Document:

Brian R. Morrow Employment Agreement

 Exhibit 10.1 
 BRIAN R. MORROW 
 AGREEMENT 
 WITH 
 STEIN MART, INC. 
 This Agreement (this “Agreement”) entered into in the City of
Jacksonville and State of Florida between Stein Mart, Inc., a Florida corporation and its divisions, subsidiaries and affiliates (the “Company”), and Brian R. Morrow (“Executive”), is
made as of March 1, 2010 (the “Effective Date”). 
 In consideration of the promises and mutual
covenants contained herein, the parties, intending to be legally bound, agree as follows: 
 SECTION
1.         TERM OF EMPLOYMENT 
 (a) Term. The Company agrees
to employ Executive, and Executive agrees to be employed by the Company, for a period of two (2) year(s) beginning on the Effective Date (the “Term”). 
 SECTION 2.         DEFINITIONS 
 “Board of Directors” means the Board of Directors of Stein Mart, Inc. and any of its divisions, affiliates or subsidiaries. 
 “Cause” means the occurrence of any one or more of the following: 
 (a) Executive has been convicted of, or pleads guilty or nolo contendere to, a felony involving dishonesty, theft, misappropriation, embezzlement, fraud crimes against property or person, or moral
turpitude which negatively impacts the Company; or 
 (b) Executive intentionally furnishes materially false,
misleading, or omissive information concerning a substantial matter to the Company or persons to whom the Executive reports; or 
 (c) Executive intentionally fails to fulfill any assigned responsibilities for compliance with the Sarbanes-Oxley Act of 2002 or violates the same; or 
 (d) Executive intentionally and wrongfully damages material assets of the Company; or 

 (e) Executive intentionally and wrongfully discloses material Confidential
Information of the Employer; or 
 (f) Executive intentionally and wrongfully engages in any competitive activity
which would constitute a material breach of the duty of loyalty; or 
 (g) Executive intentionally breaches any
stated material employment policy or any material provision of the Company’s Ethics Policy, which could reasonably be expected to expose the Company to liability or 
 (h) Executive intentionally commits a material breach of this Agreement, or 
 (i) Executive intentionally engages in acts or omissions which constitute failure to follow reasonable and lawful directives
of the Company, provided, however, that such acts or omissions are not cured within five (5) days following the Company’s giving notice to Executive that the Company considers such acts or omissions to be “Cause” under this
Agreement. 
 No act, or failure to act, on the part of Executive shall be deemed “intentional” if it was due primarily to an error in
judgment or negligence, but shall be deemed “intentional” only if done, or omitted to be done, by the Executive not in good faith and without reasonable belief that his action or omission was in or not opposed to the best interests of the
Company. Failure to meet performance standards or objectives shall not constitute Cause for purposes hereof. 
 “Change in Control” means the occurrence of any of the following: (a) the Board approves the sale of all or substantially all of the assets of the Company in a single transaction or series of related
transactions; (b) the Company sells and/or one or more shareholders sells a sufficient amount of its capital stock (whether by tender offer, original issuance, or a single or series of related stock purchase and sale agreements and/or
transactions) sufficient to confer on the purchaser or purchasers thereof (whether individually or a group acting in concert) beneficial ownership of at least 35% of the combined voting power of the voting securities of the Company; (c) the
Company is party to a merger, consolidation or combination, other than any merger, consolidation or combination that would result in the holders of the voting securities of the Company outstanding immediately prior thereto continuing to represent
(either by remaining outstanding or by being converted into voting securities of the surviving entity) more than 50% of the combined voting power of the voting securities of the Company (or such surviving entity) outstanding immediately after such
merger, consolidation or combination; or (d) a majority of the board of directors consists of individuals who are not Continuing Directors (for this purpose, a Continuing Director is an individual who (i) was a director of the Company on
July 1, 2008 or (ii) whose election or nomination as a director of the Company is approved by a vote of at least a majority of the directors then comprising the Continuing Directors). For purposes hereof, the definition of a Change of
Control shall be construed and interpreted so as to comply with the definition contained in Code Section 409A. 
  

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 “Code” means the Internal Revenue Code of 1986, as amended. Any
reference to a specific provision of the Code shall be deemed to refer to any successor provision thereto and the regulations promulgated thereunder. 
 “Commencement Date” means February 2, 2010, the date the Executive shall report for work and assume Executive’s responsibilities hereunder. 
 “Compensation Committee” means the Company’s Compensation Committee or, if no such committee exists, the term
Compensation Committee shall mean the Company’s Board of Directors. 
 “Competing Business” means
any business which (i) at the time of determination, is substantially similar to the whole or a substantial part of the business conducted by the Company or any of its divisions or affiliates; (ii) at the time of determination, is
operating a store or stores which, during its or their fiscal year preceding the determination, had aggregate net sales, including sales in leased and licensed departments, in excess of $10,000,000, if such store or any such stores is or are located
in a city or within a radius of 25 miles from the outer limits of a city where the Company, or any of its divisions or affiliates, is operating a store or stores which, during their fiscal year preceding the determination, had aggregate net sales,
including sales in leased and licensed departments, in excess of $10,000,000; and (iii) had aggregate net sales at all locations, including sales in leased and licensed departments and sales by its divisions and affiliates, during its fiscal
year preceding that in which the Executive first rendered personal services thereto, in excess of $25,000,000. 
 “Continuation Period” means a period following the Termination Date of the Executive’s employment with the company equal to: 
  

	 	(i)	twelve (12) months (a) following a termination by the Company due to a non-renewal of the Term of this Agreement under §5(a) hereof, or
(b) following a termination by the Company without Cause or by the Executive for Good Reason under §5(b) hereof, or 

  

	 	(ii)	twenty-four (24) months following a termination (a) by the Company without Cause following a Change in Control under §5(f)(i) hereof, or (b) by the
Executive for Good Reason following a Change in Control under §5(b) as the definition of Good Reason is expanded in §5(b)(i) hereof. 

 “Current Insurance Coverage” means medical, dental, life and accident and disability insurance with coverage consistent with the lesser of (i) the coverage in effect at
Executive’s termination, or (ii) the coverage in effect from time to time as applied to persons in positions similar to the position held by Executive at the time of termination. 
  

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 “Disability” means Executive’s incapacity due to physical or
mental illness or cause, which results in the Executive being unable to perform his duties with Company on a full-time basis for a period of six (6) consecutive months. Any dispute as to disability shall be conclusively determined by written
opinions rendered by two qualified physicians, one selected by Executive, and one selected by Company; provided that if such opinions are conflicting, then such physicians shall select a mutually agreeable third physician whose opinion shall be
conclusive and binding. 
 “Earned Bonus” means the bonus paid, if any, pursuant to the Company’s
incentive compensation plans in effect from time to time. Earned Bonus shall be prorated based on the ratio of the number of days during such year that Executive was employed to 365. 
 “Good Reason” means the occurrence of any one or more of the following: 
  

	 	(i)	a material and continuing failure to pay to Executive compensation and benefits (as described in Section 4) that have been earned, if any, by Executive,
except failure to pay or provide compensation or benefits that are in dispute between the Company and the Executive unless such failure continues following the resolution of such dispute; or 

  

	 	(ii)	a material reduction in Executive’s compensation or benefits (as described in Section 4) which is materially more adverse to the Executive than similar
reductions applicable to other executives of a similar level of status within the Company as Executive; or 

  

	 	(iii)	any failure by the Company to comply with any of the material provisions of this Agreement and which is not remedied by the Company within thirty (30) days after
receipt of notice thereof given by Executive; or 

  

	 	(iv)	any requirement that Executive perform duties that, in the good faith and reasonable professional judgment of Executive, after consultation with the Board of Directors
of the Company, are inconsistent with ethical or lawful business practices; or 

  

	 	(v)	Executive’s being required to relocate to a principal place of employment more than one-hundred (100) miles from his current principal place of employment in
Jacksonville, Florida during the Term unless the Company shall pay all reasonable costs and expenses related thereto; or 

  

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	 	(vi)	If following a Change in Control only, there occurs a material change in Executive’s duties, roles, or responsibilities. For purposes of this subsection,
“material change” shall be of such a character that a reasonable person serving in a like or similar executive capacity would feel compelled to resign from employment. Examples of “material change” include, but are not limited to
substantial reduction of Executive’s authority to make decisions relating to his or her business responsibilities; Executive being required to assume or perform substantially greater responsibilities (without additional compensation) than
previously required to perform; substantial reduction of Executive’s responsibilities for personnel matters relating to his or her business operations; substantial alteration or change in Executive’s work schedule; any restructuring or
reassignment of any of the Executive’s responsibilities, in a manner that diminishes them or is materially adverse to the Executive, from that which was in effect at the time of the Change in Control; and other substantial changes in
Executive’s terms or conditions of employment not related to Executive’s principal business responsibilities. Good Reason pursuant to this subsection shall not exist unless (a) the Executive’s “material change” has
existed for a period of at least six months; (b) Executive has consulted with management senior to Executive and his or her supervisor, in a good faith effort to resolve the issues giving Executive reason to believe a “material
change” has occurred; and (c) Executive gives written notice of Executive’s resignation for Good Reason under this paragraph within eight months following the commencement of the “material change”. 

“Termination Date” means the date of Executive’s termination of employment, or if the Executive continues to
provide services to Stein Mart, Inc. or its 409A affiliates following his termination of employment, such later date as is considered a separation from service from Stein Mart, Inc. and its 409A affiliates within the meaning of Code
Section 409A. For purposes of this Agreement, the Executive’s “termination of employment” shall be presumed to occur when Stein Mart, Inc. and the Executive reasonably anticipate that no further services will be performed by the
Executive for Stein Mart, Inc. and its 409A affiliates or that the level of bona fide services the Executive will perform as an employee of Stein Mart, Inc. and its 409A affiliates will permanently decrease to no more than 20% of the average level
of bona fide services performed by the Executive (whether as an employee or independent contractor) for Stein Mart, Inc. and its 409A affiliates over the immediately preceding 36-month period (or such lesser period of services). Whether the
Executive has experienced a termination of employment shall be determined by Stein Mart, Inc. in good faith and consistent with Section 409A of the Code. Notwithstanding the foregoing, if the Executive takes a leave of absence for purposes of
military leave, sick leave or other bona fide reason, the Executive will not be deemed to have experienced a termination of employment for the first six (6) months of the leave of absence, or if longer, for so long as the Executive’s right
to reemployment is provided either by statute or by contract, including this Agreement; provided that if the leave of absence is due to a medically determinable physical or mental impairment that can be expected to result in

  

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death or last for a continuous period of not less than six (6) months, where such impairment causes the Executive to be unable to perform the duties of his position of employment or any
substantially similar position of employment, the leave may be extended by Stein Mart, Inc. for up to 29 months without causing a termination of employment. For purposes hereof, the term “409A affiliate” means each entity that is required
to be included in Stein Mart, Inc.’s controlled group of corporations within the meaning of Section 414(b) of the Code, or that is under common control with Stein Mart, Inc. within the meaning of Section 414(c) of the Code;
provided, however, that the phrase “at least 50 percent” shall be used in place of the phrase “at least 80 percent” each place it appears therein or in the regulations thereunder. 
 SECTION 3.        TITLE, POWERS AND RESPONSIBILITIES 
 (a) Title. Executive shall be an Executive Vice-President and Chief Merchandising Officer of the Company or
such other title as designated by the Chief Executive Officer or the Company’s Board of Directors. Executive shall assume those duties on the Commencement Date. 
 (b) Powers and Responsibilities. 
  

	 	(i)	Executive shall use Executives best efforts to faithfully perform the duties of his employment and shall perform such duties as are usually performed by a person
serving in Executive’s position with a business similar in size and scope as the Company and such other additional duties as may be prescribed from time to time by the Company which are reasonable and consistent with the Company’s
operations, taking into account officer’s expertise and job responsibilities. Executive agrees to devote Executive’s full business time and attention to the business and affairs of the Company. Executive shall serve on such boards and in
such offices of the Company or its subsidiaries as the Company’s Board of Directors reasonably requests without additional compensation. 

  

	 	(ii)	Executive, as a condition to his employment under this Agreement, represents and warrants that he can assume and fulfill responsibilities described in
Section 3(b)(i) without any risk of violating any non-compete or other restrictive covenant or other agreement to which he is a party. During the Employment Term Executive shall not enter into any agreement that would preclude, hinder or impair
his ability to fulfill responsibilities described in Section 3(b)(i) specifically or this Agreement generally. 

