreement, including its exhibits and all documents referenced herein, constitutes the entire understanding and agreement of the parties as to the subject matter herein, and there are no representations, warranties, promises, or undertakings other than those contained herein.  As to the subject matter hereof, this Agreement supersedes and cancels all previous agreements between the parties hereto.  No course of conduct or dealing between the parties shall act as a modification or waiver of any provision of this Agreement, and no waiver or modification of any of the terms or provisions of this Agreement, or failure or delay on the part of either party hereto in insisting upon or enforcing or resorting to any of its powers, rights, remedies, or options hereunder, and no partial or single exercise thereof, shall constitute a waiver of any such powers, rights, remedies or options, unless such waiver be in writing and signed by the party to be charged.

 

11

 

13.5.                     This Agreement shall be binding upon the parties hereto and their respective subsidiaries, affiliates, heirs, legal representatives, successors and permitted assigns.

 

13.6.                     The terms of this Agreement have been negotiated by the parties hereto and the language used in this Agreement shall be deemed to be the language chosen by the parties hereto to express their mutual intent.  This Agreement shall be construed without regard to any presumption or rule requiring construction against the party causing such instrument or any portion thereof to be drafted, or in favor of the party receiving a particular benefit under the Agreement.  No rule of construction will be applied against any party.

 

13.7.                     The headings in this Agreement are intended for convenience only, and shall not be used to interpret the meaning of this Agreement or to determine the rights of the parties.

 

13.8.                     The parties agree that they shall, at any time and from time to time, on the written request of either party, execute and deliver promptly, at the requesting parties’ expense, all such further documents and instruments and shall do or procure to be done, all such further acts and things as may, from time to time, reasonably be required for the purpose of giving full effect to the provisions of this Agreement.

 

13.9.                     From time to time prior to the Effective Date and thereafter, each party hereto has disclosed or may disclose its Confidential Information to the other party.  In addition each party may, from time to time, obtain or have access to the other party’s Confidential Information.  Each party shall maintain (and cause its employees and contractors to maintain) the confidentiality of the other party’s Confidential Information and not to use or disclose such Confidential Information except as required to perform its obligations in accordance with this Agreement or as permitted hereby or by the disclosing party in writing.  If compelled to disclose any Confidential Information by judicial or administrative process or by requirement of law, the receiving party shall promptly notify the disclosing party in writing and, if legal protection is not obtained, may disclose only that portion of such information that is legally required to be disclosed as advised by counsel; provided that the receiving party shall exercise commercially reasonable efforts to obtain an appropriate protective order or other reasonable assurance that confidential treatment will be accorded such information.  Because of the unique nature of the Confidential Information, the parties understand and agree that the disclosing party will suffer irreparable harm in the event that a party which receives such disclosing party’s Confidential Information fails to comply with any of its obligations hereunder and that monetary damages will be inadequate to compensate disclosing party for such breach.  Accordingly, each party agrees that the disclosing party shall, in addition to any other remedies available to it at law or in equity, be entitled to seek injunctive relief to enforce the terms hereof.  Upon request of the disclosing party, unless the receiving party has a continuing right to use such Confidential Information pursuant to a license granted hereunder, the receiving party agrees to return to the disclosing party all Confidential Information of the disclosing party, or, at the receiving party’s option destroy such Confidential Information and, thereafter, certify immediately to the disclosing party that all such Confidential Information has been returned or destroyed.

 

12

 

IN WITNESS WHEREOF, the parties have caused this Amended and Restated Agreement to be executed, effective as of the Restatement Date.

 

 

	
 
    	
GLAUKOS   CORPORATION
    
	
 
    	
 
    
	
 
    	
 
    
	
Dated:   June 30, 2015
    	
By:
    	
/s/   THOMAS W. BURNS
    
	
 
    	
 
    
	
 
    	
Printed   Name: 
    	
Thomas   W. Burns
    
	
 
    	
 
    
	
 
    	
Title:
    	
President &   CEO
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
DOSE   MEDICAL CORPORATION
    
	
 
    	
 
    
	
 
    	
 
    
	
Dated:   June 30, 2015
    	
By:
    	
/s/   RICHARD L. HARRISON
    
	
 
    	
 
    
	
 
    	
Printed   Name: 
    	
Richard   L. Harrison
    
	
 
    	
 
    
	
 
    	
Title:
    	
Chief   Financial Officer
    
					

