Document:

EX-10.4

 Exhibit 10.4 

AMENDMENT TO STOCK OPTION AGREEMENT AND TERMINATION OF CONTINGENT CONSIDERATION AWARD 

THIS AMENDMENT TO STOCK OPTION AGREEMENT AND TERMINATION OF CONTINGENT CONSIDERATION AWARD (this “Amendment”), dated
as of September 16, 2014, is entered into by and between Cerulean Pharma Inc., a Delaware corporation (the “Company”), and Alan Crane (the “Participant”). 

WHEREAS, the parties hereto entered into a Nonstatutory Stock Option Agreement (the “Option Agreement”) evidencing the grant
by the Company to the Participant on February 7, 2013 of an option to purchase 35,765 shares (the “Shares”) of the Company’s Common Stock, $0.0001 par value per share (“Common Stock”), at an exercise price
of $3.92 per Share (in the case of both the number of Shares and exercise price, after giving effect to Company’s reverse stock split that was effected on March 31, 2014), with performance-based vesting; 

WHEREAS, the parties hereto entered into a Contingent Consideration Award agreement dated as of February 7, 2013 (the “Award
Agreement”), providing, among other things, for cash payments by the Company to the Participant under certain circumstances as described in the Award Agreement; and 

WHEREAS, the Company and the Participant desire to (i) amend the Option Agreement (a) to provide for time-based vesting on all
Shares and (b) to reduce the number of Shares subject to the Agreement and (ii) to terminate the Award Agreement. 
 NOW,
THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows: 

1. Definitions. Capitalized terms used in this Amendment without definition shall have the respective meanings ascribed thereto in the
Option Agreement. 
 2. Amendments. 

(a) Section 1. The first sentence of the first paragraph of Section 1 of the Option Agreement is hereby deleted in its
entirety and replaced with the following: 
 “This agreement evidences the grant by Cerulean Pharma Inc., a Delaware
corporation (the “Company” or “Cerulean”), on February 7, 2013 (the “Grant Date”) to Alan Crane, a director of the Company (the “Participant”), of an option to purchase, in whole or in part, on the terms
provided herein and in the Company’s 2007 Stock Incentive Plan, as amended (the “Plan”), a total 16,000 shares (the “Shares”) of common stock, $0.0001 par value per share, of the Company (“Common Stock”) at $3.92
per Share.” 

 (b) Section 2. Section 2 of the Option Agreement is hereby deleted in its
entirety and replaced with the following: 
 “(a) This option will become exercisable (“vest”) as to one-third
of the number of Shares on the date of the Company’s annual meeting of stockholders to be held in 2014. This option will vest as to an additional one-third of the original number of Shares on the date of the Company’s annual meeting of
stockholders to be held in 2015 and as to the final one-third of the original number of Shares on the date of the Company’s annual meeting of stockholders to be held in 2016. Notwithstanding the foregoing, upon the consummation of a Change of
Control Event, the then-remaining unvested portion of the option shall immediately vest and become fully exercisable. 
 (b)
A “Change of Control Event” shall mean (i) the acquisition of beneficial ownership (as defined in Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)) directly or indirectly by
any “person” (as such term is used in Sections 13(d) and 14(d) of the Exchange Act), of securities of the Company representing a majority or more of the combined voting power of the Company’s then outstanding securities, other than an
acquisition of securities for investment purposes pursuant to a bona fide financing of the Company; (ii) a merger or consolidation of the Company with any other corporation in which the holders of the voting securities of the Company prior to
the merger or consolidation do not own more than 50% of the total voting securities of the surviving corporation; (iii) the sale or disposition by the Company of all or substantially all of the Company’s assets other than a sale or
disposition of assets to an entity whose equity interests are held, directly or indirectly, entirely by the same persons and in the same proportions as the equity interests of the Company; or (iv) a change in the composition of the Board of
Directors of the Company (the “Board”) that results, during any one year period, in the Continuing Directors no longer constituting a majority of the Board (or, if applicable, the board of directors of a successor corporation to the
Company), where the term “Continuing Director” means at any date a member of the Board (x) who was a member of the Board on the Grant Date or (y) who was nominated or elected subsequent to such date by at least a majority
of the directors who were Continuing Directors at the time of such nomination or election or whose election to the Board was recommended or endorsed by at least a majority of the directors who were Continuing Directors at the time of such nomination
or election; provided, however, that there shall be excluded from this clause (y) any individual whose initial assumption of office after the Grant Date occurred as a result of an actual or threatened election contest with respect to the
election or removal of directors or other actual or threatened solicitation of proxies or consents, by or on behalf of a person other than the Board. 