 SECTION
4.        COMPENSATION AND BENEFITS 
 (a) Annual Base Salary.
Executive’s base salary shall be $525,000.00 per year (“Annual Base Salary”) beginning on the Commencement Date, which amount may be periodically reviewed at the discretion of the Compensation Committee. The Annual Base Salary
and any payments to the Executive during any Continuation

  

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Period shall be payable in accordance with the Company’s standard payroll practices and policies (unless otherwise expressly provided herein) and shall be subject to such withholdings as
required by law or as otherwise permissible under such practices or policies. 
 (b) Earned Bonus; Incentive
Compensation; First Year Bonuses. Executive shall be eligible to receive an Earned Bonus. Executive shall also be eligible to participate in such annual and long term incentive plans as are in effect from time to time as applicable to persons at
Executive’s level of authority and position. For fiscal 2010, as applicable to Executive, and subject to the terms of the plans, the Company’s Annual Incentive Plan provides a cash bonus of 40% of Executive’s Annual Base Salary if the
Company achieves its “Target” level of performance and 60.0% of Executive’s Annual Base Salary if the “Superior” level of performance is achieved or exceeded by the Company, and Long Term Incentive Plan provides 52,381
performance shares (based on an estimated closing price for he Company’s shares of $10.50 on the day of grant) of the Company’s common stock if the “Target” level of performance is achieved. Nothing in this Section 4(b)
guarantees that any Earned Bonus or other incentive compensation will be paid, or that future incentive plans (annual or long term) shall provide similar potential benefits. In addition: 
  

	 	(i)	for fiscal 2010, Executive shall participate in the 2010 Stein Mart Management Incentive Compensation Plan as though employed for the entire year; and

  

	 	(ii)	Executive shall receive a reporting bonus of $100,000 (gross) to be paid within thirty days of the Commencement Date; 

  

	 	(iii)	Executive shall receive options to acquire 30,000 shares of the Company’s common stock under the Stein Mart, Inc. Omnibus Plan (the “Option Plan”)
on terms set by the Board of Directors at an exercise price equal to the closing price of the Company’s shares on NASDAQ as of the Effective Date; which options shall have a term of seven years and to vest 33% on the third anniversary of the
Effective Date, 66% on the fourth anniversary of the Effective Date and 100% on the fifth anniversary of the Effective Date. 

 (c) Employee Benefit Plans. Executive shall be entitled to receive the benefits described in Schedule A attached hereto, if and for as long as the Company sponsors such plans and such plans remain
in effect for other executives with the same level of status as Executive. The Company’s current Executive Split Dollar Life insurance provides a death benefit of 500% of the Executive’s Base Salary and earned Annual Incentive Plan
compensation. 
 (d) Stock Options. The Board of Directors, in its discretion, may grant rights to
Executive under the Stein Mart, Inc. Omnibus Plan (the “Option Plan”) on terms set by the Board of Directors or the Compensation Committee. 
  

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 (e) Deferred Compensation. Executive will participate in the Stein
Mart Executive Deferred Compensation Plan (the “Deferred Compensation Plan”). The Company’s current Deferred Compensation normally provides for a match of up to 10% of Executives Annual Base Salary and earned Annual Incentive
Plan compensation, although for the present, the match has been suspended. The Company reserves the right to alter, modify, revise or eliminate the Deferred Compensation Plan provided that any such change to the terms will apply to Executive and
similarly situated participants. 
 (f) Vacation, Holidays and Salary Continuation. Executive shall
receive a total of 27 days of paid vacation, or holidays on a pro rata basis during any 365 day period of the Term. The amount may be adjusted in accordance with the Company’s standard policy or as directed by the Company’s Board of
Directors. Any vacation or holiday leave time not used during any 365 day period of the Term will not carry forward to the next 365 period and will be forfeited. 
 (g) Expense Reimbursements. Executive shall have the right to expense reimbursements in accordance with the
Company’s standard policy on expense reimbursements as in effect from time to time. 
 (h)
Indemnification. With respect to Executive’s acts or failures to act during his employment in his capacity as an officer, employee or agent of the Company, Executive shall be entitled to indemnification from the Company, and to liability
insurance coverage (if any), on the same basis as other officers of the Company. Executive shall be indemnified by Company, and Company shall pay Executive’s related expenses when and as incurred, all to the full extent permitted by law.
Subject to applicable law, the Company reserves the right to discontinue indemnification in the event the Company determines that the Executive has breached this Agreement or the Executive has advances, or intends to advance, a business or legal
position contrary to the Company’s interests. Notwithstanding the foregoing, Executive shall not be entitled to any indemnification if a judgment or other final adjudication establishes that any act or omission of Executive was material to the
cause of action so adjudicated and that such act or omission constituted: (i) a criminal violation, unless Executive had reasonable cause to believe that Executive’s conduct was lawful or had no reasonable cause to believe that such
conduct was unlawful, (ii) a transaction from which Executive derived an improper personal benefit, or (iii) willful misconduct or a conscious disregard for the best interests of the Company. 
 (i) Automobile Allowance. The Company will pay Executive $13,200 per year (paid quarterly) which shall be used for the
lease, purchase, maintenance and/or operation of a vehicle that Executive is to use for business travel or may use for personal travel. Executive shall be solely responsible for any taxes associated with the automobile allowance afforded to him.

  

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 (j) Other Perquisites. The Company will provide Executive with such
other perquisites as may be made generally available to others in a similar level of executive position within the Company. 
 (k) Relocation Assistance. The Company will pay Executive a one-time payment of $100,000 (gross) within 30 days of the Commencement Date to assist the Executive with the relocation from Los
Angeles, CA to Jacksonville, Florida. Executive Agrees as soon as practical following the Commencement Date to relocate Executive’s principal residence to Jacksonville, Florida. In addition, the Company will reimburse the Executive for
reasonable cost of the following (the “Moving Expenses”): (i) packing, storage and moving Executive’s household goods to Jacksonville, and (ii) such other relocation costs as the Company believes appropriate in its
sole discretion. To the extent any Moving Expenses constitute taxable income to Executive for federal income tax purposes, the Company will “gross-up” such payments so Executive will receive the after tax benefit of such reimbursement.
Moreover, for the first six months following the Commencement Date, the Company will reimburse Executive for Executive’s actual cost of coach fare travel between Jacksonville, Florida and Los Angeles, CA; provided, however that (x) there
shall be no more than two such trips in any one calendar month, and (y) the Company shall not reimburse Executive for more than eight such trips in total. While the Executive maintains a residence in Los Angeles, CA, but not to exceed twelve
months following the Commencement Date, the Company, at the Company’s expense, shall provide Executive with a furnished apartment in Jacksonville, Florida located, for the Executive’s exclusive use at a cost of not to exceed $2,500 per
month. Except as expressly set forth in this Section 5(k), the Executive shall not be entitled to reimbursement for moving or relocation expenses. (Gross up air fare and apartment cost) 
 (l) Limitation. The Company reserves the right to alter, modify, revise or eliminate any or all benefit plans and
perquisites applicable to Executive including, without limitation, the Annual Incentive Compensation Plan, the Long Term Incentive Compensation Plan, the Option Plan, the Deferred Compensation Plan, the 401K plan and all benefits shown on Schedule A
hereto; provided that any such change to the terms will apply to Executive and similarly situated participants. 
 SECTION
5.        TERMINATION OF EMPLOYMENT 
 (a) General; Non-
Renewal. The Board of Directors shall have the right to terminate Executive’s employment and this Agreement at any time with or without Cause, and Executive shall have the right to terminate his employment and this Agreement at any time
with or without Good Reason; provided that obligations under this Section 5, Section 6 and Section 7 shall survive termination of the Agreement. The Board of Directors may delegate its powers to terminate the Executive to the
persons to whom the Executive reports. In the event the Company elects not to renew the Executive’s employment following the end of the Term with compensation

  

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and benefits not materially less advantageous to the Executive than those set forth in this Agreement, but the Executive is willing and able to enter into a renewal of this Agreement with
compensation and benefits not materially less advantageous to the Executive than those set forth in this Agreement, then upon termination of the Executive’s employment, (i) the Company shall pay the Executive his normal base twelve
(12) months salary over a six month period beginning six (6) months following the Termination Date (subject in each case to such withholdings as required by law), and (ii) the Company shall continue until the earlier to occur of the
end of the Continuation Period or until such time as the Executive commences a new job, to maintain in effect for such Executive at the Company’s cost the Executive’s Current Insurance Coverage; provided that if the taxable value of
the continued life and accident and disability coverage to Executive during the first six (6) months following the Termination Date exceeds the annual dollar limit in effect under Code Section 402(g)(1)(B) for the year of such termination,
then the Executive shall pay the premiums in excess of such limit for such coverage during such six (6)-month period and after the end of such six (6)-month period, the Company shall reimburse the Executive for the amount of the premiums paid by the
Executive, without interest thereon. 
 (b) Termination by Board of Directors without Cause or by Executive
for Good Reason. If (i) the Board of Directors terminates Executive’s employment without Cause, or (ii) Executive resigns for Good Reason, then in either of those circumstances, the Company’s only obligation to Executive
under this Agreement (except as provided in §5(f) hereof) shall be to pay Executive his earned but unpaid base salary, if any, up to the date of his termination of employment, plus 100% of his current total Annual Base Salary as specified in
Section 4(a) (subject to such withholdings as required by law) payable in periodic payments (consistent with the payroll periods then in effect) for twelve (12) consecutive months beginning six (6) months following the Termination
Date. During the Continuation Period the Executive shall also continue to receive, at the Company’s cost, the Current Insurance Coverage; provided that if the taxable value of the continued life and accident and disability coverage to Executive
during the first six (6) months following the Termination Date exceeds the annual dollar limit in effect under Code Section 402(g)(1)(B) for the year of such termination, then the Executive shall pay the premiums in excess of such limit
for such coverage during such six (6)-month period and after the end of such six (6)-month period, the Company shall reimburse the Executive for the amount of the premiums paid by the Executive, without interest thereon. 
 (c) Termination by the Board of Directors for Cause or by Executive without Good Reason. If the Board of Directors of
the Company terminates Executive’s employment for Cause or Executive resigns without Good Reason, the Company’s only obligation to Executive under this Agreement shall be to pay Executive his earned but unpaid base salary, if any, up to
the date of his termination of employment, and the Company shall have no obligation to pay any Earned Bonus

  

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with respect to the year during which the Termination Date occurs. The Company shall only be obligated to make such payments and provide such benefits under any employee benefit plan, program or
policy in which Executive was a participant as are explicitly required to be paid to Executive by the terms of any such benefit plan, program or policy following the Termination Date. 
 (d) Termination for Disability. Subject to the definitions and requirements of Section 2
(“Disability”), after six (6) consecutive months of such disability leave of absence, Executive’s service may be terminated by Company. In the event Executive is terminated from employment due to Disability, the Company shall:

 (i) pay Executive his Annual Base Salary through the end of the month in which his employment terminates as soon as
practicable after his employment terminates; provided that if such payment exceeds the applicable dollar amount in effect under Code Section 402(g)(1)(B) for the year in which such termination occurs, then the payment in excess of such
applicable dollar amount shall be paid following six (6) months after the Executive’s Termination Date; 
 (ii) pay
Executive his Earned Bonus, pro rata and if any, for the fiscal year in which such termination of employment occurs, which amount shall be paid at the same time the Earned Bonus would have been paid had Executive remained in employment;

 (iii) pay Executive an additional nine (9) months of compensation at the then-Annual Base Salary, which aggregate amount
shall be payable in equal semi-monthly installments beginning not earlier than six (6) months following the Termination Date and continuing for nine (9) months thereafter; 
 (iv) pay or cause the payment of benefits to which Executive is entitled under the terms of any disability plan of the Company covering the
Executive at the time of such Disability: 
 (v) pay premiums for COBRA coverage as provided in Section 5(g); 

(vi) make such payments and provide such benefits as otherwise called for under the terms of each other employee benefit plan, program
and policy in which Executive was a participant; provided no payments made under Section 5(d)(ii) or Section 5(d)(iii) shall be taken into account in computing any payments or benefits described in this Section 5(d)(iv); and

 (vii) in the event the Executive has any options or restricted shares (but excluding “performance shares” which
shall be governed by the terms set forth in the grant as to such shares) which are not vested on the date of

  

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termination for Disability, then pay to the Executive (i) as to any unvested options, the net value of the excess, if any, of the closing price of the Company’s shares on the NASDAQ for
the day on which the termination due to Disability occurs and the exercise price of such unvested options multiplied by the number of shares subject to options which failed to vest; and (ii) as to any unvested restricted shares, the value of
the closing price of the Company’s shares on the NASDAQ for the day on which the termination due to Disability occurs multiplied by the number of restricted shares, if any, which failed to vest due to such termination of employment for
Disability. 
 Notwithstanding the Executive’s Disability, during the period of Disability leave, Executive shall be paid in
full (net of insurance) as if he or she were actively performing services. Executive agrees to simultaneously utilize available leave under the Family and Medical Leave Act of 1993 during such disability leave of absence. During the period of such
Disability leave of absence, the Board of Directors may designate someone to perform Executive’s duties. Executive shall have the right to return to full-time service so long as he is able to resume and faithfully perform his full-time duties.

 (e) Death. If Executive’s employment terminates as a result of his death, the Company shall:

 (i) pay to Executive’s estate his Annual Base Salary through the end of the month in which his
employment terminates as soon as practicable after his death; 
 (ii) pay to Executive’s estate his Earned
Bonus, when actually determined, for the year in which Executive’s death occurs; 
 (iii) make such
payments and provide such benefits as otherwise called for under the terms of each other employee benefit plan, program and policy in which Executive was a participant; provided no payments made under Section 5(e)(ii) shall be taken into
account in computing any payments or benefits described in this Section 5(e)(iii); and 
 (iv) in the event
the Executive has any options or restricted shares (but excluding “performance shares” which shall be governed by the terms set forth in the grant as to such shares) which are not vested on the date of termination for death, then pay to
the Executive’s estate (i) as to any unvested options, the net value of the excess, if any, of the closing price of the Company’s shares on the NASDAQ for the day on which the death occurred and the exercise price of such unvested
options multiplied by the number of shares subject to options which failed to vest; and (ii) as to any unvested restricted shares, the value of the closing price of the Company’s

  

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shares on the NASDAQ for the day on which the death occurred multiplied by the number of restricted shares, if any, which failed to vest due to such termination of employment for death.