 

13

 

EXHIBIT A — DOSE LICENSED PATENTS

 

(Status as of June 30, 2015)

 

	
KMOB
   Ref. No.
   DOSE.
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent
   No
    	
 
    	
Issued:
    
	
1C3CP1
    	
 
    	
OCULAR IMPLANT WITH   THERAPEUTIC AGENTS AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7708711
    	
 
    	
05/04/10
    
	
1C3CP1C1
    	
 
    	
OCULAR IMPLANT WITH   THERAPEUTIC AGENTS AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8348877
    	
 
    	
01/08/13
    
	
001VRAU
    	
 
    	
APPARATUS AND METHOD   FOR TREATING OCULAR DISORDERS
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2006200392
    	
 
    	
11/25/09
    
	
001VR2AU
    	
 
    	
APPARATUS AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2009202842
    	
 
    	
04/26/12
    
	
001AUD3
    	
 
    	
APPARATUS AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2012201744
    	
 
    	
12/4/14
    
	
001JPD2
    	
 
    	
OCULAR IMPLANT WITH   THERAPEUTIC DRUG
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
5C1CP1
    	
 
    	
IMPLANT WITH   INTRAOCULAR PRESSURE SENSOR FOR GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7678065
    	
 
    	
03/16/10
    
	
5CCP1DV1
    	
 
    	
METHOD OF MONITORING   INTRAOCULAR PRESSURE AND TREATING AN OCULAR DISORDER
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8142364
    	
 
    	
03/27/12
    
	
5CCPDD
    	
 
    	
SYSTEM AND METHOD OF   MONITORING INTRAOCULAR PRESSURE AND TREATING AN OCULAR DISORDER
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
011QAUD2
    	
 
    	
DEVICES AND METHODS FOR   GLAUCOMA TREATMENT
    	
 
    	
AU
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
044A
    	
 
    	
INTRAOCULAR   PHYSIOLOGICAL SENSOR
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
044WO
    	
 
    	
INTRAOCULAR   PHYSIOLOGICAL SENSOR
    	
 
    	
WO
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
045A
    	
 
    	
IMPLANTS WITH   CONTROLLED DRUG DELIVERY FEATURES AND METHODS OF USING SAME
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
045P1WO
    	
 
    	
IMPLANTS WITH   CONTROLLED DRUG DELIVERY FEATURES AND METHODS OF USING SAME
    	
 
    	
WO
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
049PR3
    	
 
    	
INTRAOCULAR DRUG   DELIVERY IMPLANT
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
001P1C2
    	
 
    	
OCULAR IMPLANT WITH   THERAPEUTIC AGENTS AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    

 

A-1

 

	
KMOB
   Ref. No.
   DOSE.
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent
   No
    	
 
    	
Issued:
    
	
019NP
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
019EP
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
032A
    	
 
    	
INTRAOCULAR   PHYSIOLOGICAL SENSOR
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
032EP
    	
 
    	
INTRAOCULAR   PHYSIOLOGICAL SENSOR
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036NP
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036AU
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
AU
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036CA
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
CA
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036CN
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
CN
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036EP
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036IN
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
IN
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036JP
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
036JPD1
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
037NP
    	
 
    	
UVEOSCLERAL DRUG   DELIVERY IMPLANT AND METHODS FOR IMPLANTING THE SAME
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
053PR
    	
 
    	
IMPLANTS FOR RELEASE OF   STABLE DRUG FORMULATIONS TO THE EYE
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    

 

A-2

 

EXHIBIT B — GLAUKOS GROUP 1 LICENSED PATENTS

 

(Status as of June 30, 2015)

 

	
KMOB
   Ref No.
   GLAUKO
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent No.
    	
 
    	
Issued
    
	
001A
    	
 
    	
APPARATUS AND METHOD FOR   TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6638239
    	
 
    	
10/28/03
    
	
001C1
    	
 
    	
APPARATUS AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6955656
    	
 
    	
10/18/05
    
	
001C2
    	
 
    	
L-SHAPED IMPLANT WITH   BI-DIRECTIONAL FLOW
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6780164
    	
 
    	
8/24/04
    
	
001C4
    	
 
    	
IMPLANT WITH ANCHOR
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7297130
    	
 
    	
11/20/07
    
	
001CP1
    	
 
    	
GLAUCOMA TREATMENT   DEVICE
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6736791
    	