(c) The right of exercise shall be cumulative so that to the extent the option is not exercised in any period to the maximum
extent permissible it shall continue to be exercisable, in whole or in part, with respect to all Shares for which it is vested until the earlier of the Final Exercise Date or the termination of this option under Section 3 hereof or the
Plan.” 
 3. Termination of Award Agreement. Pursuant to Section 4 of the Award Agreement, the Award Agreement is hereby
terminated, effective as of the date hereof. 
 4. Miscellaneous. Except as specifically provided herein, the Option Agreement
remains in full force and effect and is not modified or amended hereby. This Amendment may 

 
be executed (manually or electronically) in counterparts, each of which shall be deemed an original and all of which together shall constitute one and the same instrument. The headings contained
in this Amendment are for reference purposes only and shall not affect in any way the meaning or interpretation of this Amendment. This Amendment shall be governed by, and construed in accordance with, the internal laws of the State of Delaware.
From and after the date of this Amendment, all references in the Option Agreement to “this agreement” or “this Agreement” or similar terms shall be deemed to be references to the Option Agreement as amended hereby. 

[Remainder of page intentionally left blank.] 

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed by their
respective authorized officers as of the day and year first above written. 
  

					
	CERULEAN PHARMA INC.
		
	By:	 	 /s/ Oliver S. Fetzer

		 	Name:	 	Oliver S. Fetzer
		 	Title:	 	Chief Executive Officer
	
	PARTICIPANT
	
	 /s/ Alan Crane

	Alan Crane

 [SIGNATURE PAGE TO AMENDMENT TO STOCK OPTION AGREEMENT AND TERMINATION OF CONTINGENT CONSIDERATION AWARD]EX-10.5

 Exhibit 10.5 

AMENDMENT NO. 03 
 Dated
September 19, 2014 
 TO 

that certain Loan and Security Agreement No. 2161 

dated as of December 6, 2011, as amended from time to time, (“Agreement”), by and between 

LIGHTHOUSE CAPITAL PARTNERS VI, L.P. (“Lender”) and 

CERULEAN PHARMA INC. (“Borrower”). 

WHEREAS, Borrower and Lender have previously entered into the Agreement; and 

WHEREAS, Lender and Borrower agree to modify the Agreement in light of Borrowers recent initial public offering. 

NOW, THEREFORE, in consideration of the foregoing and the mutual covenants herein contained, the parties hereby agree to modify the Agreement
and to perform such other covenants and conditions as follows: 
 (All capitalized terms not otherwise defined herein shall have the meanings given to such
terms in the Agreement.) 
 Without limiting or amending any other provisions of the Agreement, Lender and Borrower agree to the following: 

I. Section 1.1 of the Agreement, the following definitions shall be deleted in their entirety and replaced with the following: 

“Loan Documents” means, collectively, the Agreement, this Amendment 01, Amendment 02, Amendment 03, the Warrant, the Notes, the Share Pledge,
and all other documents, instruments and agreements entered into between Borrower and Lender in connection with the Loan, all as amended or extended from time to time. 