 Any amounts payable to Executive under this Agreement which are unpaid at the date of Executive’s death or payable
hereunder or otherwise by reason of his death, shall be paid in accordance with the terms of this Agreement to Executive’s estate; provided that if there is a specific beneficiary designation in place for any specific amount payable,
then payment of such amount shall be made to such beneficiary. 
 (f) Change in Control. If a Change in
Control occurs, then for a period beginning on the occurrence of the Change in Control and ending two years following that occurrence (the “Post Change in Control Period”): 
 (i) In addition to the other events constituting Good Reason under this Agreement, the following shall also constitute Good
Reason: if the Executive is willing and able to continue employment with the Company but the Company exercises its right to either not renew this Agreement, or only offers to renew this Agreement only under conditions or terms which would constitute
a “material change” (as that term is defined in the definition of Good Reason), provided, however, that notice of exercise of the Executive’s termination for Good Reason must be received by the Company during the Post Change in
Control Period and not later than thirty (30) days after the Company exercises its right not to renew this Agreement or to renew the Agreement only on terms which would constitute a “material change”; and 
 (ii) In the event of termination of the Executive’s employment with the Company pursuant to §5(b) hereof either by
the Company without Cause, or by the Executive for Good Reason (as such term is expanded to include the circumstances described in §5(f)(i) above), with notice of such termination given within the Post Change in Control Period, then the
Executive shall receive the following (the “CIC Severance Payments”) in a lump sum payable in funds immediately available in Jacksonville, Florida not earlier than six (6) months following the Termination Date and not later than seven
(7) months following Termination Date: an amount equal to 200% of the sum of (A) the total of severance payments (other than continued insurance coverage) provided under §5(b) of this agreement (and in lieu thereof), and (B) the
Earned Bonus in the year of the Termination Date. For purposes of this subsection (f) Earned Bonus shall not be prorated and shall be an amount equal to “Target” bonus as defined in the Company’s incentive compensation plan in
effect from time to time. 
  

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 (g) Benefit Continuation. Provided Executive is eligible for COBRA
coverage, and has not been terminated from employment for Cause or resigned without Good Reason, then the Company shall pay the Executive’s COBRA premiums commencing on the date of the Executive’s termination of employment and continuing
for the applicable Continuation Period in order to continue Executive’s health insurance coverage and maintain such coverage in effect; provided that following the end of the COBRA continuation period, if Executive’s health insurance
coverage is provided under a health plan that is subject to Code Section 105(h), benefits payable under such health plan shall comply with the requirements of Treasury Regulation Section 1.409A-3(i)(1)(iv) and, if necessary, the Company
shall amend such health plan to comply therewith. 
 (h) Relinquishment of Corporate Positions. Executive
shall automatically cease to be an officer and/or director of the Company and its affiliates as of his date of termination of employment. 
 (i) Limitation. Anything in this Agreement to the contrary notwithstanding, Executive’s entitlement to or payments under any other plan or agreement shall be limited to the extent necessary so
that no payment to be made to Executive on account of termination of his employment with the Company will be subject to the excise tax imposed by Code Section 4999, but only if, by reason of such limitation, Executive’s net after tax
benefit shall exceed the net after tax benefit if such reduction were not made. “Net after tax benefit” shall mean (i) the sum of all payments and benefits that Executive is then entitled to receive under any section of this Agreement
or other plan or agreement that would constitute a “parachute payment” within the meaning of Section 280G of the Code, less (ii) the amount of federal income tax payable with respect to the payments and benefits described in
clause (i) above calculated at the maximum marginal income tax rate for each year in which such payments and benefits shall be paid to Executive (based upon the rate in effect for such year as set forth in the Code at the time of the first
payment of the foregoing), less (iii) the amount of excise tax imposed with respect to the payments and benefits described in clause (i) above by Section 4999 of the Code. Any limitation under this Section 5(i) of
Executive’s entitlement to payments shall be made in the manner and in the order directed by Executive. 
 SECTION
6.        COVENANTS BY EXECUTIVE 
 (a) Company Property. Upon
the termination of Executive’s employment for any reason, Executive shall promptly return all Company Property which had been entrusted or made available to Executive by the Company. “Property” means all
records, files, memoranda, communication, reports, price lists, plans for current or prospective business operations, customer lists, drawings, plans, sketches, keys, codes, computer hardware and software and other property of any kind or
description prepared, used or possessed by Executive during Executive’s employment by the Company (and any duplicates of any such Property) together

  

 14 

 
with any and all information, ideas, concepts, discoveries, processes, intellectual property, inventions and the like conceived, made, developed or acquired at any time by Executive individually
or with others during Executive’s employment which relate to the Company or its products or services or operations. 
 (b) Trade Secrets. Executive agrees that Executive shall hold in a fiduciary capacity for the benefit of the Company and shall not directly or indirectly use or disclose any Trade Secret that
Executive may have acquired during the term of Executive’s employment by the Company for so long as such information remains a Trade Secret. “Trade Secret” means information, including, but not limited to,
technical or non-technical data, a formula, a pattern, a compilation, a program, a device, a method, a technique, a drawing or a process that (1) derives economic value, actual or potential, from not being generally known to, and not being
generally readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use and (2) is the subject of reasonable efforts by the Company to maintain its secrecy. This Section 6(b) is intended
to provide rights to the Company which are in addition to, not in lieu of, those rights the Company has under the common law or applicable statutes for the protection of trade secrets. 
 (c) Confidential Information. During the Employment Term and continuing thereafter indefinitely, Executive shall hold
in a fiduciary capacity for the benefit of the Company, and shall not directly or indirectly use or disclose, any Confidential Information that Executive may have acquired (whether or not developed or compiled by Executive and whether or not
Executive is authorized to have access to such information) during the term of, and in the course of, or as a result of Executive’s employment by the Company without the prior written consent of the Board of Directors unless and except to the
extent that such disclosure is (i) made in the ordinary course of Executive’s performance of his duties under this Agreement or (ii) required by any subpoena or other legal process (in which event Executive will give the Company
prompt notice of such subpoena or other legal process in order to permit the Company to seek appropriate protective orders). “Confidential Information” means any secret, confidential or proprietary information
possessed by the Company or any of its subsidiaries or affiliates, including, without limitation, trade secrets, customer or supplier lists, details of client or consultant contracts, current and anticipated customer requirements, pricing policies,
price lists, market studies, business plans, operational methods, marketing plans or strategies, advertising campaigns, information regarding customers or suppliers, computer software programs (including object code and source code), data and
documentation data, base technologies, systems, structures and architectures, inventions and ideas, past current and planned research and development, compilations, devices, methods, techniques, processes, financial information and data, business
acquisition plans and new personnel acquisition plans and the terms and conditions of this Agreement that has not become generally available to the public. 
  

 15 

 (d) Non-Competition. Executive recognizes that his duties will entail
the receipt of Trade Secrets and Confidential Information as defined in this Section 6. Those Trade Secrets and Confidential Information have been developed by the Company at substantial cost and constitute valuable and unique property of the
Company. Accordingly, the Executive acknowledges that protection of Trade Secrets and Confidential Information is a legitimate business interest. Executive agrees not to compete with the Company during the Employment Term and for a reasonable and
limited period thereafter. Therefore, during the Employment Term and during the applicable Continuation Period thereafter (or, in the event of as termination for Cause by the Company or without Good Reason by the Executive, a period of two
(2) years following the Termination Date), the Executive shall not have an investment of $100,000.00 or more in a Competing Business (as defined herein) and shall not render personal services to any such Competing Business in any manner,
including, without limitation, as owner, partner, director, trustee, officer, employee, consultant or advisor thereof. If the Executive shall breach the covenants contained in this Non-Competition provision, the Company shall have no further
obligation to make any payment to the Executive pursuant to this Agreement and may recover from the Executive all such damages as it may be entitled to at law or in equity. In addition, the Executive acknowledges that any such breach is likely to
result in irreparable harm to the Company. The Company shall be entitled to specific performance of the covenants in this Section 6, including entry of a temporary restraining order in state or federal court, preliminary and permanent
injunctive relief against activities in violation of this Section 6, or both, or other appropriate judicial remedy, writ or order, in addition to any damages and legal expenses which the Company may be legally entitled to recover. Executive
acknowledges and agrees that the covenants in this Section 6 shall be construed as agreements independent of any other provision of this Agreement or any other agreement between the Company and Executive, and that the existence of any claim or
cause of action by Executive against the Company, whether predicated upon this Agreement or any other agreement, shall not constitute a defense to the enforcement by the Company of such covenants. The provisions of this subsection (d) shall not
be applicable to Executive if (i) Executive is terminated from employment without Cause, (ii) the Executive resigns from employment for Good Reason, or (iii) the Company elects not to renew the Executive’s employment following
the end of the Term with compensation and benefits not materially less advantageous to the Executive than those set forth in this Agreement, but the Executive is willing and able to enter into a renewal of this Agreement with compensation and
benefits not materially less advantageous to the Executive than those set forth in this Agreement. 
 (e)
Non-Solicitation. During the Employment Term and for a period of two years hereafter (such period is referred to as the “No Recruit Period”), the Executive will not solicit, either directly or indirectly, any person that he knows or
should reasonably know to be an employee of the Company, whether any such employees are now or hereafter through the No Recruit Period so employed or engaged to

  

 16 

 
terminate their employment with the Company. The foregoing is not intended to limit any legal rights or remedies that any employee of the Company may have under common law with regard to any
interference by Executive at any time with the contractual relationship the Company may have with any of its employees. 
 (f) Reasonable and Continuing Obligations. Executive agrees that Executive’s obligations under this Section 6 are obligations which will continue beyond the date Executive’s employment terminates and that such
obligations are reasonable, fair and equitable in scope. The terms and duration are necessary to protect the Company’s legitimate business interests and are a material inducement to the Company to enter into this Agreement. Executive further
acknowledges that the consideration for this Section 6 is his employment or continued employment. Executive will not be paid any additional compensation during this Restricted Period for application or enforcement of the restrictive covenants
contained in this Section 6. 
 (g) Work Product. The term “Work Product” includes any and
all information, programs, concepts, processes, discoveries, improvements, formulas, know-how and inventions, in any form whatsoever, relating to the business or activities of the Company, or resulting from or suggested by any work developed by the
Executive in connection with the Company, or by the Executive at the Company’s request. Executive acknowledges that all Work Product developed during the Term is property of the Company and accordingly, Executive does hereby irrevocably assign
all Work Product developed by the Executive to the Company and agrees: (a) to assign to the Company, free from any obligation of the Company to the Executive, all of the Executive’s right, title and interest in and to Work Product
conceived, discovered, researched, or developed by the Executive either solely or jointly with others during the term of this Agreement and for three (3) months after the termination or nonrenewal of this Agreement; and (b) to disclose to
the Company promptly and in writing such Work Product upon the Executive’s acquisition thereof. 
 SECTION
7.        MISCELLANEOUS 
 (a) Notices. Notices and all other
communications shall be in writing and shall be deemed to have been duly given when personally delivered or when mailed by United States registered or certified mail. Notices to the Company shall be sent to: 
 STEIN MART, INC 
 Attention: General Counsel 
 1200 Riverplace Boulevard, 10th Floor 
 Jacksonville, FL 32207 
 Facsimile: (904) 346-1297 
  

 17 

 Notices and communications to Executive shall be sent to the address Executive most recently
provided to the Company. 
 (b) No Waiver. No failure by either the Company or Executive at any time to
give notice of any breach by the other of, or to require compliance with, any condition or provision of this Agreement shall be deemed a waiver of any provisions or conditions of this Agreement. 
 (c) Governing Law. This Agreement shall be governed by Florida law without reference to the choice of law principles
thereof. 
 (d) Assignment. This Agreement shall be binding upon and inure to the benefit of the Company
and any successor in interest to the Company or any segment of such business. The Company may assign this Agreement to any affiliate or successor that acquires all or substantially all of the assets and business of the Company or a majority of the
voting interests of the Company. The Company will require any successor (whether direct or indirect, by operation of law, by purchase, merger, consolidation or otherwise to all or substantially all of the business and/or assets of Company) to
expressly assume and agree to perform this Agreement in the same manner and to the same extent that Company would be required to perform it if no such succession had taken place. As used in this Agreement, “Company” shall mean Company as
defined above and, unless the context otherwise requires, any successor to its business and/or assets as aforesaid which assumes and agrees to perform this Agreement by operation of law, or otherwise. Executive’s rights and obligations under
this Agreement are personal and shall not be assigned or transferred. 
 (e) Other Agreements. This
Agreement replaces and merges any and all previous agreements and understandings regarding all the terms and conditions of Executive’s employment relationship with the Company, and this Agreement constitutes the entire agreement between the
Company and Executive with respect to such terms and conditions. 
 (f) Amendment. No amendment to this
Agreement shall be effective unless it is in writing and signed by the Company and by Executive. 
 (g)
Invalidity and Severability. If any part of this Agreement is held by a court of competent jurisdiction to be invalid or otherwise unenforceable, the remaining part shall be unaffected and shall continue in full force and effect, and the
invalid or otherwise unenforceable part shall be deemed not to be part of this Agreement. 
 (h)
Litigation. In the event that either party to this Agreement institutes litigation against the other party to enforce his or its respective rights under this Agreement, each party shall pay its own costs and expenses incurred in connection

  

 18 

 
with such litigation. As a material part of the consideration for this Agreement, BOTH PARTIES HERETO WAIVE ANY RIGHT TO A TRIAL BY A JURY in the event of any litigation arising from this
Agreement. All legal actions arising out of or connected with this Agreement must be instituted solely in the Circuit Court of Duval County, Florida, or in the Federal District Court for the Middle District of Florida, Jacksonville Division, and all
parties hereto do hereby agree to submit to the exclusive personal jurisdiction of such courts. Each of the parties hereby expressly and irrevocably submits to the jurisdiction of such courts for the purposes of any such action and expressly and
irrevocably waives, to the fullest extent permitted by law, any objection which it may have or hereafter may have to the laying of venue of any such action brought in any such court and any claim that any such action has been brought in an
inconvenient forum. 
 (i) Counterparts. This Agreement may be executed in counterparts each of which
shall be deemed an original, but all of which together shall constitute one and the same instrument. 
 IN WITNESS
WHEREOF, the Company and Executive have executed this Agreement effective as of the Effective Date. 
  