 
    	
5/18/04
    
	
001VAU
    	
 
    	
APPARATUS AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2001245522
    	
 
    	
2/10/06
    
	
001VCA
    	
 
    	
APPARATUS AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
CA
    	
 
    	
Issued
    	
 
    	
2404037
    	
 
    	
10/14/14
    
	
001VCAD1
    	
 
    	
APPARATUS AND METHOD   FOR TREATING AN OCULAR DISORDER
    	
 
    	
CA
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
001VEP
    	
 
    	
APPARATUS FOR TREATING   GLAUCOMA
    	
 
    	
DE, FR, GB
    	
 
    	
Issued
    	
 
    	
1278492
    	
 
    	
4/29/09
    
	
001EPD2
    	
 
    	
IMPLANT FOR TREATING   OCULAR DISORDERS
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
001VREP
    	
 
    	
APPARATUS AND METHOD FOR   TREATING GLAUCOMA
    	
 
    	
DE, FR, GB
    	
 
    	
Issued
    	
 
    	
2078516
    	
 
    	
01/02/13
    
	
001VJP
    	
 
    	
APPARATUS AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
3985019
    	
 
    	
7/20/07
    
	
001VRJP
    	
 
    	
APPARATUS AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
5255214
    	
 
    	
4/26/2013
    
	
011A
    	
 
    	
GLAUCOMA STENT AND METHODS   THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7135009
    	
 
    	
11/14/06
    
	
011C1
    	
 
    	
IMPLANT AND METHODS   THEREOF FOR TREATMENT OF OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7563241
    	
 
    	
7/21/09
    
	
011C1C1
    	
 
    	
SYSTEM FOR TREATING   OCULAR DISORDERS AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8075511
    	
 
    	
12/13/11
    
	
011C1D2C
    	
 
    	
OCULAR IMPLANT DELIVERY   SYSTEM AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
011C1DV1
    	
 
    	
SELF-TREPHINING IMPLANT   AND METHODS THEREOF FOR TREATMENT OF OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8062244
    	
 
    	
11/22/11
    
	
011C1DV2
    	
 
    	
OCULAR IMPLANT DELIVERY   SYSTEM AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7857782
    	
 
    	
12/28/10
    

 

B-1

 

	
KMOB
   Ref No.
   GLAUKO
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent No.
    	
 
    	
Issued
    
	
011C4
    	
 
    	
OCULAR IMPLANT SYSTEMS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8579846
    	
 
    	
11/12/13
    
	
011C5
    	
 
    	
OCULAR IMPLANT SYSTEMS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
011C6
    	
 
    	
OCULAR IMPLANT SYSTEMS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
011CP1
    	
 
    	
DEVICES AND METHODS FOR   TREATMENT OF OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7867186
    	
 
    	
01/11/11
    
	
011CP3
    	
 
    	
OCULAR IMPLANTS WITH   ANCHORS AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7431710
    	
 
    	
10/7/08
    
	
011QAU
    	
 
    	
DEVICES AND METHODS FOR   GLAUCOMA TREATMENT
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2004264913
    	
 
    	
12/08/11
    
	
011QAUD1
    	
 
    	
DEVICES AND METHODS FOR   GLAUCOMA TREATMENT
    	
 
    	
AU
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
011QCA
    	
 
    	
DEVICES AND METHODS FOR   GLAUCOMA TREATMENT
    	
 
    	
CA
    	
 
    	
Issued
    	
 
    	
2530234
    	
 
    	
11/25/14
    
	
011QEP
    	
 
    	
DEVICES AND METHODS FOR   GLAUCOMA TREATMENT
    	
 
    	
DE, ES, FR, GB, IT
    	
 
    	
Issued
    	
 
    	
1651291
    	
 
    	
3/13/2013
    
	
011QEPD1
    	
 
    	
DEVICES AND METHODS FOR   GLAUCOMA TREATMENT
    	
 
    	
DE, ES, FR, GB, IT
    	
 
    	
Issued
    	
 
    	
2351589
    	
 
    	
11/6/2013
    
	
011QJP
    	
 
    	
DEVICES AND METHODS FOR   GLAUCOMA TREATMENT
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
5249513
    	
 
    	
4/19/2013
    
	
011QJPD1
    	
 
    	
DEVICES FOR GLAUCOMA   TREATMENT
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
5698198
    	
 
    	