“Permitted Liens” means: (i) Liens in favor of Lender; (ii) Liens disclosed in the Disclosure Schedule, including Liens of Silicon
Valley Bank (“SVB”) on specific assets of Borrower financed pursuant to the terms of an equipment loan facility with SVB and all substitutions for, additions, attachments, accessories, accessions and improvements to and
replacements, products, proceeds and insurance proceeds of any or all of the foregoing; (iii) Liens for taxes, fees, assessments or other governmental charges or levies not delinquent or being contested in good faith by appropriate proceedings,
that do not jeopardize Lender’s interest in any Collateral; (iv) Liens to secure payment of worker’s compensation, employment insurance, old age pensions or other social security obligations of Borrower on which Borrower is current
and are in the ordinary course of its business; provided none of the same diminish or impair Lender’s rights and remedies respecting the Collateral; (v) Liens upon or in any equipment (and including any accessions, attachments,
replacements, improvements or proceeds thereto) acquired or held by such entity to secure the purchase price of such equipment or Indebtedness incurred solely for the purposes of financing such equipment or Capital Lease obligations in an aggregate
amount at any time outstanding not to exceed $1,000,000; (vi) licenses or sublicenses of intellectual property granted in the ordinary course of business; (vii) banker’s Liens, rights of setoff and similar Liens incurred on deposit
and securities accounts of such entities for fees due on such accounts made in the ordinary course of business; (viii) carriers’, warehousemen’s, mechanics’, materialmen’s, repairmen’s or other like Liens arising in the
ordinary course of business which are not delinquent or remain payable without penalty or which are being contested in good faith and by appropriate proceedings; (ix) Liens in favor of customs and revenue authorities which secure payment of
customs duties in connection with the importation of goods; (x) Liens on (I) Borrower’s account no. 3300994390 with SVB securing reimbursement obligations in connection with a letter of credit issued in favor of Rivertech Associates
II LLC, and (II) any other deposit accounts securing Borrower’s reimbursement obligations with respect to letters of credit for the benefit of landlords in the ordinary course of business, in the aggregate amount for both (I) and (II) at
any time not to exceed $700,000.00; and (xi) judgment Liens not constituting an Event of Default. 

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

 II. Section 1.1 of the Agreement, the following definitions shall be added: 

“Amendment 03” means this Amendment No. 03 to Loan and Security Agreement by and between Lender and Borrower dated September 19,
2014. 
 III. Section 5.3 of the Agreement, the Disclosure Schedule attached hereto as Annex I shall replace and supersede all prior
Disclosure Schedules. All information on the Disclosure Schedule is true, correct and complete as of the date of this Amendment. 
 IV.
Section 5.7 of the Agreement shall be deleted and replaced with the following: 
 5.7 Financial Statements. All financial statements
delivered by Borrower to Lender under this Agreement fairly represent in all material respects the financial condition of the Borrower as of the dates, and for the periods, indicated therein, subject in the case of the unaudited financial statement
to normal year-end audit adjustments. All written statements respecting Collateral delivered by Borrower to Lender in connection with this Agreement are true, complete and correct in all material respects for the periods indicated. 

V. Section 5.9 of the Agreement shall be deleted and replaced with the following: 

5.9 Taxes. Borrower has filed all required tax returns (or extensions thereof) when due, and has paid all taxes it owes when due, other than where the
failure to comply would not reasonably be expected to have a Material Adverse Effect. 
 VI. Section 6.2 of the Agreement shall be deleted and
replaced with the following: 
 6.2 Financial Statements, Reports, Certificates. Borrower shall deliver to Lender: (i) as soon as prepared, and
no later than 45 days after the end of each quarter, a balance sheet, income statement and cash flow statement covering Borrower’s operations during such period; (ii) as soon as prepared, but no later than 90 days after the end of the
fiscal year or such other time period as approved by Borrower’s Board of Directors, audited financial statements prepared in accordance with GAAP, together with an opinion that such financial statements fairly present Borrower’s financial
condition by an independent public accounting firm reasonably acceptable to Lender; (iii) promptly upon notice thereof, a report of any legal or administrative action pending or, to Borrower’s knowledge, threatened in writing against
Borrower which is likely to result in liability to Borrower in excess of $200,000; and (iv) at the times required under (i) and (ii) above, such other financial information as Lender may reasonably request from time to time. Financial
statements delivered pursuant to subsections (i) and (ii) above shall be accompanied by a certificate signed by a Responsible Officer (each an “Officer’s Certificate”) in the form of Exhibit F. All
financial statements or reports under this section are deemed delivered to Lender when filed with the SEC or posted on Borrower’s website. 
 VII.
Section 6.7 of the Agreement shall be deleted and replaced with the following: 
 6.7 Taxes. Borrower shall file all required tax returns
(or extensions thereof) when due, and shall pay all taxes it owes, when due, other than where the failure to comply would not reasonably be expected to have a Material Adverse Effect. 