							
	STEIN MART, INC.	 		 	EXECUTIVE
				
	By:	 	 /s/ D. Hunt Hawkins
	 		 	 /s/ Brian R. Morrow

	Name:	 	D. Hunt Hawkins	 		 	Brian R. Morrow
	Title:	 	EVP, Chief Administrative Officer	 		 	
	Date:	 	3/5/2010	 		 	Date: 3/5/2010

  

 19 

 SCHEDULE A 
 BENEFITS 
  

	1.	Retirement Plan/Life Insurance/AD&D 

 The Executive shall be entitled to participate in all retirement plans and will be entitled to life insurance and AD&D benefits which other senior executives of the Company or affiliates of the
Company are eligible. 
  

	2.	Long-Term Disability 

 The
Executive shall be entitled to participate in all Long-Term and Life Time Disability plans which other senior executives of the Company or affiliates of the Company are eligible. 
  

	3.	Medical/Dental Benefits 

 The Executive shall be entitled to medical/dental benefits which other senior executives of the Company or affiliates of the Company are eligible. 
  

	4.	Unavoidable Change in Travel Arrangements 

 In the event Executive has arranged for travel between Jacksonville and Los Angeles, the Company will reimburse Executive for any change fees or fare increases resulting from any change in
Executive’s itinerary made at the request of the Company. 
  

 A-1EXHIBIT 10.1

 Exhibit 10.1 
 EXECUTION VERSION 
 AMENDMENT #1 TO 
 BOTOX® — CHINA LICENSE AGREEMENT 
 THIS AMENDMENT #1 TO BOTOX® — CHINA LICENSE AGREEMENT, including the exhibits and schedules referred to herein and attached hereto (collectively “Amendment #1”), dated March 9,
2010 (the “First Amendment Date”), is made and entered into by and between the following parties: 
 ALLERGAN, INC., a
Delaware corporation having a place of business at 2525 Dupont Drive, Irvine, California 92612, United States of America, ALLERGAN SALES, LLC, a Delaware limited liability company having a place of business at 2525 Dupont Drive, Irvine, California
92612, United States of America, ALLERGAN PHARMACEUTICALS HOLDINGS (IRELAND) LTD., a non-resident Irish company with its registered office at Longphort House, Earlsfort Center, Lower Leeson Street, Dublin 2, Ireland (“APH”), ALLERGAN BOTOX
LIMITED, a non-resident Irish company with its registered office at Castlebar Road, Westport, Co Mayo, Ireland, (“ABL”) and ALLERGAN PHARMACEUTICALS IRELAND, a company incorporated in the Cayman Islands with its principal place of business
at Castlebar Road, Westport, Co Mayo, Ireland (“ALLERGAN IRELAND”). ALLERGAN, INC., ALLERGAN SALES, LLC, APH, ABL and ALLERGAN IRELAND are collectively referred to herein as “ALLERGAN.” 
 and 
 GLAXO GROUP
LIMITED, a private limited company incorporated in England and Wales, having it’s registered office at Glaxo Welcome House, Berkeley Avenue, Greenford, Middlesex, England UB6 ONN, the United Kingdom (“GSK”). 
 RECITALS 
 A.        WHEREAS, ALLERGAN, INC., ALLERGAN SALES, LLC and GSK entered into that certain BOTOX® — CHINA LICENSE AGREEMENT dated September 30, 2005 (the “Agreement”); and

 B.        WHEREAS, ALLERGAN wishes to reacquire and GSK is willing to relinquish
certain rights granted by ALLERGAN to GSK under the Agreement, and the Parties wish to amend and update certain aspects of the Agreement, in each case in accordance with this Amendment #1. 
 NOW THEREFORE, in consideration of the mutual covenants and obligations set forth herein, and for other good and valuable consideration, the
receipt and sufficiency of which is hereby acknowledged, ALLERGAN and GSK agree as follows: 

 1.        In General. 
 All capitalized terms defined in the Agreement shall have the same meaning in this Amendment #1 as in the Agreement, unless otherwise
expressly defined in this Amendment #1. 
 2.        Reacquisition of Rights.

 In exchange for a one-time, non-refundable payment by ALLERGAN to GSK of *** Dollars (US$***) (the
“Reacquisition Payment”), effective as of the Services Agreement Completion Date, ALLERGAN hereby reacquires from GSK and GSK hereby relinquishes the rights granted to GSK under the Agreement with respect to importing, offering for sale
and selling the Product solely for the Cosmetic Indications in the Territory. ALLERGAN shall pay the Reacquisition Payment to GSK within five (5) business days after both the Services Agreement and the Transition Agreement (as defined in
AMENDMENT #1 TO BOTOX® — JAPAN LICENSE AGREEMENT) have been executed and delivered by both Parties. The Reacquisition Payment will be made by wire transfer of U.S. dollars in immediately available funds to the bank account designated in
writing by GSK. 
 3.        Amendment of Article 1 (DEFINITIONS). The Parties
hereby agree to amend Article 1 (DEFINITIONS) of the Agreement as follows: 
 3.1      Section 1.3 is hereby amended and replaced in its entirety as follows: 
   1.3      “ALLERGAN” means ALLERGAN, INC., a Delaware corporation, ALLERGAN SALES, LLC, a Delaware limited liability company, ALLERGAN PHARMACEUTICALS HOLDINGS (IRELAND) LTD., a
non-resident Irish company, ALLERGAN BOTOX LIMITED, a non-resident Irish company and ALLERGAN PHARMACEUTICALS IRELAND, a company incorporated in the Cayman Islands. 
 3.2      Section 1.5 is hereby amended and replaced in its entirety as follows: 
   1.5      “ALLERGAN Know-How” means any and all know how, information,
data (including, without limitation, pre-clinical data, toxicology information and clinical trial data), documents, materials, and software (including, but not limited to, marketing information, technical information, regulatory information,
clinical information, processes, procedures, methods, formulae, protocols, and techniques) relating to Product in the Field of Use (including, without limitation, Product Improvements and Enhancements) but not including ALLERGAN Manufacturing
Information, which exists as of the Effective Date or during the Term and is Controlled by ALLERGAN or its Affiliates. For the avoidance of doubt, ALLERGAN Know-How will in no way include or be deemed to include any computer software or IT platforms
under license from

  

 2 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
Third Parties and/or developed by or on behalf of ALLERGAN for ALLERGAN’s own use with respect to Product in the Field of Use. 
 3.3      Section 1.20 is hereby amended and replaced in its entirety as follows: 
   1.20    “Cosmetic Indication” or “Cosmetic Indications” means
(a) the treatment, minimization, and/or eradication of, or the appearance of, glabellar lines, crow’s feet, or any lines or wrinkles on the face and (b) all future aesthetic Indications that ALLERGAN chooses to develop in the
Territory including ***. For clarity, “Cosmetic Indications” does not include (x) any of the Current Indications, or (y) any of the Future Indications. 
 3.4      Section 1.21 is hereby amended and replaced in its entirety as follows: 
   1.21    “Current Indications” means (a) those therapeutic Indications for
which ALLERGAN or any of its Affiliates, as of the Effective Date, had received Regulatory Approval in the Territory to use Product for the treatment, prevention or palliation of such Indications, which Indications include blepharospasm (benign
essential blepharospasm and essential blepharospasm), facial spasm, and associated focal dystonias, and (b) those therapeutic Indications for which GSK and its Affiliates, as of the First Amendment Date, have received Regulatory Approval in the
Territory to use Product for the treatment, prevention or palliation of such Indications, specifically blepharospasm (benign essential blepharospasm and essential blepharospasm) and facial spasm. For clarity, “Current Indications” does not
include glabellar lines within the Regulatory Approval Applications and Regulatory Approvals. 
 3.5      Section 1.24 is hereby amended and replaced in its entirety as follows: 
   1.24    “Field of Use” means any and all uses of Product for the Current Indications and Future Indications. For clarity, the “Field of Use” does not
include any uses of Product for Cosmetic Indications. 
 3.6      Section 1.26 is hereby
amended and replaced in its entirety as follows: 
   1.26    “Future
Indications” means all treatment, prevention or palliation of Indications other than Cosmetic Indications and Current Indications. For clarity, “Future Indications” includes future therapeutic Indications that GSK or its Affiliate
chooses to develop and commercialize in the Territory, including but not limited to the treatment, prevention or palliation of the following: ***. For further clarity, “Future Indications” does not include any future aesthetic
Indications that ALLERGAN chooses to develop in the Territory, as further described in the definition of Cosmetic Indication. 
 3.7      Section 1.56 is hereby amended and replaced in its entirety as follows: 
  

 3 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

   1.56    “Territory” means the
People’s Republic of China. For the avoidance of doubt and purpose of this Agreement, Territory will not include Taiwan, Hong Kong, and Macau. 
 3.8      A new Section 1.60 is hereby added to the Agreement as follows: 
   1.60    “ALLERGAN IRELAND” means ALLERGAN PHARMACEUTICALS IRELAND. 
 3.9      A new Section 1.61 is hereby added to the Agreement as follows: 
   1.61    “API” means active pharmaceutical ingredient. 
 3.10    A new Section 1.62 is hereby added to the Agreement as follows: 
   1.62    “Best Efforts” means taking, in good faith, all reasonable steps to achieve the specified objective, or to carry out a process to its logical conclusion,
within a reasonable period of time. Best Efforts includes taking those actions known to be usual, necessary and proper for achieving the intended outcome. 
 3.11    A new Section 1.63 is hereby added to the Agreement as follows: 
   1.63    “CMC” means chemistry, manufacturing and controls. 
 3.12    A new Section 1.64 is hereby added to the Agreement as follows: 
   1.64    “First Amendment Date” has the meaning given such term in the preamble of AMENDMENT #1 TO BOTOX® — CHINA LICENSE AGREEMENT. 
 3.13    A new Section 1.65 is hereby added to the Agreement as follows: 
   1.65    “GSK Know-How” means any and all know how, information, data (including,
without limitation, pre-clinical data, toxicology information and clinical trial data), documents, materials, and software (including, but not limited to, marketing information, technical information, regulatory information, clinical information,
processes, procedures, methods, formulae, protocols, and techniques) relating to Product for the Cosmetic Indications (including, without limitation, Product Improvements and Enhancements), which exists as of the First Amendment Date or during the
Term and is Controlled by GSK or its Affiliates. For the avoidance of doubt, GSK Know-How will in no way include or be deemed to include any computer software or IT platforms under license from Third Parties and/or developed by or on behalf of GSK
for GSK’s own use with respect to Product for the Cosmetic Indications. 
 3.14    A new
Section 1.66 is hereby added to the Agreement as follows: 
  

 4 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

   1.66    “Reacquisition Payment”
will have the meaning set forth in Section 2 of AMENDMENT #1 TO BOTOX® — CHINA LICENSE AGREEMENT. 
 3.15    A new Section 1.67 is hereby added to the Agreement as follows: 
   1.67    “Reacquisition Transition Period” means the period starting on the First Amendment Date and ending on the Services Agreement Completion Date. 
 3.16    A new Section 1.68 is hereby added to the Agreement as follows: 
   1.68    “Services Agreement” will have the meaning set forth in Section 4.3.

