Document:

401(K) PLAN

  
 Exhibit 10.5

  
 COLEY PHARMACEUTICAL GROUP, INC. 401(K) PLAN

  

 ADOPTION AGREEMENT #005 
 NONSTANDARDIZED 401(k) PROFIT SHARING PLAN 
  
 The undersigned, Coley Pharmaceutical Group, Inc. (“Employer”), by executing this Adoption Agreement, elects to establish a retirement plan and
trust (“Plan”) under the Sentinel Benefits Group Defined Contribution Plan and Trust (basic plan document # 02 ). The Employer, subject to the Employer’s Adoption Agreement elections, adopts fully the Prototype Plan and Trust
provisions. This Adoption Agreement, the basic plan document and any attached appendices or addenda, constitute the Employer’s entire plan and trust document.* All section references within this Adoption Agreement are Adoption
Agreement section references unless the Adoption Agreement or the context indicate otherwise. All article references are basic plan document and Adoption Agreement references as applicable. Numbers in parenthesis which follow headings are
references to basic plan document sections. The Employer makes the following elections granted under the corresponding provisions of the basic plan document. 
  
 ARTICLE I 
 DEFINITIONS 
  

			
		
	1.	  	PLAN (1.21). The name of the Plan as adopted by the Employer is Coley Pharmaceutical Group, Inc. 401(k) Plan
		
	2.	  	TRUSTEE (1.33). The Trustee executing this Adoption Agreement is: (Choose one of (a), (b) or (c))
		
	x	  	(a) A discretionary Trustee. See Plan Section 10.03[A].
		
	 ̈	  	(b) A nondiscretionary Trustee. See Plan Section 10.03[B].
		
	 ̈	  	(c) A Trustee under a separate trust agreement. See Plan Section 10.03[G].
	
	3. EMPLOYEE (1.11). The following Employees are not eligible to participate in the Plan: (Choose (a) or one or more of (b) through
(g) as
applicable)
		
	 ̈	  	(a) No exclusions.
		
	 ̈	  	(b) Collective bargaining Employees.
		
	 ̈	  	(c) Nonresident aliens.
		
	x	  	(d) Leased Employees.
		
	 ̈	  	(e) Reclassified Employees.
		
	x	  	(f) Classifications: Contractors.
		
	 ̈	  	(g) Exclusions by types of contributions. The following classification(s) of Employees are not eligible for the specified contributions:
		
	 	  	 Employee classification:        
 Contribution type:        

	
	4. COMPENSATION (1.07). The Employer makes the following election(s) regarding the definition of Compensation for purposes of
the contribution allocation formula
under Article III: (Choose one of (a), (b) or (c))
		
	x	  	(a) W-2 wages increased by Elective Contributions.
		
	 ̈	  	(b) Code §3401(a) federal income tax withholding wages increased by Elective Contributions.
		
	 ̈	  	(c) 415 compensation.

  

					
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 [Note: Each of the Compensation definitions in (a), (b) and (c) includes Elective Contributions. See Plan Section
1.07(D). To exclude Elective Contributions, the Employer must elect (g).] 
  
 Compensation taken into account. For the Plan Year in which an Employee first becomes a Participant, the Plan Administrator will determine the allocation of Employer contributions (excluding deferral contributions) by taking into
account: (Choose one of (d) or (e)) 

			
		
	x	  	(d) Plan Year. The Employee’s Compensation for the entire Plan Year.
		
	 ̈	  	(e) Compensation while a Participant. The Employee’s Compensation only for the portion of the Plan Year in which the Employee actually is a Participant.
	
	Modifications to Compensation definition. The Employer elects to modify the Compensation definition elected in (a), (b) or (c) as
follows (Choose one or more of
(f) through (n) as applicable. If the Employer elects to allocate its nonelective contribution under
Plan Section 3.04 using permitted disparity, (i), (j), (k) and (l) do not apply):
		
	 ̈	  	(f) Fringe benefits. The Plan excludes all reimbursements or other expense allowances, fringe benefits (cash and noncash), moving expenses, deferred compensation and welfare
benefits.
		
	 ̈	  	(g) Elective Contributions. The Plan excludes a Participant’s Elective Contributions. See Plan Section 1.07(D).
		