VIII. Section 7.2 of the Agreement shall be deleted and replaced with the following: 

7.2 Extraordinary Transactions. Sell, lease, license or otherwise dispose of its assets, other than (i) sales of inventory in the ordinary course
of Borrower’s business; (ii) licenses and sublicenses of Borrower’s intellectual property assets entered into in the ordinary course of business; (iii) disposition of worn out or obsolete equipment, de minimis amounts of raw
materials or de minimis amounts of tangible assets; (iv) dispositions of rights to Intellectual Property to and with Cerulean Australia and related agreements and transactions; and (v) any transaction otherwise permitted under this
Section 7 or not an Event of Default under Section 8.12 (including without limitation, disposition of rights to Intellectual Property to and with Cerulean Australia). 

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

 IX. Section 7.6 of the Agreement shall be deleted and replaced with the following: 

7.6 Distributions. Pay any dividends or distributions, or redeem or repurchase its own capital stock, except for (i) repurchases of capital stock
from departing employees, directors, or service providers under agreements approved by the Borrower’s board of directors, and (ii) capital contributions to Cerulean Australia, provided that the requirements of Section 7.10(ii)
are satisfied. 
 X. Section 7.10 of the Agreement shall be deleted and replaced with the following: 

7.10 Deposit and Securities Accounts. Maintain any deposit accounts or accounts holding securities owned by Borrower except accounts in which Lender
has obtained a perfected first priority security interest. Notwithstanding the foregoing, Lender shall not have a perfected security interest in (i) Borrower’s deposit number 3300994390 at SVB in the amount of $117,134.00 which secures
letter of credit number SVBSF008253 issued in favor of Rivertech Associates II, LLC; (ii) Cerulean Australia’s account numbers 033-002721996 and 033-002722008, provided the amount in such accounts shall not exceed $2,000,000 in the
aggregate at any time; and (iii) other Liens securing letter of credit reimbursement obligations in favor of landlords in the ordinary course of Borrower’s business, provided the amount in such accounts (together with any amounts in
accounts under clause (i)) shall not exceed $700,000.00. For so long as the Obligations are outstanding, Borrower shall not hold directly or indirectly, purchase or create a purchase order or directive to purchase any auction rate securities or
similar financial instruments regardless of whether such securities are to be held by Borrower or through one or more brokerage accounts. 
 XI.
Section 8.10 of the Agreement shall be deleted and replaced with the following: 
 8.10 Involuntary Bankruptcy. An involuntary bankruptcy
case against the Borrower remains undismissed or unstayed for 60 days or, if earlier, an order granting the relief sought is entered. 
 XII. Exhibit F
of the Agreement shall be deleted and replaced with the Form attached hereto as Annex II. 
 XIII. Conditions Precedent to the effectiveness
of Amendment 03: 
 The obligation of Lender to enter into this Amendment 03 is subject to the performance and fulfillment of each and
every of the following conditions precedent in form and substance satisfactory to Lender in its sole discretion: 
 (a) This
Amendment 03 shall have been duly executed and delivered by Borrower. 
 (b) Without limiting the foregoing or Lender’s rights
or Borrower’s Obligations under the Agreement, such consents, including the approvals of Borrower’s board of directors, amendments, filings, recordations, or other documents from any persons or entities necessary to maintain the perfection
and priority of Lender’s security interest in the Collateral as originally configured, in form and substance reasonably satisfactory to Lender, shall have been delivered by Borrower to Lender. 

(c) A good standing certificate from Borrower’s state of incorporation or formation and the states in which Borrower maintains a
place of business, including certificates of the applicable governmental authorities stating that Borrower is in compliance with the franchise tax laws of each such state, each dated as of a recent date shall have been delivered to Lender. 

(d) All necessary consents of shareholders, members, and other third parties with respect to the execution, delivery and performance of
the Agreement and this Amendment 03. 