2/20/15
    
	
011QJPD2
    	
 
    	
DEVICES FOR GLAUCOMA   TREATMENT
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
011VAU
    	
 
    	
GLAUCOMA STENT AND   METHODS THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2002258754
    	
 
    	
11/30/06
    
	
011VCA
    	
 
    	
GLAUCOMA STENT AND   METHODS THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
CA
    	
 
    	
Issued
    	
 
    	
2442652
    	
 
    	
01/04/11
    
	
011VCAD1
    	
 
    	
NON-LINEAR DELIVERY   DEVICE AND OCULAR IMPLANT WITH CUTTING MEMBER
    	
 
    	
CA
    	
 
    	
Issued
    	
 
    	
2718294
    	
 
    	
6/17/2014
    
	
011VEP
    	
 
    	
GLAUCOMA STENT FOR   GLAUCOMA TREATMENT
    	
 
    	
DE, FR, GB
    	
 
    	
Issued
    	
 
    	
1418868
    	
 
    	
3/26/08
    
	
011VEPD2
    	
 
    	
SYSTEM FOR TREATING   OCULAR DISORDERS
    	
 
    	
DE, FR, GB
    	
 
    	
Issued
    	
 
    	
2263621
    	
 
    	
5/20/15
    
	
011VEPD3
    	
 
    	
SYSTEM FOR TREATING   OCULAR DISORDERS
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    

 

B-2

 

	
KMOB
   Ref No.
   GLAUKO
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent No.
    	
 
    	
Issued
    
	
011VJP
    	
 
    	
GLAUCOMA STENT AND   METHODS THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
4264704
    	
 
    	
2/27/09
    
	
011VR2AU
    	
 
    	
IMPLANT AND METHODS   THEREOF FOR TREATMENT OF OCULAR DISORDERS
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2009251058
    	
 
    	
12/5/2013
    
	
011VRAU
    	
 
    	
IMPLANT AND METHODS   THEREOF FOR TREATMENT OF OCULAR DISORDERS
    	
 
    	
AU
    	
 
    	
Issued
    	
 
    	
2006236060
    	
 
    	
1/7/10
    
	
011VRCA
    	
 
    	
SYSTEM AND METHODS   THEREOF FOR TREATMENT OF OCULAR DISORDERS
    	
 
    	
CA
    	
 
    	
Issued
    	
 
    	
2683224
    	
 
    	
12/2/14
    
	
011VRJP
    	
 
    	
SYSTEM FOR TREATMENT OF   OCULAR DISORDERS
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
5255402
    	
 
    	
4/26/2013
    
	
011JPD2
    	
 
    	
SYSTEM FOR TREATMENT OF   OCULAR DISORDERS
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
011XEU
    	
 
    	
GLAUCOMA STENT AND   METHODS THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
EU
    	
 
    	
Issued
    	
 
    	
000097431-0001
    	
 
    	
12/27/05
    
	
011XEU2
    	
 
    	
GLAUCOMA STENT AND   METHODS THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
EU
    	
 
    	
Issued
    	
 
    	
000097431-0002
    	
 
    	
12/27/05
    
	
011XEU3
    	
 
    	
GLAUCOMA STENT AND   METHODS THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
EU
    	
 
    	
Issued
    	
 
    	
000097431-0003
    	
 
    	
12/27/05
    
	
013A
    	
 
    	
MEDICAL DEVICE AND   METHODS OF USE FOR GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7094225
    	
 
    	
8/22/06
    
	
013C1
    	
 
    	
MEDICAL DEVICE AND   METHODS OF USE FOR GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7273475
    	
 
    	
9/25/07
    
	
013C1DV1
    	
 
    	
OCULAR IMPLANT WITH   DOUBLE ANCHOR MECHANISM
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8337445
    	
 
    	
12/25/12
    
	
017A
    	
 
    	
GLAUCOMA STENT FOR   TREATING GLAUCOMA AND METHODS OF USE
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7331984
    	
 
    	
2/19/08
    
	
017C1
    	
 
    	
IMPLANT DELIVERY SYSTEM   AND METHODS THEREOF FOR TREATING OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
017C2
    	
 
    	
IMPLANT DELIVERY SYSTEM   AND METHODS THEREOF FOR TREATING OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7879079
    	
 
    	
02/01/11
    
	
020A
    	
 
    	
FLUID INFUSION METHODS   FOR GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7186232
    	
 
    	
3/6/07
    
	
022A
    	
 
    	
COMBINED TREATMENT FOR   CATARACT AND GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7163543
    	
 
    	
1/16/07
    

 

B-3

 

	
KMOB
   Ref No.
   GLAUKO
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent No.
    	