	 ̈	  	(h) Exclusion. The Plan excludes Compensation in excess of:            .
		
	 ̈	  	(i) Bonuses. The Plan excludes bonuses.
		
	 ̈	  	(j) Overtime. The Plan excludes overtime.
		
	 ̈	  	(k) Commissions. The Plan excludes commissions.
		
	 ̈	  	(l) Nonelective contributions. The following modifications apply to the definition of Compensation for nonelective
contributions:            .
		
	 ̈	  	(m) Deferral contributions. The following modifications apply to the definition of Compensation for deferral
contributions:            .
		
	 ̈	  	(n) Matching contributions. The following modifications apply to the definition of Compensation for matching
contributions:            .
	
	5. PLAN YEAR/LIMITATION YEAR (1.24). Plan Year and Limitation Year mean the 12-consecutive month period (except for a
short Plan Year) ending every: (Choose (a)
or (b). Choose (c) if applicable)
		
	x	  	(a) December 31.
		
	 ̈	  	(b) Other:        .
		
	 ̈	  	(c) Short Plan Year: commencing on:                     and ending
on:                    .
		
	6.	  	EFFECTIVE DATE (1.10). The Employer’s adoption of the Plan is a: (Choose one of (a) or (b))
		
	 ̈	  	(a) New Plan. The Effective Date of the Plan is:            .
		
	x	  	(b) Restated Plan. The restated Effective Date is: January 1, 2002.
		
	 	  	This Plan is an amendment and restatement of an existing retirement plan(s) originally established effective as of: January 1, 1999.
	
	7. HOUR OF SERVICE/ELAPSED TIME METHOD (1.15). The crediting method for Hours of Service is: (Choose one or more of
(a) through (d) as
applicable)
		
	x	  	(a) Actual Method. See Plan Section 1.15(B).

  

					
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	 ̈	 	 	 	  	(b) Equivalency Method. The Equivalency Method is:             . [Note: Insert “daily,”
“weekly,” “semi-monthly payroll periods” or “monthly.” ] See Plan Section 1.15(C).
			
	 ̈	 	 	 	  	(c) Combination Method. In lieu of the Equivalency Method specified in (b), the Actual Method applies for purposes of:
            .
			
	 ̈	 	 	 	  	(d) Elapsed Time Method. In lieu, of crediting Hours of Service, the Elapsed Time Method applies for purposes of crediting Service for: (Choose one or more of (1), (2) or (3) as
applicable)
			
	 	 	 ̈	 	  	 (1) Eligibility under Article II.

			
	 	 	 ̈	 	  	 (2) Vesting under Article V.

			
	 	 	 ̈	 	  	 (3) Contribution allocations under Article III.

  
 8. PREDECESSOR EMPLOYER SERVICE
(1.30). In addition to the predecessor service the Plan must credit by reason of Section 1.30 of the Plan, the Plan credits as Service under this Plan service with the following predecessor employer(s): N/A. 
  
 [Note: If the Plan does not credit any additional predecessor service under this Section
1.30, insert “N/A” in the blank line. The Employer also may elect to credit predecessor service with specified Participating Employers only. See the Participation Agreement.] Service with the designated predecessor employer(s) applies:
(Choose one or more of (a) through (d) as applicable) 
  

						
	 ̈	  	(a	)	 	Eligibility. For eligibility under Article II. See Plan Section 1.30 for time of Plan entry.
			
	 ̈	  	(b	)	 	Vesting. For vesting under Article V.
			
	 ̈	  	(c	)	 	Contribution allocation. For contribution allocations under Article III.
			
	 ̈	  	(d	)	 	Exceptions. Except for the following Service:             .

  
 ARTICLE II

 ELIGIBILITY REQUIREMENTS 
  
 9. ELIGIBILITY (2.01). 
  
 Eligibility conditions. To become a Participant in the Plan, an Employee must satisfy the following eligibility conditions: (Choose one or more of (a) through
(e) as applicable) [Note: If the Employer does not elect (c), the Employer’s elections under (a) and (b) apply to all types of contributions. The Employer as to deferral contributions may not elect (b)(2) and may not elect more than 12 months
in (b)(4) and (b)(5).] 
  

						
	x	  	 	 	  	(a) Age. Attainment of age 21 (not to exceed age 21).
			
	x	  	 	 	  	(b) Service. Service requirement. (Choose one of (1) through (5))
			
	 	  	 ̈	 	  	(1) One Year of Service.
			