 3.17    A new Section 1.69 is hereby added to the Agreement as follows: 
   1.69    “Services Agreement Completion Date” means the date that both the Services
Agreement and the Transition Agreement (as defined in AMENDMENT #1 TO BOTOX® — JAPAN LICENSE AGREEMENT) have been executed and delivered by all parties to such agreements. 
 3.18    A new Section 1.70 is hereby added to the Agreement as follows: 
   1.70    ***. 
 3.19    A new Section 1.71 is hereby added to the Agreement as follows: 
   1.71    “*** Cosmetic Inventory” will have the meaning set forth in Section 3.9. 
 3.20    A new Section 1.72 is hereby added to the Agreement as follows: 
   1.72    “Therapeutic Indications” means the Current Indications and the Future
Indications. 
 4.        Amendment of Article 2 (LICENSES). The Parties hereby
agree to amend Article 2 (LICENSES) of the Agreement as follows: 
 4.1      Section 2.1.3 is
hereby amended and replaced in its entirety as follows: 
   2.1.3   Subject to the
terms and conditions of this Agreement, GSK hereby grants to ALLERGAN and its Affiliates (i) a royalty-free, worldwide, non-exclusive, perpetual (subject to Section 9.4.2) license, including a right to grant sublicense rights, but not to
assign except as provided in Section 11.3, under the GSK Patent Rights to make, have made, use, sell, offer for sale, and import

  

 5 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
Product in the Field of Use and for the Cosmetic Indications and (ii) a royalty-free, non-exclusive, perpetual (subject to Section 9.4.2) license, including a right to grant sublicense
rights, but not to assign except as provided in Section 11.3, under the GSK Know-How and the Regulatory Approvals and Regulatory Approval Applications for the Product to make, have made, use, sell, offer for sale, and import Product in the
Field of Use and for the Cosmetic Indications in the Territory. For purposes of clarification, the license granted by GSK to ALLERGAN pursuant to this Section 2.1.3 will include the right to develop, promote, commercialize, market, and
distribute Product in the Field of Use and for the Cosmetic Indications. GSK acknowledges and agrees that the licenses granted to ALLERGAN under this Section 2.1.3 include: 
     (a)        The right of ALLERGAN to conduct human clinical
trials and submit clinical data packages to Regulatory Authorities for Product for the Cosmetic Indications in the Territory; 
     (b)        Access by ALLERGAN to any data developed by GSK that is useful for ALLERGAN to develop Product for the Cosmetic Indications in
the Territory or for use, sale, offering for sale and import in the Territory; and 
     (c)        Rights to other ancillary clinical development information Controlled by GSK or its Affiliates that is useful to ALLERGAN in using, selling, offering for sale and
importing Product for the Cosmetic Indications in the Territory. 
 4.2      Section 2.1.4 is
hereby amended and replaced in its entirety as follows: 
   2.1.4   ALLERGAN
acknowledges and agrees that the licenses granted to GSK under Section 2.1.1 includes without limitation: 
     (a)        The right of GSK to conduct human clinical trials and submit clinical data packages to Regulatory Authorities for Product in the Field of Use in the Territory;

     (b)        The right of GSK to hold and
maintain all Regulatory Approvals for Product in the Field of Use and the Cosmetic Indication in the Territory, other than Regulatory Approvals for the manufacture of the Product (which shall at all times be held by the Manufacturer), provided that
upon written notice from ALLERGAN, ALLERGAN shall have the right to take on direct regulatory responsibility and to hold and maintain Regulatory Approvals for Product for the Cosmetic Indication to the extent permitted by Applicable Laws and at
ALLERGAN’s sole expense; 
     (c)        The
right of GSK to manage all communications with Regulatory Authorities relating to Product, ***; and provided, further that any

  

 6 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
communications with Regulatory Authorities relating to a drug master file (DMF), if a DMF is implemented, will be managed by ALLERGAN after good faith consultation with GSK unless the Parties
agree in writing that any such communications will be managed by GSK; and provided further that if the cost for GSK’s interactions and communications with Regulatory Authorities due to Cosmetic Indications sales increase significantly, GSK and
ALLERGAN shall discuss and review such communication and interactions arrangements with respect to Cosmetic Indications in good faith; 
   (d)      Access by GSK to any data developed by ALLERGAN that is useful for GSK to develop Product in the Field of Use for use, sale, offering for sale and import
in the Territory; and 
   (e)      Rights to other ancillary clinical
development information Controlled by ALLERGAN or its Affiliates that is useful to GSK in using, selling, offering for sale and importing Product in the Field of Use in the Territory. 
 4.3      Section 2.2.1 is hereby amended and replaced in its entirety as follows: 
   2.2.1   ALLERGAN Product Trademarks. ALLERGAN hereby grants to GSK a co-exclusive (with ALLERGAN
and its Affiliates) license, including a right to grant sublicense rights as further described in Section 2.4, but not to assign except as provided in Section 11.3, to use ALLERGAN Product Trademarks solely in connection with the use,
sale, offering for sale, and import of Product in the Field of Use in the Territory. All representations of ALLERGAN Product Trademarks that GSK intends to use if not previously approved by ALLERGAN as provided in this Section 2.2.1, will first
be submitted to ALLERGAN for approval, such approval not to be unreasonably withheld. ALLERGAN will have thirty (30) calendar days to review the representation of the ALLERGAN Product Trademarks. If ALLERGAN does not provide written notice of
its approval or disapproval (together with its reasons for such disapproval) within such thirty (30) calendar day period, ALLERGAN will be deemed to have approved such representation. For the avoidance of doubt, GSK may not use the ALLERGAN
Product Trademarks that pertain solely to the Cosmetic Indications (such as BOTOX COSMETICS, BOTOX VISTA and BOTOX REJU) other than on behalf of ALLERGAN in connection with the offering for sale and sale of Product for the Cosmetic Indications.

 4.4      Section 2.4.2 is hereby amended and replaced in its entirety as follows:

   2.4.2   Except as expressly provided in this Agreement, GSK and its Affiliates have
and will retain sole and exclusive Control of the GSK Patent Rights, GSK Know-How and GSK Housemarks. Except as expressly provided in this Agreement, no right, title, or interest is granted by GSK to ALLERGAN in, to, or under the GSK Patent Rights,
GSK Know-How and/or GSK Housemarks,

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
and, except as expressly provided herein, ALLERGAN will have no right to assign to any Third Party any right or interest received under the GSK Patent Rights, GSK Know-How or GSK Housemarks under
the terms of this Agreement. 
 5.        Amendment of Article 3 (PAYMENTS). The
Parties hereby agree that Article 3 (PAYMENTS) of the Agreement will be amended as follows: 
 5.1      A new Section 3.9 is hereby added to the Agreement as follows: 
   3.9      Transfer of Net Economic Benefits. The following shall apply during the Reacquisition Transition Period: 
     3.9.1    On the First Amendment Date, the inventory of Product on hand with ***,
under drug inspection testing and in-transit to GSK/*** will be notionally split between inventory for the Therapeutic Indications and inventory for the Cosmetic Indications (“*** Cosmetic Inventory”) based on ***, or otherwise
mutually agreed by both ALLERGAN and GSK on the First Amendment Date provided that each such Unit of Product for the Cosmetic Indication has an expiration date not earlier than *** after the First Amendment Date and meets such other quality
criteria of ALLERGAN. ALLERGAN IRELAND will issue a credit note to GSK for the value of the *** Cosmetic Inventory at ***. ALLERGAN IRELAND will issue a debit note to GSK for the value of the *** Cosmetic Inventory at ***. If the
inventory of Product on hand with ***. Terms of payment by ALLERGAN IRELAND and GSK for this one-time economic benefits transfer of the *** Cosmetic Inventory will be thirty (30) calendar days from the date of issuance of the credit note
and debit note by ALLERGAN IRELAND. 
     3.9.2    During the
Reacquisition Transition Period, any Product shipped from ALLERGAN IRELAND to GSK/*** will be split between inventory for the Therapeutic Indications and inventory for the Cosmetic Indications (“Reacquisition Transition Period Cosmetic
Inventory”) using the same principle of splitting inventory of Product on hand with ***, under drug inspection testing and in-transit to GSK/*** on the First Amendment Date. ALLERGAN IRELAND shall invoice GSK for the Reacquisition Transition
Period Cosmetic Inventory at *** and GSK shall then invoice *** for that inventory at ***. If such inventory subsequently ***. A monthly true-up/reconciliation of in-market sales and inventories will be performed jointly by
ALLERGAN and GSK with the importer/distributor. The inventory invoiced by ALLERGAN IRELAND to GSK for Reacquisition Transition Period Cosmetic Inventory together with *** Cosmetic Inventory will be deemed to be ALLERGAN initial opening stock in the
monthly inventory reconciliation. 
     3.9.3    Within thirty
(30) days after the end of each month, GSK will invoice ALLERGAN IRELAND for expenses of Product for the Cosmetic

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
Indications in the Territory made by GSK or its importer/distributor during the Reacquisition Transition Period. Expenses must be within the limitations of a budget agreed by the Parties on or
prior to the First Amendment Date or, if over the limitations of such budget, as pre-approved by ALLERGAN IRELAND. Terms of payment by ALLERGAN IRELAND will be thirty (30) calendar days from the date of issuance of invoice by GSK. 

    3.9.4    GSK will not owe ALLERGAN any royalties on the *** Cosmetic
Inventory and the Reacquisition Transition Period Cosmetic Inventory. 
     3.9.5    Sections 3.5 (Late Payment Interest), 3.6 (Taxes), 3.7 (Records and Reports), and 3.8 (Audit Rights) shall also apply to this Section 3.9, with respect to the calculation of the
economic benefits of the *** Cosmetic Inventory and Reacquisition Transition Period Cosmetic Inventory, and the expenses of Product for the Cosmetic Indications. 
 6.        Amendment of Article 4 (HANDOVER ACTIVITIES). The Parties hereby agree that Article 4 (HANDOVER ACTIVITIES) of the Agreement will be amended as
follows: 
 6.1      A new Section 4.3 is hereby added to the Agreement as follows:

   4.3      Services Agreement. Promptly after the First
Amendment Date, the Parties or their respective Affiliates in the Territory will at each Party’s sole cost and expense participate in good faith negotiations for an agreement which will set forth, among other things, the rights and
responsibilities of ALLERGAN and GSK with respect to transitioning the rights to import, offer for sale and sell Product for the Cosmetic Indications in the Territory to ALLERGAN and certain services to be provided by GSK to ALLERGAN (the
“Services Agreement”). The Parties will use their Best Efforts to reach agreement on the Services Agreement in good faith and to both Parties’ reasonable satisfaction not later than sixty (60) calendar days after the First
Amendment Date and will include, among other things, the principles set forth on Exhibit J. 
 6.2      A new Section 4.4 is hereby added to the Agreement as follows: 
   4.4      Disclosure of GSK Know-How; Transfer of Materials. Within thirty (30) calendar days after the First Amendment Date, GSK or its Affiliate will at its or their sole cost and
expense disclose the GSK Know-How to ALLERGAN and will provide to ALLERGAN all documents that recite, are directed to, or concern GSK Know-How. Notwithstanding anything to the contrary contained in this Article 4, GSK will thereafter during the
Term promptly disclose to ALLERGAN any GSK Know-How that comes into GSK’s possession and will provide to ALLERGAN all documents that are directed to such GSK Know-How. 
  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 6.3      A new Section 4.5 is hereby added to the
Agreement as follows: 
   4.5      Transition. Each Party will
appoint a transition team leader for the Territory to coordinate the transition of the rights to import, offer for sale and sell the Cosmetic Indications in the Territory from GSK to ALLERGAN, including transfer of the GSK Know-How related to the
Cosmetic Indications, during the Reacquisition Transition Period. The transition activities will include, among others, the following: 
     4.5.1   Within thirty (30) days after the First Amendment Date, GSK will provide ALLERGAN with copies of documents related to all Regulatory Approvals and
Regulatory Approval Applications, governmental licenses, post approval commitments, adverse events reporting, and other similar documents, if applicable, with respect to Cosmetic Indications in the Territory. 
     4.5.2   Within thirty (30) days after the First Amendment Date, GSK shall
provide ALLERGAN with GSK’s standard operating procedures/processes (“SOP”) with respect to quality assurance, product testing, post-market surveillance, pharmacovigilence, promotion, storage, distribution and disposal of the Product
in the Cosmetic Indications in the Territory. 
     4.5.3   During the
Reacquisition Transition Period, in accordance with ALLERGAN’s instructions, GSK will, and will use Commercially Reasonable Efforts to cause its Affiliates, sublicensees, employees, and agents to, continue to develop and sell Product for the
Cosmetic Indications in the Territory, and conduct business in relation to the Product for the Cosmetic Indications in the Territory in the ordinary course of business and in accordance with all Applicable Law, including, without limitation,
(a) preserving intact the market for Product for the Cosmetic Indications in the Territory and the goodwill associated with Product, (b) continuing to maintain its (or their) relationships with distributors, customers and others having
material business relationships with it (or them) related to Product in the Territory, (c) continuing to distribute Product in accordance with past practice, and (d) take all reasonable steps to retain the services of employees of GSK (or
its Affiliate) to assist in the transition activities. However, GSK will re-forecast the Product requirements for the Therapeutic Indications and will adjust future orders only to reflect the demand for the Therapeutic Indications. ALLERGAN will
forecast and order the inventory required to meet the demand for the Cosmetic Indications. Each Party shall pay the other any applicable Transition Sales Fee as provided in Section 3.9. 
     4.5.4   GSK shall complete the preparation and submission, and use Commercially
Reasonable Efforts to obtain as soon as possible, Regulatory Approval for ***. The *** will be *** for Cosmetic Indications. 
  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