 
    	
Issued
    
	
022C1
    	
 
    	
COMBINED TREATMENT FOR   CATARACT AND GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7951155
    	
 
    	
5/31/11
    
	
034A
    	
 
    	
TARGETED STENT   PLACEMENT AND MULTI-STENT THERAPY
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7192412
    	
 
    	
3/20/07
    
	
035A
    	
 
    	
OCULAR IMPLANT WITH   ANCHOR AND MULTIPLE OPENINGS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7488303
    	
 
    	
2/10/09
    
	
035C2
    	
 
    	
OCULAR IMPLANT WITH   ANCHOR AND MULTIPLE OPENINGS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
035DV1
    	
 
    	
OCULAR IMPLANT WITH   ANCHORING MECHANISM AND MULTIPLE OUTLETS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8007459
    	
 
    	
8/30/11
    
	
044DA
    	
 
    	
SURGICAL HANDPIECE
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
DES490152
    	
 
    	
5/18/04
    
	
044XEU
    	
 
    	
SURGICAL INSTRUMENTS
    	
 
    	
EU
    	
 
    	
Issued
    	
 
    	
000071071-0001
    	
 
    	
12/9/03
    
	
044XEU2
    	
 
    	
SURGICAL INSTRUMENTS
    	
 
    	
EU
    	
 
    	
Issued
    	
 
    	
000071071-0002
    	
 
    	
12/9/03
    
	
044XEU3
    	
 
    	
SURGICAL INSTRUMENTS
    	
 
    	
EU
    	
 
    	
Issued
    	
 
    	
000071071-0003
    	
 
    	
12/9/03
    
	
099A
    	
 
    	
UVEOSCLERAL SHUNT AND   METHODS FOR IMPLANTING SAME
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8506515
    	
 
    	
08/13/13
    
	
099C1
    	
 
    	
UVEOSCLERAL SHUNT AND   METHODS FOR IMPLANTING SAME
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
099AUD1
    	
 
    	
UVEOSCLERAL SHUNT AND   METHODS FOR IMPLANTING SAME
    	
 
    	
AU
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
099VCA
    	
 
    	
UVEOSCLERAL SHUNT AND   METHODS FOR IMPLANTING SAME
    	
 
    	
CA
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
099VEP
    	
 
    	
UVEOSCLERAL SHUNT AND   METHODS FOR IMPLANTING SAME
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
099VJP
    	
 
    	
UVEOSCLERAL SHUNT AND   METHODS FOR IMPLANTING SAME
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
099VJPD1
    	
 
    	
UVEOSCLERAL SHUNT AND   METHODS FOR IMPLANTING SAME
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
100A
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6450984
    	
 
    	
9/17/02
    
	
100C1
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6626858
    	
 
    	
9/30/03
    

 

B-4

 

	
KMOB
   Ref No.
   GLAUKO
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent No.
    	
 
    	
Issued
    
	
100C1C1
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6827699
    	
 
    	
12/7/04
    
	
100C1C2
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6827700
    	
 
    	
12/7/04
    
	
100CC1C
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7850637
    	
 
    	
12/14/10
    
	
100CC1C2
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8388568
    	
 
    	
03/05/13
    
	
100CC1CD
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8771217
    	
 
    	
7/8/14
    
	
100CC2C
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8152752
    	
 
    	
04/10/12
    
	
100C7
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
100CPC1
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7220238
    	
 
    	
5/22/07
    
	
113VCA
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
CA
    	
 
    	
Issued
    	
 
    	
2368354
    	
 
    	
2/17/09
    
	
113VEP
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
DE, FR, GB
    	
 
    	
Issued
    	
 
    	
1173124
    	
 
    	
4/27/05
    
	
113VEPD4
    	
 
    	
TRABECULOTOMY DEVICE   AND METHOD FOR TREATING GLAUCOMA
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
113VJP
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
3703721
    	
 
    	
7/29/05
    
	
113VR1JP
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
4688444
    	
 
    	
2/25/11
    
	
113VRCA
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
CA
    	
 
    	
Issued
    	
 
    	
2648346
    	
 
    	
12/4/2012
    
	
113VREP
    	
 
    	
SHUNT DEVICE FOR   TREATING GLAUCOMA
    	
 
    	
DE, FR, GB
    	
 
    	
Issued
    	
 
    	
1477146
    	
 
    	
8/26/09
    
	
113VREP2
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
113VREP3
    	
 
    	
SHUNT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
DE, FR, GB
    	
 
    	
Issued
    	
 
    	
2116215
    	
 
    	
02/01/12
    

 

B-5

 

	
KMOB
   Ref No.
   GLAUKO
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent No.
    	