	 	  	 ̈	 	  	(2) Two Years of Service, without an intervening Break in Service. See Plan Section 2.03(A).
			
	 	  	x	 	  	(3) One Hour of Service (immediate completion of Service requirement). The Employee satisfies the Service requirement on his/her Employment Commencement Date.
			
	 	  	 ̈	 	  	(4)          months (not exceeding 24).
			
	 	  	 ̈	 	  	(5) An Employee must complete              Hours of Service within the
         time period following the Employee’s Employment Commencement Date. If an Employee does not complete the stated Hours of Service during the specified time period (if any), the Employee is
subject to the One Year of Service requirement. [Note: The number of hours may not exceed 1,000 and the time period may not exceed 24 months. If the Plan does not require the Employee to satisfy the Hours of Service requirement within a specified
time period, insert “N/A” in the second blank line.]

  
  

					
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	 ̈	(c) Alternative 401(k)/401(m) eligibility conditions. In lieu of the elections in (a) and (b), the Employer elects the following eligibility conditions for the following
types of contributions: (Choose (1) or (2) or both if the Employer wishes to impose less restrictive eligibility conditions for deferral/Employee contributions or for matching contributions) 

  

						
	(1)	  	     ̈	 	  	Deferral/Employee contributions: (Choose one of a. through d. Choose e. if applicable)
			
	a.	  	 ̈	 	  	One Year of Service
			
	b.	  	 ̈	 	  	One Hour of Service (immediate completion of Service requirement)
			
	c.	  	 ̈	 	  	             months (not exceeding 12)
			
	d.	  	 ̈	 	  	An Employee must complete              Hours of Service within the
             time period following an Employee’s Employment Commencement Date. If an Employee does not complete the stated Hours of Service during the specified time period (if
any), the Employee is subject to the One Year of Service requirement. [Note: The number of hours may not exceed 1,000 and the time period may not exceed 12 months. If the Plan does not require the Employee to satisfy the Hours of Service
requirement within a specified time period, insert “N/A” in the second blank line. ]
			
	e.	  	 ̈	 	  	Age         (not exceeding age 21)
			
	(2)	  	     ̈	 	  	Matching contributions: (Choose one of f. through i. Choose j. if applicable)
			
	f.	  	 ̈	 	  	One Year of Service
			
	g.	  	 ̈	 	  	One Hour of Service (immediate completion of Service requirement)
			
	h.	  	 ̈	 	  	             months (not exceeding 24)
			
	i.	  	 ̈	 	  	An Employee must complete              Hours of Service within the
             time period following an Employee’s Employment Commencement Date. If an Employee does not complete the stated Hours of Service during the specified time period (if
any), the Employee is subject to the One Year of Service requirement. [Note: The number of hours may not exceed 1,000 and the time period may not exceed 24 months. If the Plan does not require the Employee to satisfy the Hours of Service
requirement within a specified time period, insert “N/A” in the second blank line. ]
			
	j.	  	 ̈	 	  	Age         (not exceeding age 21)

  

	 ̈	(d) Service requirements:              

  
 [Note: Any Service requirement the Employer elects in (d) must be
available under other Adoption Agreement elections or a combination thereof.] 
  

	 ̈	(e) Dual eligibility. The eligibility conditions of this Section 2.01 apply solely to an Employee employed by the Employer after
            . If the Employee was employed by the Employer by the specified date, the Employee will become a Participant on the latest of: (i) the Effective Date; (ii) the restated
Effective Date; (iii) the Employee’s Employment Commencement Date; or (iv) on the date the Employee attains age         (not exceeding age 21). 

  
 Plan Entry Date. “Plan Entry Date” means the Effective Date and: (Choose
one of (f) through (j). Choose (k) if applicable) [Note: If the Employer does not elect (k), the elections under (f) through (j) apply to all types of contributions. The Employer must elect at least one Entry Date per Plan Year.]

  

	 ̈	(f) Semi-annual Entry Dates. The first day of the Plan Year and the first day of the seventh month of the Plan Year. 