     4.5.5    GSK will, if so
requested by ALLERGAN, use Commercially Reasonable Efforts to transfer and assign to ALLERGAN all information and agreements exclusively relating to the Product for the Cosmetic Indications in the Territory. The Parties will review all contracts
that relate solely to Product for the Cosmetic Indications in the Territory, or that relate to both to Product for the Cosmetic Indications and the Therapeutic Indications (but not those contracts that relate solely to Product for the Therapeutic
Indications), to determine in good faith which contracts, if any, should be assigned in whole or in part by GSK to ALLERGAN or its Affiliates. 
 6.4      A new Section 4.6 is hereby added to the Agreement as follows: 
   4.6      CI Consultations. During the period commencing on the First Amendment Date and continuing for a period of sixty (60) calendar days, or until
the Service Agreement Completion Date, whichever is later, GSK, on ALLERGAN’s or ALLERGAN’s Affiliate’s reasonable request, at mutually agreeable times and places and at GSK’s sole expense, will provide a reasonable amount of
consulting services regarding specific issues in connection with development and commercialization of Product for the Cosmetic Indication in the Territory (“CI Consultations”). For clarity, CI Consultations will not include any efforts or
activities conducted by employees and/or agents of GSK in connection with the transfer of GSK Know-How and materials otherwise required pursuant to Article 4, or in connection with GSK’s participation in the TJDC and TJCC as provided in
Article 5 of the Agreement. 
 7.        Amendment of Article 5 (PRODUCT
DEVELOPMENT AND COMMERCIALIZATION). The Parties hereby agree that Article 5 (PRODUCT DEVELOPMENT AND COMMERCIALIZATION) of the Agreement is hereby amended as follows: 
 7.1      Section 5.1 is hereby amended and replaced in its entirety as follows: 
   5.1      In General. GSK, at GSK’s sole expense (subject to
ALLERGAN’s obligations as set forth in Article 4), will use Commercially Reasonable Efforts to commercialize Product in the Field of Use in the Territory, subject to Section 5.1.2 and as provided in Section 5.5. Additionally, subject
to Section 5.1.2 and as provided in Section 5.3, GSK will develop Product for *** Future Indication. Notwithstanding the above, ALLERGAN covenants and agrees that it will cause the Manufacturer to supply Product for such development
and commercialization activities (under the terms of the Supply Agreement) and, at GSK’s request and at GSK’s expense, subject to ALLERGAN’s obligations as set forth in Article 4, cooperate with GSK and to provide assistance as
reasonably necessary in connection with any such development and commercialization activities in the Field of Use in the Territory. 
  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 7.2      Section 5.1.3 is hereby amended and replaced in
its entirety as follows: 
     5.1.3    For the purpose of obtaining
pricing approval for the Product, GSK will use Commercially Reasonable Efforts to position the Product with Regulatory Authorities as a premium positioned product in the Territory during the Term, including, without limitation, reformatting and
resubmitting to the Regulatory Authority the pricing dossier for Product and trying to obtain initial feedback from the Regulatory Authority on the likelihood of obtaining approval for the price requested for Product in the Territory. Subject to
applicable competition law in the Territory, the Parties shall meet from time to time as requested by either Party to reach a consensus on the strategy regarding pricing approval for the Product in the Territory. 
 7.3      Section 5.2.1(d) is hereby amended and replaced in its entirety as follows: 
     (d)       Acting as a forum for the Parties to exchange
information concerning the development and routine regulatory maintenance of Product in the Territory, including material communications and correspondence to and from Regulatory Authorities; 
 7.4      Section 5.2.6 is hereby amended and replaced in its entirety as follows: 
     5.2.6    Decisions regarding Product portfolio management, clinical development
and other related matters shall be made as follows: 
        (a)      All decisions related to Product portfolio management and routine regulatory maintenance in the Field of Use in the Territory, initiation, conduct and
termination of clinical trials for Product in the Field of Use in the Territory, subject to Section 5.2.8, budgeting for all such development and regulatory activities, selection of Indications for which Product in the Field of Use in the
Territory may be developed, strategy regarding pricing approval for the Product in the Field of Use in the Territory (subject to applicable competition law in the Territory), and any decisions related to other aspects of clinical development or
Regulatory Approval not specified in the foregoing regarding Product in the Field of Use in the Territory, will be made by majority vote of the TJDC, which decision will be final and binding on the Parties. 
        (b)      All decisions related to other aspects of
clinical development or Regulatory Approval regarding Product in the Field of Use not specified in this Section 5.2.6 will be made by unanimous vote of the TJDC, which decision will be final and binding on the Parties. If the TJDC cannot reach
unanimous agreement, any disputes will be submitted for resolution to a senior clinical development executive of each Party, or his/her designee, for the Territory. If the senior clinical development executives of each Party, or their respective
designees, for the Territory cannot resolve such any disputes within thirty (30) calendar days after the first (1st) interaction (whether in writing, via

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
telephone or in person) between the senior clinical development executives of each Party or their respective designees, such dispute will be decided by GSK, which decision of GSK will be final
and binding on the Parties. 
        (c)      All decisions related to portfolio management for the Product for the Cosmetic Indication in the Territory, regulatory maintenance of Product for the Cosmetic
Indication in the Territory, initiation, conduct and termination of clinical trials for Product for the Cosmetic Indication in the Territory, budgeting for all such development and regulatory activities, selection of Indications for which Product
for the Cosmetic Indication in the Territory may be developed and any decisions related to other aspects of clinical development or Regulatory Approval not specified in the foregoing regarding Product for the Cosmetic Indication in the Territory,
will be made by ALLERGAN after good faith consultation with GSK. For the avoidance of doubt, ALLERGAN will be responsible for deciding what Cosmetic Indications to pursue, including preparing and participating in the submission for regulatory
variations, new Indications, line extensions, and for the conduct of post approval commitments with respect to Cosmetic Indications. GSK will perform all work reasonably requested by ALLERGAN with respect to the foregoing matters for the Cosmetic
Indications, at ALLERGAN’s written request and expense; provided however, that if the activity covers both Cosmetic Indications and Therapeutic Indications, the costs will be shared by the Parties in the ratio of gross sales between the
Cosmetic Indications and Therapeutic Indications. GSK will perform all such work at reasonable market rates, comparable to the rates that would be charged by contract research organizations for similar work (where applicable). GSK will work
diligently and use Commercially Reasonable Efforts to complete all such work reasonably requested by ALLERGAN. 
 7.5      Section 5.2.7 is hereby amended and replaced in its entirety as follows: 
   5.2.7      Decisions related to whether a new Indication should be deemed to be an aesthetic Indication, and therefore a Cosmetic Indication, or a therapeutic
Indication, and therefore added to the Field of Use will be made by the agreement of the President, Asia Pacific, Allergan Inc., for ALLERGAN and the President of Emerging Markets, GSK, for GSK, (collectively, the “Region Presidents”)
which decision will be final and binding on the Parties. If the Region Presidents cannot reach agreement, either Party may send a written notice to other (an “Escalation Notice”) for resolution of the issue by the Chief Executive Officer
of GSK, or his/her designee, for GSK, and the Chief Executive Officer of Allergan, Inc., or his/her designee, for GSK (collectively, the “Senior Executives”). If the Senior Executives cannot resolve such issue within thirty
(30) calendar days from the date of the Escalation Notice, either Party may submit the matter to binding arbitration. The arbitration shall be conducted by the American Arbitration Association in New York City, New York, or such other location
as mutually

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
agreed by the Parties, with each Party submitting a brief supporting its position in writing and each side having an equal right to present its case orally to the arbitrator, and with each side
having an equal rebuttal period, such oral arguments and rebuttal not to exceed one (1) day in total. The arbitrator shall choose one case or the other based on the written and oral arguments, which decision shall be final and binding on the
Parties. 
 7.6      Section 5.2.8 is hereby amended and replaced in its entirety as follows:

   5.2.8    Notwithstanding any other provision of this Agreement, any
development plan or clinical trial ***. GSK or its Affiliate will provide ALLERGAN with written notice prior to proceeding with any matter set forth in this Section 5.2.8, and within thirty (30) calendar days of receipt of such
written notice from GSK or its Affiliate, ALLERGAN will provide written notice to GSK or its Affiliate of whether ALLERGAN consents to GSK or its Affiliate progressing with such matter. If ALLERGAN does not refuse consent, or does not provide any
response to GSK or its Affiliate, in each case within such thirty (30) calendar day period, ALLERGAN will be deemed to have consented to GSK or its Affiliate proceeding with the matter as presented in GSK’s or its Affiliate’s written
notice to ALLERGAN. 
 7.7      Section 5.3.1 is hereby amended and replaced in its entirety
as follows: 
   5.3.1    Cosmetic Indications. Subject to Sections 5.1.2 and
5.2.8, from the Effective Date through the First Amendment Date, GSK will use Commercially Reasonable Efforts to initiate and complete development and regulatory activities that are reasonably required to obtain Regulatory Approval for Product for
*** Cosmetic Indication for the Product in the Territory. Except to the extent ALLERGAN’s cooperation is required in order to comply with regulatory requirements in the Territory, and subject to the Manufacture (as defined in the Supply
Agreement) by the Manufacturer of Product for use in such development activities in accordance with the terms and conditions of the Supply Agreement, full responsibility for any activities to obtain Regulatory Approvals of Cosmetic Indications for
Product in the Territory from the Effective Date through the First Amendment Date will be the sole responsibility of GSK. After the First Amendment Date, responsibility for any activities to obtain Regulatory Approvals of Cosmetic Indications for
Product in the Territory shall be as provided in Section 5.2.6, 5.2.7 and 5.2.8. 
 7.8      Section 5.5 is hereby amended and replaced in its entirety as follows: 
   5.5    Commercialization Responsibilities of GSK. Subject to Section 5.1.2, GSK, at GSK’s sole expense, will use Commercially Reasonable Efforts to
commercialize Product for *** Future Indication in the Territory as directed by the TJCC. 
  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 7.9      Section 5.7 is hereby amended and replaced in
its entirety as follows: 
   5.7      Adverse Event and Serious
Adverse Event Reporting. Adverse event and other pharmacovigilance information will be exchanged between the Parties and reporting will be coordinated in such a manner as to ensure that their respective regulatory obligations are met. GSK will
be have primary responsibility for and will comply with all applicable medical event reporting requirements for the Product in the Territory and any countries in the Other Territories. ALLERGAN will solely be responsible for and will comply with all
applicable medical event reporting requirements for all countries outside the Territory and the Other Territories where the Product is being marketed, under investigation, or pending registration, and will provide adverse event information to GSK in
accordance with the Pharmacovigilance Agreement. Both Parties will agree in a separate Pharmacovigilance Agreement on the detailed procedures including timeframes and formats of adverse event information exchange specific to clinical trial and
spontaneous serious adverse events and non-serious adverse events and other regulatory safety information. The drug safety groups for both Parties will have standard operating procedures outlined in the Pharmacovigilance Agreement relating to the
receipt, processing, evaluation, and reporting of all adverse events. Mechanisms for training and assessing compliance with these procedures will also be identified in the Pharmacovigilance Agreement. The Parties will negotiate and execute an
amendment to the Pharmacovigilance Agreement, which will include the revised core principles set forth on Exhibit G as well as such other terms and conditions agreed to by the Parties, within sixty (60) calendar days after the First
Amendment Date. GSK will be responsible for submitting all required pharmacovigilance information to Regulatory Authorities in the Territory. ALLERGAN will have access to such information provided by GSK and will be free to use such information
outside the Territory and Other Territories for any purpose in connection with the sale of Product. GSK will provide reports to ALLERGAN regarding all such pharmacovigilance information in the development reports provided to ALLERGAN pursuant to
Section 5.10.1. 
 7.10    A new Section 5.11 is hereby added to the Agreement as follows:

   5.11    Regulatory Filings. GSK will inform and provide copies of
documentation to ALLERGAN of any regulatory variations, new indications, and line extensions for Product that GSK desires to pursue with the Regulatory Authority. GSK will make such filings only after good faith consultation with ALLERGAN, if made
with respect to the Field of Use or with the prior approval of ALLERGAN, if made with respect to the Cosmetic Indications, CMC or API. 
 7.11    A new Section 5.12 is hereby added to the Agreement as follows: 
   5.12    Regulatory Expenses. Except as otherwise expressly provided in this Agreement, (i) each Party will be responsible for the Territory-specific cost of

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
development, clinical trials, Regulatory Approval Applications, changes to any Regulatory Approvals and ongoing clinical trials, development and post market surveillance required by the
Regulatory Authorities relating exclusively to the Indications to which such Party has rights under this Agreement and (ii) the Parties will *** associated with changes to API or CMC for the Product ***. Each Party will be
responsible for the costs associated with any Regulatory Approvals and clinical trials, development, and post market surveillance for the Product required by the Regulatory Authorities relating for the Indications they are responsible for that may
result from such API or CMC changes to the Product. 
 7.12    A new Section 5.13 is hereby added to
the Agreement as follows: 
   5.13    Importer / Distributor. After the
Reacquisition Transition Period and until modified in accordance with this Section 5.13, ALLERGAN IRELAND will sell Product for the Cosmetic Indication in the Territory to GSK and GSK will sell all such Product exclusively to ***. On or before
the First Amendment Date, GSK will provide ALLERGAN with a true and complete English version of any agreements between GSK and *** with respect to the Product. ***. ALLERGAN shall have the right to review any proposed amendment to the
distribution agreement with *** and the right to consent to any termination or changes to the terms and conditions of the agreement that in any way relate to the Product for the Cosmetic Indications. GSK will represent ALLERGAN’s interests in
good faith when interacting with *** with respect to the Product for the Cosmetic Indications, as provided in the Services Agreement. To the extent permitted under any agreement with ***, ALLERGAN or its Affiliates may at any time change to a more
direct distribution model for the Product in the Cosmetic Indications in the Territory, subject to compliance with all Applicable Laws. Such direct distribution models could include, without limitation: (i) the right to directly invoice the
importer, (ii) the right to enter into an import / distribution agreement with *** or its successor, (iii) the right to appoint another importer, or (iv) the right to directly import and distribute the product on its own behalf.