 
    	
Issued
    
	
113VRJPD
    	
 
    	
SHUNT DEVICE FOR   TREATING GLAUCOMA
    	
 
    	
JP
    	
 
    	
Issued
    	
 
    	
5323011
    	
 
    	
7/26/2013
    
	
119A
    	
 
    	
STENT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6464724
    	
 
    	
10/15/02
    
	
119C1
    	
 
    	
STENT DEVICE AND METHOD   FOR TREATING GLAUCOMA
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
6783544
    	
 
    	
8/31/04
    
	
11CP1C1
    	
 
    	
DEVICES AND METHODS FOR   TREATMENT OF OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7879001
    	
 
    	
02/01/11
    
	
11CP1C2
    	
 
    	
DEVICES AND METHODS FOR   TREATMENT OF OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
11CP2CP1
    	
 
    	
OCULAR DISORDER   TREATMENT IMPLANTS WITH MULTIPLE OPENINGS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
11P1C3
    	
 
    	
OCULAR IMPLANT SYSTEMS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
11P1C4
    	
 
    	
OCULAR IMPLANT SYSTEMS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
11CP3DV1
    	
 
    	
DRUG ELUTING OCULAR   IMPLANT WITH ANCHOR AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8118768
    	
 
    	
2/21/12
    
	
11P3D1C1
    	
 
    	
OCULAR SYSTEM WITH   ANCHORING IMPLANT AND THERAPEUTIC AGENT
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
140A
    	
 
    	
SYSTEM AND METHOD FOR   DELIVERING MULTIPLE OCULAR IMPLANTS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
140CA
    	
 
    	
SYSTEM FOR DELIVERING   MULTIPLE OCULAR IMPLANTS
    	
 
    	
CA
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
140EP
    	
 
    	
SYSTEM FOR DELIVERING   MULTIPLE OCULAR IMPLANTS
    	
 
    	
EP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
140JP
    	
 
    	
SYSTEM FOR DELIVERING   MULTIPLE OCULAR IMPLANTS
    	
 
    	
JP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
140NP
    	
 
    	
SYSTEM FOR DELIVERING   MULTIPLE OCULAR IMPLANTS
    	
 
    	
NP
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
155A
    	
 
    	
GONIOSCOPE FOR IMPROVED   VIEWING
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8070290
    	
 
    	
12/06/11
    

 

B-6

 

	
KMOB
   Ref No.
   GLAUKO
    	
 
    	
Title of Invention
    	
 
    	
Country
    	
 
    	
Status
    	
 
    	
Patent No.
    	
 
    	
Issued
    
	
157DA
    	
 
    	
GONIOSCOPIC SYSTEM   INCLUDING AN OPTICAL ELEMENT ATTACHMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
D645489
    	
 
    	
9/20/11
    
	
171DA
    	
 
    	
GONIOSCOPIC SYSTEM   INCLUDING AN OPTICAL ELEMENT ATTACHMENT
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
D645490
    	
 
    	
9/20/11
    
	
179A
    	
 
    	
SYSTEMS AND METHODS FOR   DELIVERING AN OCULAR IMPLANT TO THE SUPRACHOROIDAL SPACE WITHIN AN EYE
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
179WO
    	
 
    	
SYSTEMS AND METHODS FOR   DELIVERING AN OCULAR IMPLANT TO THE SUPRACHOROIDAL SPACE WITHIN AN EYE
    	
 
    	
WO
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
196A
    	
 
    	
GLAUCOMA STENT AND   METHODS THEREOF FOR GLAUCOMA TREATMENT
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
201PR
    	
 
    	
APPARATUS AND METHOD   FOR CONTROLLING PLACEMENT OF INTRAOCULAR IMPLANTS
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
205PR
    	
 
    	
GONIOSCOPIC DEVICES
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
207PR
    	
 
    	