  

	 ̈	(g) The first day of the Plan Year. 

  

	x	(h) Employment Commencement Date (immediate eligibility). 

  

	 ̈	(i) The first day of each:              (e.g., “Plan Year quarter”). 

  

	 ̈	(j) The following Plan Entry Dates:             . 

  

					
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	 ̈	(k) Alternative 401(k)/401(m) Plan Entry Date(s). For the alternative 401(k)/401(m) eligibility conditions under (c), Plan Entry Date means: (Choose (1) or (2) or both as
applicable) 

  

			
	 (1)     ̈
Deferral/Employee contributions
	  	 (2)     ̈
Matching contributions

	 (Choose one of a. through d.)
	  	 (Choose one of e. through h.)

		
	 a.       ̈ Semi-annual Entry Dates
	  	 e.       ̈ Semi-annual Entry Dates

	 b.       ̈ The first day of the Plan Year
	  	 f.        ̈ The first day of the Plan Year

	 c.       ̈ Employment Commencement Date
	  	 g.       ̈ Employment Commencement Date

	     (immediate eligibility)
	  	     (immediate eligibility)

	 d.       ̈ The first day of each:             
	  	 h.       ̈ The first day of each:             

  
 Time of participation. An
Employee will become a Participant, unless excluded under Section 1.11, on the Plan Entry Date (if employed on that date): (Choose one of (l), (m) or (n). Choose (o) if applicable): [Note: If the Employer does not elect (o), the election
under (l), (m) or (n) applies to all types of contributions.] 
  

	x	(l) Immediately following or coincident with 

  

	 ̈	(m) Immediately preceding or coincident with 

  

	 ̈	(n) Nearest 

  

	 ̈	(o) Alternative 401(k)/401(m) election(s): (Choose (1) or (2) or both as applicable) 

  

			
	 (1)     ̈
Deferral contributions
	  	 (2)     ̈
Matching contributions

	 	  	 (Choose one of b., c or d.)

		
	 a.       ̈ Immediately following or coincident with
	  	 b.     ̈ Immediately following or coincident with

	 	  	 c.     ̈ Immediately preceding or coincident with

	 	  	 d.     ̈ Nearest

  
 the date the Employee completes the
eligibility conditions described in this Section 2.01. [Note: Unless otherwise excluded under Section 1.11, an Employee must become a Participant by the earlier of: (1) the first day of the Plan Year beginning after the date the Employee
completes the age and service requirements of Code §410(a); or (2) 6 months after the date the Employee completes those requirements.] 
  
 10. YEAR OF SERVICE - ELIGIBILITY (2.02). (Choose (a) and (b) as applicable): [Note: If the Employer does not elect a Year of Service condition or
elects the Elapsed Time Method, the Employer should not complete (a) or (b).] 
  

	x	(a) Year of Service. An Employee must complete 1,000 Hour(s) of Service during an eligibility computation period to receive credit for a Year of Service under Article II:
[Note: The number may not exceed 1,000. If left blank, the requirement is 1,000.] 

  

	x	(b) Eligibility computation period. After the initial eligibility computation period described in Plan Section 2.02, the Plan measures the eligibility computation period as:
(Choose one of (1) or (2)) 

  

	 	x	(1) The Plan Year beginning with the Plan Year which includes the first anniversary of the Employee’s Employment Commencement Date. 

  

	 	 ̈	(2) The 12-consecutive month period beginning with each anniversary of the Employee’s Employment Commencement Date. 

  
 11. PARTICIPATION - BREAK IN SERVICE (2.03). The one year hold-out rule
described in Plan Section 2.03(B): (Choose one of (a), (b) or (c)) 
  

	x	(a) Not applicable. Does not apply to the Plan. 

  

	 ̈	(b) Applicable. Applies to the Plan and to all Participants. 

  

	 ̈	(c) Limited application. Applies to the Plan, but only to a Participant who has incurred a Separation from Service. 

  
 12. ELECTION NOT TO PARTICIPATE (2.06). The Plan: (Choose one of (a) or
(b)) 
  

	x	(a) Election not permitted. Does not permit an eligible Employee to elect not to participate. 

  
  

					
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	 ̈	(b) Irrevocable election. Permits an Employee to elect not to participate if the Employee makes a one-time irrevocable election prior to the Employee’s Plan Entry Date.