 7.13    A new Section 5.14 is hereby added to the Agreement as follows: 
   5.14    Commercialization Activities by ALLERGAN. For the avoidance of doubt, ALLERGAN
will have unrestricted rights to engage in sales and marketing activities to commercialize Product for the Cosmetic Indication in the Territory, provided however that all activities comply with Applicable Law. This will include without limitation,
the following 
  

	 	n	 	 Launch events 

  

	 	n	 	 Advisory Boards 

  

	 	n	 	 PR activities 

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

	 	n	 	 Injector training 

  

	 	n	 	 Purchase contracts with *** 

  

	 	n	 	 Pricing, discounts, bulk purchase incentives to *** 

  

	 	n	 	 Phase 4 Medical Support 

  

	 	n	 	 Business development programs 

  

	 	n	 	 Promotional materials including detail aids, posters, patient leaflets, questionnaires and any other form of legally acceptable promotional material

  

	 	n	 	 Branded and unbranded *** materials 

  

	 	n	 	 Branded and unbranded patient materials 

  

	 	n	 	 Foreign speaker tours 

  

	 	n	 	 Employ a sales force to call on customers to promote BOTOX for the approved Cosmetic Indication 

  

	 	n	 	 Training programs for sales team 

  

	 	n	 	 Engage in legally acceptable consumer awareness programs 

  

	 	n	 	 Coordinate sub-distributor activities jointly with GSK 

 8.        Amendment of Article 7 (REPRESENTATIONS, WARRANTIES, AND COVENANTS). The Parties hereby agree that Article 7 (REPRESENTATIONS, WARRANTIES AND
COVENANTS) of the Agreement is hereby amended as follows: 
 8.1      Section 7.2.1 is hereby
amended and replaced in its entirety as follows: 
   7.2.1    Neither ALLERGAN nor
its Affiliates will grant, during the Term, any right, license, or interest in, to, or under the ALLERGAN Patent Rights, ALLERGAN Know-How, or ALLERGAN Trademarks in the Field of Use in the Territory that is inconsistent with the rights, licenses,
and interests granted to GSK hereunder or ALLERGAN’s Control in such ALLERGAN Patent Rights, ALLERGAN Know-How or ALLERGAN Trademarks. In this regard, ALLERGAN will, within ninety (90) days after the Effective Date, terminate any and all
existing agreements with Third Party distributors of Product in the Territory and, after the First Amendment Date, will not authorize any Third Party to distribute Product in the Field of Use in the Territory; 
 8.2      Section 7.2.3 is hereby amended and replaced in its entirety as follows: 
   7.2.3    ALLERGAN will not, and will cause all of its Affiliates and sublicensees not to,
either on its or their own or with any Third Party, conduct any development activities or conduct clinical trials relating to Product in the Field of

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
Use, or seek Regulatory Approvals for Product in the Field of Use, in the Territory during the Term, except as provided in Section 4.1 or otherwise authorized by GSK in writing; 

8.3      Section 7.2.4 is hereby amended and replaced in its entirety as follows: 
       7.2.4    ALLERGAN will not, and will cause all of its Affiliates and
sublicensees not to, either on its or their own or with any Third Party, use, sell, offer for sale or import Product in the Territory in the Field of Use during the Term, except as provided in Section 4.1 and with respect to ALLERGAN’s
co-promotion activities during the Co-Promotion Term as provided in Section 2.6, or as otherwise authorized by GSK in writing; 
 8.4      A new Section 7.2.6 is hereby added to the Agreement as follows: 
   7.2.6    ALLERGAN will take customary and reasonable steps, consistent with industry practice, to protect the confidentiality of the GSK Know-How. 
 8.5      A new Section 7.2.7 is hereby added to the Agreement as follows: 
 7.2.7   ALLERGAN will use Commercially Reasonable Efforts to ensure that all aspects of its regulatory, development and
commercialization activities with respect to Product for the Cosmetic Indication in the Territory, including for example clinical trial design, pharmacovigilance, and clinical and regulatory management activities, will be conducted in accordance
with Good Clinical Practice, Good Vigilance Practice, and Good Post-Marketing Study Practice and professional standards consistent with the standards utilized by ALLERGAN in ALLERGAN’s commercialization efforts for Product for the Cosmetic
Indication in the Territory. 
 8.6      A new Section 7.3B is hereby added to the Agreement
as follows: 
   7.3B    Additional Representations and Warranties of
GSK.    GSK represents and warrants that, as of the First Amendment Date: 
      (a)        GSK has the right and authority to grant the licenses granted to ALLERGAN and its Affiliates pursuant to the terms and conditions set forth in this Agreement
in the Territory; 
      (b)        Neither
GSK nor its Affiliates has granted any right, license, or interest in, to, or under the GSK Patent Rights or the GSK Know-How in the Territory that is inconsistent with the rights, licenses, and interests granted under the terms and conditions set
forth in this Agreement; 
      (c)        To
the knowledge of GSK, the exercise of the GSK Patent Rights would not infringe the patent or other intellectual property rights of any Third Party in the Territory, and there has been no written notice of any claim or objection that the use of the
GSK Patent Rights and the GSK Know-How

  

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omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 
infringes, misappropriates, or otherwise violates or makes unauthorised use of, or has infringed, misappropriated, or otherwise violated or made unauthorised use of, the intellectual property or
know-how rights of any Third Party in the Territory and there is no fact or circumstance which may give rise to any such claim or objection; 
 (d)        To the knowledge of GSK, the Regulatory Approval in the Territory for the Cosmetic Indications approved as of the First Amendment Date has been validly
issued by the appropriate Regulatory Authority and is in full force and effect, GSK and its Affiliates and agents have been and are in material compliance with all regulatory requirements of all competent Regulatory Authorities in the Territory with
respect to Product, and there are no material facts or circumstances that might be expected to cause any Regulatory Approval in the Territory to be revoked or not renewed; 
 (e)        To the knowledge of GSK, all information and data provided to ALLERGAN
relating to the sales of the Products for the Cosmetic Indication in the Territory is accurate in all material respects and GSK and its distributors and agents have continued to conduct their business in relation to the Product in the Territory in
the ordinary course and in accordance with Applicable Law since the date of the last such information and data; 
 (f)        To the knowledge of GSK, all Products sold by GSK in the Territory prior to the First Amendment Date were in material compliance with the registered Product specifications, and were
promoted, marketed, and sold in accordance with all Applicable Law in the Territory; and 
 (g)        To the knowledge of GSK, there are no material legal proceedings or regulatory or governmental claims pending against GSK or its agents in the Territory in relation to the Product.

 8.7      Section 7.4.3 is hereby amended and replaced in its entirety as follows:

 7.4.3    GSK will not grant any right, license, or interest in, to, or under any GSK
Patent Rights or GSK Know-How that are inconsistent with the rights, license, and interests granted under the terms and conditions set forth in this Agreement; and 
 8.8      A new Section 7.4.5 is hereby added to the Agreement as follows: 
 7.4.5    Upon the Services Agreement Completion Date and for the remainder of the Term, except as provided in Section 5.13 or unless authorized by ALLERGAN in writing, GSK will
not, and will cause all of its Affiliates and sublicensees not to, either on its or their own or with any Third Party, use, sell, offer for sale, or import Product in the Territory for the Cosmetic Indications. 
  

 19 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 9.        Amendment of Article 8 (INDEMNIFICATION
AND INSURANCE).    The Parties agree that Article 8 (INDEMNIFICATION AND INSURANCE) shall be amended as follows: 
 8.1      Section 8.1 is hereby amended and replaced in its entirety as follows: 
   8.1    Indemnification by ALLERGAN. ALLERGAN will indemnify, defend, and hold GSK and its
Affiliates and their directors, officers, employees, and agents (each and collectively a “GSK Indemnitee”) harmless from and against any and all liabilities, damages, losses, costs and expenses, investigations, and reasonable
attorneys’ fees incurred hereunder (each and collectively a “Liability”) resulting from or arising out of a claim, suit, or proceeding brought by a Third Party against a GSK Indemnitee arising out of or related to: 
   8.1.1    the research, development, manufacture, promotion, sale, distribution, importation
and/or use of Product in the Field of Use in the Territory prior to the Effective Date; 
   8.1.2    the research, development, manufacture, promotion, sale, distribution, importation and/or use of Product in any country outside of the Territory and the Other Territories; 
   8.1.3    any violation of Applicable Law by any ALLERGAN Indemnitee (as defined in
Section 8.2) in performing ALLERGAN’s obligations under this Agreement; 
   8.1.4    any material breach by any ALLERGAN Indemnitee of ALLERGAN’s representations, warranties and/or obligations under this Agreement; and 
   8.1.5    the promotion, sale, distribution, importation and/or use of Product for the
Cosmetic Indication in the Territory after the end of the Reacquisition Transition Period; 
 provided, however, with respect to
Sections 8.1.3, 8.1.4, and 8.1.5, except to the extent that any such Liabilities are the responsibility of GSK under Section 8.2. 
 8.2      Section 8.2 is hereby amended and replaced in its entirety as follows: 
   8.2    Indemnification by GSK. GSK will indemnify, defend, and hold harmless ALLERGAN and its directors, officers, employees, agents, and consultants (each and
collectively an “ALLERGAN Indemnitee”) from and against any and all Liabilities resulting from or arising out of a claim, suit, or proceeding brought by a Third Party against an ALLERGAN Indemnitee arising out of or related to: 

 

 20 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

      8.2.1    the research,
development, promotion, sale, distribution, importation and/or use of Product in the Field of Use in the Territory after the Effective Date and for the Cosmetic Indication in the Territory after the Effective Date through the effective date of the
Services Agreement; 
      8.2.2    any violation of Applicable
Law by any GSK Indemnitee in performing GSK’s obligations under this Agreement; 
      8.2.3    any material breach by any GSK Indemnitee of GSK’s representations, warranties and/or obligations under this Agreement; and 
      8.2.4    the promotion, sale, distribution, importation and/or use of ***
Cosmetic Inventory in the Territory to the extent caused by GSK or its Affiliate or importer / distributor; 
 provided, however,
with respect to Sections 8.2.1, 8.2.2, 8.2.3, and 8.2.4, except to the extent such Liabilities are the responsibility of ALLERGAN under Section 8.1. 
 10.        Amendment of Article 11 (GENERAL PROVISIONS).    The Parties hereby agree that Article 11 shall be amended as follows:

 10.1      Section 11.4 is hereby amended and replaced in its entirety as follows:

     11.4    Dispute Resolution. Except with regard to (a) any matters or
disputes between the Parties that are to be resolved by the TJDC or TJCC as set forth in this Agreement (which shall be resolved in the manner described in Article 5 for the TJDC or TJCC, respectively) or (b) any dispute regarding whether any
new Indication is a Cosmetic Indication or a Therapeutic Indication (which shall be resolved in the manner described in Section 5.2.7), if a dispute or controversy regarding any other matter under this Agreement, arises between the Parties
which they are unable to resolve (a “Dispute”), each of the Parties will (subject to any cure period as set forth in this Agreement), be entitled to submit to the other Party written notice of such Dispute, with such notice setting forth
in reasonable detail the nature of the Dispute (the “Dispute Notice”). For a period of thirty (30) calendar days after the date of the receiving Party’s receipt of the Dispute Notice, the Parties will seek to resolve such Dispute
by good faith negotiation between the President Pharmaceuticals, Emerging Markets, GSK, or his/her designee, for GSK, and the President, Asia Pacific, of Allergan, Inc., or his/her designee, for ALLERGAN. If at the end of such thirty
(30) calendar day period the Dispute remains unresolved, the Parties may seek relief for such Dispute using any appropriate administrative or judicial mechanism which may be available, subject to Section 11.1. The provisions of this
Section 11.4 will not restrict in any way the Parties’ rights to seek preliminary injunctive or other equitable relief from any court having jurisdiction. 
 11.        Exhibits. 
  

 21 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 11.1      Exhibits A (ALLERGAN Patent Rights Not Subject to
the Option), A-1 (ALLERGAN Patent Rights Subject to the Option), B (ALLERGAN Product Trademarks), G (Pharmacovigilance Agreement) and H (Product Integrity Plan) are hereby deleted and replaced in their entirety by the Exhibits bearing the same names
attached to this Amendment #1. 
 11.2      A new Exhibit J (Services Agreement Principles)
attached to this Amendment #1 is hereby added to the Agreement. 
 12.        Other
Provisions. 
 12.1      All provisions of the Agreement not expressly modified by this
Amendment #1 shall remain in full force and effect, except that each reference to the “Agreement” or words of like import in the Agreement will mean and be a reference to the Agreement as amended by this Amendment #1. This Amendment #1
shall be construed, and the respective rights of the Parties determined, according to the substantive law of the State of New York notwithstanding the provisions governing conflict of laws under such New York law to the contrary. This Amendment #1
may be executed in any number of counterparts, each of which, when executed, shall be deemed to be an original and all of which together shall constitute one and the same document. This Amendment #1 may be executed by facsimile signatures, which
signatures shall have the same force and effect as original signatures. 
  

 22 
  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 IN WITNESS WHEREOF, ALLERGAN and GSK have executed this AMENDMENT #1 TO
BOTOX® — CHINA LICENSE AGREEMENT by their respective duly authorized representatives as of the date First
Amendment Date. 
  

									
	 ALLERGAN, INC.
  