STABLE THERAPEUTIC DRUG   COMPOSITIONS AND IMPLANTS FOR DELIVERY OF SAME
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
209PR
    	
 
    	
IMPLANTS WITH   CONTROLLED DRUG DELIVERY FEATURES AND METHODS OF USING SAME
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
210PR
    	
 
    	
PUNCTAL IMPLANTS WITH   CONTROLLED DRUG DELIVERY FEATURES AND METHODS OF USING SAME
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
212A
    	
 
    	
ANTERIOR CHAMBER DRUG-ELUTING   OCULAR IMPLANT
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
213WO
    	
 
    	
OCULAR IMPLANTS   CONFIGURED TO STORE AND RELEASE STABLE DRUG FORMULATIONS
    	
 
    	
WO
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
214A
    	
 
    	
IMPLANTS WITH   CONTROLLED DRUG DELIVERY FEATURES AND METHODS OF USING SAME
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
214WO
    	
 
    	
IMPLANTS WITH   CONTROLLED DRUG DELIVERY FEATURES AND METHODS OF USING SAME
    	
 
    	
WO
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
1C4C11
    	
 
    	
OCULAR IMPLANT WITH   ANCHOR AND METHODS THEREOF
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8801648
    	
 
    	
8/2/14
    
	
1C4C12
    	
 
    	
METHOD OF DELIVERING AN   IMPLANT FOR TREATING AN OCULAR DISORDER
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
8333742
    	
 
    	
12/18/12
    
	
1C4C13
    	
 
    	
SYSTEM AND METHOD FOR   TREATING AN OCULAR DISORDER
    	
 
    	
US
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
1C4C2
    	
 
    	
METHOD OF DELIVERING AN   IMPLANT FOR TREATING AN OCULAR DISORDER
    	
 
    	
US
    	
 
    	
Issued
    	
 
    	
7867205
    	
 
    	
01/11/11
    
	
1C2C3DV1
    	
 
    	
IMPLANT DELIVERY DEVICE   AND METHODS THEREOF FOR TREATMENT OF OCULAR DISORDERS
    	
 
    	
US
    	
 
    	
Isued
    	
 
    	
8808219
    	
 
    	
8/19/14
    

 

B-7

 

EXHIBIT C — GLAUKOS GROUP 2 LICENSED PATENTS

 

(Status as of June 30, 2015)

 

	
KMOB
   Ref. No.
   GLAUKO3.
    	
 
    	
Title of Invention
    	
 
    	
Status
    	
 
    	
Patent
   No
    	
 
    	
Issued:
    
	
001D1
    	
 
    	
OCULAR IMPLANT WITH   THERAPEUTIC AGENT AND METHODS THEREOF
    	
 
    	
Issued
    	
 
    	
8814820
    	
 
    	
8/26/14
    
	
1C2C3
    	
 
    	
OCULAR IMPLANT WITH   ANCHOR AND THERAPEUTIC AGENT
    	
 
    	
Issued
    	
 
    	
8273050
    	
 
    	
09/25/12
    
	
005A
    	
 
    	
BIFURCATABLE TRABECULAR   SHUNT FOR GLAUCOMA TREATMENT
    	
 
    	
Issued
    	
 
    	
6666841
    	
 
    	
12/23/03
    
	
005C1
    	
 
    	
IMPLANT WITH PRESSURE   SENSOR FOR GLAUCOMA TREATMENT
    	
 
    	
Issued
    	
 
    	
6981958
    	
 
    	
1/3/06
    
	
020C1
    	
 
    	
FLUID INFUSION METHODS   FOR OCULAR DISORDER TREATMENT
    	
 
    	
Issued
    	
 
    	
8617094
    	
 
    	
12/31/13
    
	
020C2
    	
 
    	
FLUID INFUSION METHODS   FOR OCULAR DISORDER TREATMENT
    	
 
    	
Pending
    	
 
    	
 
    	
 
    	
 
    
	
022C2
    	
 
    	
COMBINED TREATMENT FOR   CATARACT AND GLAUCOMA TREATMENT
    	
 
    	
Issued
    	
 
    	
8882781
    	
 
    	
11/11/14
    
	
022C3
    	
 
    	
COMBINED TREATMENT FOR   CATARACT AND GLAUCOMA TREATMENT
    	
 
    	
Pending

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00246-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00246-of-00352.parquet"}]]