  
 ARTICLE III 
 EMPLOYER CONTRIBUTIONS, DEFERRAL CONTRIBUTIONS AND FORFEITURES 
  
 13. AMOUNT AND TYPE (3.01). The amount and type(s) of the Employer’s contribution to the Trust for a Plan Year or other
specified period will equal: (Choose one or more of (a) through (f) as applicable) 
  

	x	(a) Deferral contributions (401(k) arrangement). The dollar or percentage amount by which each Participant has elected to reduce his/her Compensation, as provided in the
Participant’s salary reduction agreement and in accordance with Section 3.02. 

  

	x	(b) Matching contributions (other than safe harbor matching contributions under Section 3.01(d)). The matching contributions made in accordance with Section 3.03.

  

	x	(c) Nonelective contributions (profit sharing). The following nonelective contribution (Choose (1) or (2) or both as applicable): [Note: The Employer may designate
as a qualified nonelective contribution, all or any portion of its nonelective contribution. See Plan Section 3.04(F).] 

  

	 	x	(1) Discretionary. An amount the Employer in its sole discretion may determine. 

  

	 	 ̈	(2) Fixed. The following amount:              

  

	 ̈	(d) 401(k) safe harbor contributions. The following 401(k) safe harbor contributions described in Plan Section 14.02(D): (Choose one of (1), (2) or (3). Choose (4), if
applicable) 

  

	 	 ̈	(1) Safe harbor nonelective contribution. The safe harbor nonelective contribution equals              % of
a Participant’s Compensation [Note: the amount in the blank must be at least 3%.]. 

  

	 	 ̈	(2) Basic safe harbor matching contribution. A matching contribution equal to 100% of each Participant’s deferral contributions not exceeding 3% of the
Participant’s Compensation, plus 50% of each Participant’s deferral contributions in excess of 3% but not in excess of 5% of the Participant’s Compensation. For this purpose, “Compensation” means Compensation for:
            . [Note: The Employer must complete the blank line with the applicable time period for computing the Employer’s basic safe harbor match, such as “each
payroll period,” “each month,” “each Plan Year quarter” or “the Plan Year”.] 

  

	 	 ̈	(3) Enhanced safe harbor matching contribution. (Choose one of a. or b.). 

  

	 	 ̈	a. Uniform percentage. An amount equal to             % of each Participant’s deferral contributions
not exceeding             % of the Participant’s Compensation. For this purpose, “Compensation” means Compensation for:
             . [See the Note in (d)(2).] 

  

	 	 ̈	b. Tiered formula. An amount equal to the specified matching percentage for the corresponding level of each Participant’s deferral contribution percentage. For this
purpose, “Compensation” means Compensation for:             . [See the Note in (d)(2).] 

  

			
	 Deferral Contribution Percentage

	 	 Matching Percentage

	_______	 	_______
	_______	 	_______
	_______	 	_______

  
 [Note: The matching
percentage may not increase as the deferral contribution percentage increases and the enhanced matching formula otherwise must satisfy the requirements of Code §§401(k)(12)(B)(ii) and (iii). If the Employer wishes to avoid ACP testing on
its enhanced safe harbor matching contribution, the Employer also must limit deferral contributions taken into account (the “Deferral Contribution Percentage”) for the matching contribution to 6% of Plan Year Compensation.] 

 

	 	 ̈	(4) Another plan. The Employer will satisfy the 401(k) safe harbor contribution in the following plan:
             . 

  

	 ̈	 (e) Davis-Bacon contributions. The amount(s) specified for the applicable Plan Year or other applicable period in the Employer’s Davis-Bacon
contract(s). The Employer will make a contribution only to Participants covered by the contract and only with respect to Compensation paid under the contract. If the Participant accrues an allocation of 

  

					
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nonelective contributions (including forfeitures) under the Plan in addition to the Davis-Bacon contribution, the Plan Administrator will: (Choose one of
(1) or (2)) 

  

	 	 ̈	(1) Not reduce the Participant’s nonelective contribution allocation by the Davis-Bacon contribution. 

  

	 	 ̈	(2) Reduce the Participant’s nonelective contribution allocation by the Davis-Bacon contribution. 