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

 XIV. Additional Terms and Conditions 

(a) Further Conditions. The following are conditions precedent to Lender’s obligations to enter into this Amendment 02:

 (i) Borrower shall execute and deliver all other documents, as Lender shall have reasonably requested prior to the execution by Borrower
and Lender of this Amendment 03. 
 (ii) Borrower shall and hereby does agree to promptly pay all Lender’s Expenses for the preparation
and negotiation of this Amendment 03 when requested. 
 (b) Representations and Warranties of Borrower. Borrower reaffirms
that, except as set forth in the attached Disclosure Schedule, the representations and warranties made to Lender in the Agreement are true and correct as of the date hereof as though fully set forth herein (except to the extent such representations
and warranties expressly refer to a specific date, in which case they are true and correct in all material respects as of such date). Borrower further warrants and represents, as a significant material inducement to Lender to enter hereinto, that:
(i) no Events of Default have occurred that have not been disclosed to Lender by Borrower in writing, except that Borrower has not provided monthly financial statements in accordance with Section 6.2 for August, 2014; (ii) all
actions or proceedings pending or, to the knowledge of the Borrower, threatened in writing by or against Borrower before any court or administrative agency are set forth on the Disclosure Schedule; (iii) it is in full compliance with
Section 7.10 of the Agreement; and (iv) the information provided on the attached Disclosure Schedule is complete and accurate. Lender hereby waives any Event of Default caused by Borrower’s not providing the financial
statements described in clause (i) above. 
 (c) No Control. Borrower warrants and represents, as a significant material
inducement to Lender to enter hereinto, that none of Lender nor any affiliate, officer, director, employee, agent, or attorney of Lender, have at any time, from Borrower’s date of formation through to the date hereof, (i) exercised
management or other control over the Borrower, (ii) exercised undue influence over Borrower or any of its officers, employees or directors, (iii) entered into any joint venture, agency relationship, employment relationship, or partnership
with Borrower, (iv) directed or instructed Borrower on the manner, method, amount, or identity of payee of any payment made to any creditor of Borrower, and further, Borrower warrants and represents that by entering hereinto with Lender has
not, is not and will not have engaged in any of the foregoing. 
 XV. Integration Clause. This Amendment 03 and the Agreement, as previously amended,
represent and document the entirety of the agreement and understanding of the parties hereto with respect to the subject matter thereof. All prior understandings, whether oral or written, other than the Loan Documents, are hereby merged hereinto.
NONE OF THE AGREEMENT OR THIS AMENDMENT 03 MAY BE MODIFIED EXCEPT BY A WRITING SIGNED BY LENDER AND BORROWER. Each provision hereof shall be severable from every other provision when determining its legal enforceability such that
Lender’s rights and remedies under this Amendment 03 and the Agreement may be enforced to the maximum extent permitted under applicable law. This Amendment 03 shall be binding upon, and inure to the benefit of, each party’s respective
permitted successors and assigns. This Amendment 03 may be executed in counterpart originals, all of which, when taken together, shall constitute one and the same original document. No provision of any other document between Lender and Borrower
shall limit the effectiveness hereof or the rights and remedies of Lender against Borrower. Except as expressly provided herein, in the event of any contradiction or inconsistency among the terms and conditions of this Amendment 03 and the
Agreement, the terms of the Agreement shall prevail. 

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

 Except as amended hereby, the Agreement remains unmodified and unchanged. 

 

									
	BORROWER:	 		 	LENDER:
			
	CERULEAN PHARMA INC.	 		 	LIGHTHOUSE CAPITAL PARTNERS VI, L.P.
					
	By:	 	 /s/ Oliver S. Fetzer
	 		 	By:	 	LIGHTHOUSE MANAGEMENT PARTNERS VI, L.L.C, ITS GENERAL PARTNER
	  
 Name:
	 	  
 Oliver S. Fetzer
	 		 		 
					
	Title:	 	 President and Chief Executive Officer
	 		 	By:	 	 /s/ Cristy Barnes

					
		 		 		 	Name:	 	 Christy Barnes

					
		 		 		 	Title:	 	 Managing Director

  

			
	Annex I	  	Disclosure Statement
	Annex II	  	Exhibit F

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

 ANNEX I 

SCHEDULE I 

DISCLOSURE SCHEDULE 

DEPOSIT AND SECURITIES ACCOUNTS 

 

									
	 	  	 Account Information:
	  	 Contact Information for Account:

		  	Bank Name:	  	Silicon Valley Hank	  	Contact Name:	  	Kate Walsh
		  	Address:	  	3003 Tasman Drive	  	Phone:	  	(617) 630-4130
	Account	  	City, State, Zip:	  	Santa Clara, CA 95054	  	Fax:	  	(617) 969-5962
	Number	  	Phone:	  	(408) 654-7400	  	E-mail:	  	kwalsh@svb.com
	1	  	Fax:	  		  		  	
	ACH	  	Type of Account:	  	Checking	  		  	
	Account	  	Account number:	  	3300508803	  		  	
					