 By:
	 		 	 ALLERGAN SALES, LLC
  
 By:

			
	 /s/ JEFFREY L. EDWARDS
	 		 	 /s/ JEFFREY L. EDWARDS

					
	Name:	 	Jeffrey L. Edwards	 		 	Name:	 	Jeffrey L. Edwards
					
	Title:	 	 Executive Vice President,
 Finance and Business Development,
 Chief Financial Officer
	 		 	Title:	 	 Vice President and
 Chief
Financial Officer

			
	 ALLERGAN PHARMACEUTICALS
 HOLDINGS (IRELAND) LTD.
  
 By:
	 		 	 ALLERGAN BOTOX LIMITED
  
  
 By:

			
	 /s/ TERILEA J. WIELENGA
	 		 	 /s/ TERILEA J. WIELENGA

					
	Name:	 	Terilea J. Wielenga	 		 	Name:	 	Terilea J. Wielenga
					
	Title:	 	Director	 		 	Title:	 	Director
			
	 ALLERGAN PHARMACEUTICALS
 IRELAND
  
 By:
	 		 	 GLAXO GROUP LIMITED
  
  
 By:

			
	 /s/ DAVID D. J. ENDICOTT
	 		 	 /s/ PAUL WILLIAMSON

					
	Name:	 	David D. J. Endicott	 		 	Name:	 	Paul Williamson
				
	Title:	 	Director	 		 	Title: Corporate Director

  

 Exhibit A 
 ALLERGAN Patent Rights Not Subject to the Option 
 *** 
  

  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 Exhibit A-1 
 ALLERGAN Patent Rights Subject to the Option 
 *** 

 Exhibit B 
 ALLERGAN Product Trademarks –China 
  

																	
	 ID
	 	 Mark
	 	 Classes
	 	 Reg. Owner
	 	 App. #
	 	 App. Dt
	 	 Reg. #
	 	 Reg. Dt
	 	 Status

									
	***	 	***	 	***	 	***	 	***	 	***	 	***	 	***	 	***

 Exhibit G 
 Pharmacovigilance Agreement Principles 
 Both Parties agree that promptly
after the First Amendment Date, the Parties or their respective Affiliates in the Territory will at each Party’s sole cost and expense participate in good faith negotiations for a Pharmacovigilance Agreement which will set forth, among other
things, the rights and responsibilities of ALLERGAN and GSK with respect to pharmacovigilance obligations (the “Pharmacovigilance Agreement”). The Parties will use their Best Efforts to reach agreement on Pharmacovigilance Agreement
in good faith and to both Parties’ satisfaction not later than sixty (60) calendar days after the First Amendment Date and will include, among other things, the principles set forth below. 
  

	•	 	 ALLERGAN will hold the global safety database for the Product. 

  

	•	 	 ALLERGAN will be responsible for providing all relevant pharmacovigilance support for the Product to GSK’s Affiliate in the Territory, including,
without limitation, providing any non-domestic expedited or periodic reports necessary for local regulatory submission, signal detection and issue management. 

  

	•	 	 GSK’s Affiliate in the Territory will be responsible for collecting adverse event reports in the Territory with respect to the Field of Use and
forwarding copies of such reports to ALLERGAN. GSK’s Affiliate in the Territory will also be responsible for submitting relevant reports to the appropriate Regulatory Authority with respect to the Field of Use. 

  

	•	 	 ALLERGAN will be responsible for collecting adverse event reports in the Territory with respect to the Cosmetic Indications and forwarding copies of
such reports to GSK. GSK Affiliate in the Territory will be responsible for submitting relevant reports to the appropriate Regulatory Authority with respect to the Cosmetic Indications. If GSK’s cost for handling pharmacovigilance due to
Cosmetic Indications sales increase significantly, GSK and ALLERGAN shall discuss and review such pharmacovigilance arrangements respect to Cosmetic Indications in good faith. 

  

	•	 	 GSK and ALLERGAN will not be obligated to maintain a central safety and pharmacovigilance department to provide support for, or involvement in,
pharmacovigilance activities conducted pursuant to this Agreement or the Pharmacovigilance Agreement. 

 Exhibit H 
 Product Integrity Plan 
 Product Integrity Plan Objective: 
 Protect the safety of patients and maintain the loyalty of physician customers by assuring that patients seeking treatment with Product continue to get
Product, appropriately handled for safe and effective treatment. 
 Requirements for Successful Implementation: 
  

	 	—	 	 Each Party will designate a Person in the Territory as Product Integrity Manager in accordance with Section 5.9. 

  

	 	—	 	 All personnel promoting Product in the Territory are trained to recognize current approved packaging of Product in the Territory.

  

	 	—	 	 Personnel promoting Product are trained to promptly report suspected counterfeit or imported product to the Product Integrity Manager.

  

	 	—	 	 Examples (or photos) of counterfeit product packaging obtained by personnel of a Party should be sent to the Product Integrity Manager for such Party.

  

	 	—	 	 The Party’s Product Integrity Manager will file complaint the TJCC chairman and such Party’s local team, in accordance with internal
procedures, with evidence of suspected counterfeit or imported product. 

  

	 	—	 	 If the Product is for a Current Indication or Future Indication, GSK will use Commercially Reasonable Efforts to send “cease and desist”
warning letter to the suspected importer within *** after completing an internal investigation regarding the suspected importer. 

  

	 	—	 	 If the illegal activity is not discontinued within *** after the date of the cease and desist warning letter, GSK may report the importer to the
appropriate Regulatory Authority. 

  

	 	—	 	 ALLERGAN will determine origin of counterfeit product and request assistance from ALLERGAN’S Region President to shut down supply of such
counterfeit product. 

  

	 	—	 	 ALLERGAN will respond to GSK’s Product Integrity Manager within 30 days of result of regional efforts to limit supply of such counterfeit product.

 Exhibit J 
 Services Agreement Principles 
 Leadership 
  

	1.	Each Party will appoint a service team leader for the Territory to coordinate the services to be provided by GSK to ALLERGAN. 

 Supply Chain Management 
  

	1.	Generally. The Parties will cooperate on supply chain management in the Territory, including ongoing in-country logistics management support. 

 

	2.	Import. The Parties will establish procedures relating to the importation of Product into the Territory. Each Party will keep the other Party apprised of changes in law
or procedures that affect the importation of Product into the Territory to the extent such Party becomes aware of such changes. 

  

	3.	Forecasting. Each Party shall separately forecast sales for its respective Indications. Forecasts shall be provided to the Manufacturer on a *** basis, or such
other basis as the Manufacturer may reasonably request. 

  

	4.	Order Processing. GSK will sell Product to *** for both Therapeutic Indications and Cosmetic Indications. After the Reacquisition Transition Period and until modified
in accordance with Section 5.13 of the Agreement, ALLERGAN will sell Product for the Cosmetic Indication in the Territory to GSK and GSK will sell all of such Product to the importer / distributor for distribution in the Territory.

  

	5.	Sales Split (Monthly Review). GSK and ALLERGAN will agree to a methodology to split sales in the Territory and reconcile the virtual inventory based on actual sales
***. The Parties will regularly review actual *** sales and split them between Cosmetic Indications and Therapeutic Indications and adjust where necessary. The Parties will need to agree on criteria for adjustment.

  

	6.	Inventory Management. The Parties will need to develop a methodology for allocating inventory for drug inspection or other purposes that could not be clearly identified
as GSK or ALLERGAN usage and which Party will bear the write-off cost including Product cost and handling cost assuming that the inventory is not physically separated and Product sold by GSK and ALLERGAN share the same batch numbers.

  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

	7.	Inventory Reconciliation. At the end of each month, a reconciliation of the inventories will be done based on sales made ***. For this purpose, all sales
*** will be considered as sales for the Cosmetic Indications, sales *** will be considered as sales for the Cosmetic Indications, the sales *** will be initially regarded as sales for Therapeutic Indications; however, the
Parties agree to develop a mutually agreeable approach to allocating sales made *** between Cosmetic and Therapeutic Indications prior to the execution of the Services Agreement. The Parties agree that the approach to identify and split sales
between Therapeutic and Cosmetic Indications will be reviewed on a periodic basis and adjusted as necessary to more accurately reflect the actual allocation between the Cosmetic Indications and the Therapeutic Indications. 

 

	8.	Importer/Distributor/Sub-distributor Management. GSK will represent ALLERGAN’s interests in good faith when interacting with *** with respect to the Product for
the Cosmetic Indications. ALLERGAN will be given rights to direct interaction between ALLERGAN’s commercial team and the sub-distributors for the Cosmetic Indication and to direct their activities accordingly. The Services Agreement will
specify procedures to notify the other Party regarding any proposed changes to the terms and conditions of the contract with the importer / distributor and to reach agreement on such modifications. ALLERGAN or GSK can request *** or any other
importer / distributor to add sub-distributors as necessary to ensure flow of Product ***. Any new sub-distributor must have the necessary licenses and must be registered with SFDA to distribute the Product. 

  

	9.	Product Expiry. Expired Product *** will be identified and allocated between Cosmetic and Therapeutic Indications based on ***. If expired Product is with
sub-distributor or with the importer / distributor, then the Product will be identified based on a notional inventory reconciliation structure and a determination of whether the expiry related to stock invoiced by GSK or ALLERGAN to the importer /
distributor. If neither of the above is possible, expired stock will be split between Cosmetic and Therapeutic Indications in the ratio of sales. 

  

	10.	Distributor/Importer Support. GSK shall support the importer / distributor to meet ALLERGAN’s storage, distribution and quality requirements, and local testing and
release requirements according to SFDA regulation. 

 Financial Principles 
  

	1.	 Sales Recognition. ALLERGAN shall invoice GSK for the Products for the Cosmetic Indications in the Territory at the price GSK charges to the importer /
distributor, and GSK shall then invoice the importer / distributor for that Product at that same price. A monthly true-up / reconciliation of in–market sales and inventories will be performed jointly by ALLERGAN and GSK with the importer

  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

	 	 
/ distributor. The Products invoiced by ALLERGAN to GSK for Cosmetic Indications will be deemed to be Product for the Cosmetic Indications in the monthly inventory reconciliation.

  

	2.	Adjustment from Sales. The Parties will need to agree on or approve any claims from distributors/sub-distributors that cannot be clearly identified as Cosmetic
Indications or Therapeutic Indications. If *** uses the Product for both Therapeutic Indications and Cosmetic Indications, the claim will be ***. When new customers are added, both Parties will agree whether sales to the customer are
for the Cosmetic or Therapeutic Indication or on the ratio to be used to allocate the sales to the Cosmetic or Therapeutic Indication. This will be done on a *** basis. 

  

	3.	Periodic Review. Representatives of GSK and ALLERGAN will meet periodically to discuss whether the split of sales methodology *** needs to be revised. The
Parties will review sales data by Indication ***. The Parties may agree to ask *** to provide sales data split by Indication if necessary. Costs for this will be borne by the Parties ***. 

 Regulatory 
  

	1.	The Services Agreement will establish platforms for communication and processes in the following areas: post approval commitments, variation submissions, submissions
for new indications, new pack sizes, line extension, adverse event reporting, review and approval of promotional materials, etc. 

  

	2.	ALLERGAN will be responsible for providing medical and scientific information, and review and approval of promotional materials, in support of commercial activities
relating to Cosmetic Indications. GSK will be responsible for providing medical and scientific information, and review and approval of promotional materials, in support of commercial activities relating to Therapeutic Indications.

 Promotion and Sale of Products for the Cosmetic Indications 
  

	1.	The Services Agreement will set forth the roles and responsibilities of ALLERGAN and GSK relating to the import, distribution and commercialization of the Product for
the Cosmetic Indications in the Territory, and specify the cost that ALLERGAN will pay GSK for any services provided by GSK with respect to the Products for the Cosmetic Indication. 

  

	2.	When *** are identified as purchasing Product for both the Cosmetic Indications and the Therapeutic Indications through the periodic review of the sales split
between Therapeutic and Cosmetic Indications, the Parties will consult with each other and mutually agree on the pricing strategy and bidding price for ***. 

  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended. 

 Additional Terms 
  

	1.	Both Parties agree to cooperate to amicably resolve any operational issues that may arise from time to time. If the parties cannot resolve such issues at a local level,
they will be escalated to the President, Asia Pacific, Allergan, Inc., for ALLERGAN and President of Emerging Markets, GSK, for GSK for resolution. 

  

	2.	Both Parties agree to pursue a long-term solution after the registration of ***, when *** will be promoted and marketed *** and *** will be
promoted and marketed *** (except for ***). 

  

	3.	GSK will, at GSK’s sole expense, provide ALLERGAN with development or regulatory documents or data identified as missing after the transfer of GSK Know-How was, in
the opinion of GSK, complete; provided that such documents or data are in GSK’s possession or are in the possession of a GSK contractor or investigator and are retrievable upon exercise by GSK of Commercially Reasonable Efforts.

  

	4.	The Services Agreement will be reviewed periodically and modified by the Parties as necessary as the nature of the services change over time. 

 

	5.	The Parties recognize that each Party may perform some or all of its obligations under the Services Agreement through Affiliates, provided, however, that each Party
will remain responsible for the performance by its Affiliates and will cause its Affiliates to comply with the provisions of the Services Agreement in connection with such performance. ALLERGAN IRELAND will also be a party to the Services Agreement.

  

 *** Certain confidential information contained in this document, marked with 3 asterisks, has been
omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Act of 1934, as amended.

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