  

	 ̈	(f) Frozen Plan. This Plan is a frozen Plan effective:             . For any period following the specified
date, the Employer will not contribute to the Plan, a Participant may not contribute and an otherwise eligible Employee will not become a Participant in the Plan. 

  
 14. DEFERRAL CONTRIBUTIONS (3.02). The following limitations and terms apply to an Employee’s deferral contributions:
(If the Employer elects Section 3.01 (a), the Employer must elect (a). Choose (b) or (c) as applicable) 
  

	x	(a) Limitation on amount. An Employee’s deferral contributions are subject to the following limitation(s) in addition to those imposed by the Code: (Choose
(1), (2) or (3) as applicable) 

  

	 	 ̈	(1) Maximum deferral amount:             . 

  

	 	 ̈	(2) Minimum deferral amount:             . 

  

	 	x	(3) No limitations. 

  
 For the Plan Year in which an Employee first becomes a Participant, the Plan Administrator will apply any percentage limitation the Employer elects in (1) or (2) to the Employee’s Compensation: (Choose one of
(4) or (5) unless the Employer elects (3)) 
  

	 	 ̈	(4) Only for the portion of the Plan Year in which the Employee actually is a Participant. 

  

	 	 ̈	(5) For the entire Plan Year. 

  

	 ̈	(b) Negative deferral election. The Employer will withhold         % from the Participant’s Compensation unless the
Participant elects a lesser percentage (including zero) under his/her salary reduction agreement. See Plan Section 14.02(C). The negative election will apply to: (Choose one of (1) or (2)) 

  

	 	 ̈	(1) All Participants who have not deferred at least the automatic deferral amount as of:             

  

	 	 ̈	(2) Each Employee whose Plan Entry Date is on or following the negative election effective date. 

  

	 ̈	(c) Cash or deferred contributions. For each Plan Year for which the Employer makes a designated cash or deferred contribution under Plan Section 14.02(B), a Participant may
elect to receive directly in cash not more than the following portion (or, if less, the 402(g) limitation) of his/her proportionate share of that cash or deferred contribution: (Choose one of (1) or (2)) 

  

					
	 	 	  ̈        (1) All or any portion.
	  	  ̈        (2)     %.

  
 Modification/revocation of salary
reduction agreement. A Participant prospectively may modify or revoke a salary reduction agreement, or may file a new salary reduction agreement following a prior revocation, at least once per Plan Year or during any election period specified by
the basic plan document or required by the Internal Revenue Service. The Plan Administrator also may provide for more frequent elections in the Plan’s salary reduction agreement form. 
  
 15. MATCHING CONTRIBUTIONS (INCLUDING ADDITIONAL SAFE HARBOR MATCH UNDER PLAN SECTION
14.02(D)(3)) (3.03). The Employer matching contribution is: (If the Employer elects Section 3.01(b), the Employer must select one or more of (a), (b) or (c) as applicable. Choose (d) if applicable) 
  

	 ̈	(a) Fixed formula. An amount equal to     % of each Participant’s deferral contributions. 

  

	x	(b) Discretionary formula. An amount (or additional amount) equal to a matching percentage the Employer from time to time may deem advisable of the Participant’s
deferral contributions. The Employer, in its sole discretion, may designate as a qualified matching contribution, all or any portion of its discretionary matching contribution. The portion of the Employer’s discretionary matching contribution
for a Plan Year not designated as a qualified matching contribution is a regular matching contribution. 

  

					
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	 ̈	(c) Multiple level formula. An amount equal to the following percentages for each level of the Participant’s deferral contributions. [Note: The matching percentage
only will apply to deferral contributions in excess of the previous level and not in excess of the stated deferral contribution percentage.] 

  

			
	 Deferral Contributions

	  	Matching Percentage

	 _______
	  	_______
	 _______
	  	_______
	 _______
	  	_______

  

	 ̈	(d) Related Employers. If two or more Related Employers contribute to this Plan, the Plan Administrator will allocate matching contributions and matching contribution
forfeitures only to the Participants directly employed by the contributing Employer. The matching contribution formula for the other Related Employer(s) is:             .[Note: If
the Employer does not elect (d), the Plan Administrator will allocate all matching contributions and matching forfeitures without regard to which contributing Related Employer directly employs the Participant.] 