		  	Bank Name:	  	SVB Securities	  	Contact Name:	  	Customer Service
		  	Address:	  	3003 Tasman Drive	  	Phone:	  	(800)303-7371
	Account	  	City, State, Zip:	  	Santa Clara, CA 95054	  	Fax:	  	
	Number	  	Phone:	  	(800) 303-7371	  	E-mail:	  	
	2	  	Fax:	  		  		  	
		  	Type of Account:	  	Securities	  		  	
		  	Account number:	  	486-04517-17 RR ZGQ	  		  	
					
		  	Bank Name:	  	Silicon Valley Bank	  	Contact Name:	  	Kate Walsh
	Account	  	Address:	  	3003 Tasman Drive	  	Phone:	  	(617) 630-4130
	Number	  	City, State, Zip:	  	Santa Clara, CA 95054	  	Fax:	  	(617) 969-5962
	3	  	Phone:	  	(408) 654-7400	  	E-mail:	  	kwalsh@svb.com
		  	Fax:	  		  		  	
	Capped at	  	Type of Account:	  	CD Securing Landlord	  		  	
	$117,134	  	LOC	  		  		  	
		  	Account number:	  	3300994390	  		  	
					
		  	Bank Name:	  	Wcstpac	  	Contact Name:	  	
	Account	  	Address:	  	GPO Box 3433	  	Phone:	  	
	Number	  	City, State, Zip:	  	Sidney NSW 2001	  	Fax:	  	
	4	  	Phone:	  	+1 300 655 5051	  	E-mail:	  	
	Australian Sub	  		  	(+61 2) 9293 9270	  		  	
		  	Fax:	  		  		  	
	Capped at	  	Type of Account:	  	Operating Checking	  		  	
	$2,000,000 w/	  	Account number:	  	033-002 721996	  		  	
	Account #5	  		  		  		  	
					
		  	Bank Name:	  	Wcstpac	  	Contact Name:	  	
	Account	  	Address:	  	GPO Box 3433	  	Phone:	  	
	Number	  	City, State, Zip:	  	Sidney NSW 2001	  	Fax:	  	
	5	  	Phone:	  	+1 300 655 5051	  	E-mail:	  	
	Australian Sub	  		  	(+61 2) 9293 9270	  		  	
		  	Fax:	  		  		  	
	Capped at	  	Type of Account:	  	Interest Bearing Account	  		  	
	$2,000,000 w/	  	Account number:	  	033-002 722008	  		  	
	Account #4	  		  		  		  	

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

 PERMITTED LIENS 

EXISTING LIENS. Liens on equipment financed pursuant to that certain Loan and Security Agreement between Silicon Valley
Bank and the Borrower dated November 18, 2008, as amended or refinanced from time to time, and any and all claims, rights and interest in such assets and all substitutions for, additions, attachments, accessories, accessions and improvements to
and replacements, products, proceeds and insurance proceeds of any or all of the foregoing. 
 SUBSIDIARIES 

Cerulean Pharma Australia Pty Ltd 

PRIOR NAMES 

Tempo Pharmaceuticals, Inc. 

LITIGATION AND ADMINISTRATIVE PROCEEDINGS 

On November 9, 2011, the Borrower received a letter from an attorney representing Dr. Pei-Sze Ng, a former employee of the Borrower who voluntarily
left employment with the Borrower. The letter threatened a claim against the Borrower for tortuous interference with contract as a result of communications the Borrower allegedly had with Alnylam Pharmaceuticals, which (according to the letter)
offered Dr. Ng employment as a Senior Scientist and subsequently withdrew the offer. 
 On January 29, 2014 Calando Pharmaceuticals, Inc.
(“Calando”) filed for Chapter 7 protection in the United States Bankruptcy Court for the District of Delaware. Borrower has various license and intellectual property agreements with Calando, which are now disputed in the bankruptcy. Given
the uncertain nature of Calando’s liquidation plans at this time, it is possible that Borrower will face additional liability as a result of this bankruptcy. 

BUSINESS PREMISES 
  

									
	 	  	 Each Collateral Location:
	  	 Landlord/Property Management
Information for any Borrower leased
location:

					
	Current	  	Contact Name:	  	Karen L. Roberts	  	Contact Name:	  	Alan Goodman
	Headquarters	  	Address:	  	840 Memorial Drive, 5th Fl.	  	Company Name:	  	Rivertech Associates
	(Location 1)	  	City, State, Zip:	  	Cambridge, MA 02139	  	II, LLC, c/o The Abbey Group
		  	Phone:	  	(617) 551-9600	  	Address:	  	575 Boylston Street
		  	Fax:	  	(617) 494-1544	  	City, State, Zip:	  	Boston, MA 02142
		  		  		  	Phone:	  	(617) 266-8860
		  	[Please note: 1st floor is a business premise as well.]	  	Fax:	  	(617) 266-7424
					
	Location	  	Contact Name:	  	Andrew Slee	  	Contact Name:	  	N/A
	2	  	Company Name:	  	[Guast] US Preclinical	  	Company Name:	  	
		  	Services LLC	  		  	Address:	  	
		  	Address:	  	320 Putnam Avenue	  	City, State, Zip:	  	
		  	City, State, Zip:	  	Cambridge, MA 02139	  	Phone:	  	
		  	Phone:	  	(617) 868-5481	  	Fax:	  	
		  	Fax:	  	(617) 868-5691	  		  	

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

									
	 	  	 Each Collateral Location:
	  	 Landlord/Property Management
Information for any Borrower leased
location:

					
		  	Contact Name:	  	Derek Thornton	  	Contact Name:	  	N/A
	Location	  	Company Name:	  	Almac Clinical Services, LLC	  	Company Name:	  	
	 3
	  	 Address:
	  	4202 Technology Drive	  	Address:	  	
		  	 City, State, Zip:
	  	 Durham, NC 27704
	  	City, State, Zip:	  	
		  	 Phone:
	  	 (919) 294-1934
	  	Phone:	  	
		  	 Fax:
	  	 (919) 471-2633
	  	Fax:	  	
					
		  	Contact Name:	  	Timothy Quinn	  	Contact Name:	  	N/A
		  	Company Name:	  	Sigma-Aldrich, Inc.	  	Company Name:	  	
	Location	  	Address:	  	654 Science Drive	  	Address:	  	
	5	  	City, State, Zip:	  	Madison, WI 53711	  	City, State, Zip:	  	
		  	Phone:	  	(608) 335-3117	  	Phone:	  	
		  	Fax:	  	(608) 233-6873	  	Fax:	  	

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

 Annex II 

EXHIBIT F 

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA 

									
		 		 	For the financial statement period
		 		 	(“Statement Period” extending from
		 		 	  
	 	
		 		 	to	 	  
	 	

 EXHIBIT F 

OFFICER’S CERTIFICATE 

The undersigned, to induce LIGHTHOUSE CAPITAL PARTNERS VI, L.P.
(“Lender”), to extend or continue financial accommodations to CERULEAN PHARMA INC., a Delaware corporation (the “Borrower”) pursuant to the terms of that certain
Loan and Security Agreement dated December 6, 2011 (as amended, the “Loan Agreement”), hereby certifies that on the date hereof: 
  

	 	1.	I am the duly elected and acting                      of Borrower. 

 

	 	2.	I am a Responsible Officer as that term is defined in the Loan Agreement. 

  

	 	3.	The information filed with the Securities and Exchange Commission or otherwise delivered to the Lender under the Loan Agreement for the Statement Period fairly presents the financial condition of the Borrower in
all material respects as of the respective dates reported in such information. 

  

	 	4.	Borrower is currently able to pay its debts as they come due. 

  

	 	5.	I understand that Lender is relying upon the truthfulness, accuracy and completeness hereof in connection with the Loan Agreement. 

IN WITNESS WHEREOF, the undersigned has executed this Officer’s Certificate on
                    . 
  

			
	CERULEAN PHARMA INC.
		
	By:	 	  

		
	Name:	 	  

		
	Title:	 	  

  
 Client\Cerulean Pharma Inc. –
Amendment No. 03 to LSA

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