  
 Time period for matching contributions. The Employer will determine its matching
contribution based on deferral contributions made during each: (Choose one of (e) through (h)) 
  

	x	(e) Plan Year. 

  

	 ̈	(f) Plan Year quarter. 

  

	 ̈	(g) Payroll period. 

  

	 ̈	(h) Alternative time period:             . [Note: Any alternative time period the Employer elects in (h)
must be the same for all Participants and may not exceed the Plan Year.] 

  
 Deferral contributions taken into account. In determining a Participant’s deferral contributions taken into account for the above-specified time period under the matching contribution formula, the
following limitations apply: (Choose one of (i), (j) or (k)) 
  

	 ̈	(i) All deferral contributions. The Plan Administrator will take into account all deferral contributions. 

  

	 ̈	(j) Specific limitation. The Plan Administrator will disregard deferral contributions exceeding          % of the
Participant’s Compensation. [Note: To avoid the ACP test in a safe harbor 401(k) plan, the Employer must limit deferrals and Employee contributions which are subject to match to 6% of Plan Year Compensation.] 

  

	 ̈	(k) Discretionary. The Plan Administrator will take into account the deferral contributions as a percentage of the Participant’s Compensation as the Employer determines.

  
 Other matching contribution requirements. The matching
contribution formula is subject to the following additional requirements: (Choose (l) or (m) or both if applicable) 
  

	 ̈	(l) Matching contribution limits. A Participant’s matching contributions may not exceed: (Choose one of (1) or (2)) 

  

	 	 ̈	(1)             . [Note: The Employer may elect (1) to place an overall dollar or percentage limit on matching
contributions.] 

  

	 	 ̈	(2) 4% of a Participant’s Compensation for the Plan Year under the discretionary matching contribution formula. [Note: The Employer must elect (2) if it elects a
discretionary matching formula with the safe harbor 401(k) contribution formula and wishes to avoid the ACP test.] 

  

	 ̈	(m) Qualified matching contributions. The Plan Administrator will allocate as qualified matching contributions, the matching contributions specified in Adoption Agreement
Section:            . The Plan Administrator will allocate all other matching contributions as regular matching contributions. [Note: If the Employer elects two matching formulas,
the Employer may use (m) to designate one of the formulas as a qualified matching contribution.] 

  
 16. CONTRIBUTION ALLOCATION (3.04). 
  
 Employer nonelective contributions (3.04(A)).The Plan Administrator will allocate the Employer’s nonelective contribution under the following contribution
allocation formula: (Choose one of (a), (b) or (c). Choose (d) if applicable) 
  

	x	(a) Nonintegrated (pro rata) allocation formula. 

  

					
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	 ̈	(b) Permitted disparity. The following permitted disparity formula and definitions apply to the Plan: (Choose one of (1) or (2). Also choose (3))

  

	 	 ̈	(1) Two-tiered allocation formula. 

  

	 	 ̈	(2) Four-tiered allocation formula. 

  

	 	 ̈	(3) For purposes of Section 3.04(b), “Excess Compensation” means Compensation in excess of: (Choose one of a. or b.) 

  

	 	 ̈	a.          % of the taxable wage base in effect on the first day of the Plan Year, rounded to the next highest
$         (not exceeding the taxable wage base). 

  

	 	 ̈	b. The following integration level:            . 

 [Note: The integration level cannot exceed the taxable wage base in effect for the Plan Year for which this Adoption Agreement first is
effective.] 
  

	 ̈	(c) Uniform points allocation formula. Under the uniform points allocation formula, a Participant receives: (Choose (1) or both (1) and (2) as applicable)

  

	 	 ̈	(1)              point(s) for each Year of Service. Year of Service means:
            . 

  

	 	 ̈	(2) One point for each $         [not to exceed $200] increment of Plan Year Compensation. 

  

	 ̈	(d) Incorporation of contribution formula. The Plan Administrator will allocate the Employer’s nonelective contribution under Section(s) 3.01(c)(2), (d)(1) or (e) in
accordance with the contribution formula adopted by the Employer under that Section. 

  
 Qualified nonelective contributions. (3.04(F)). The Plan Administrator will allocate the Employer’s qualified nonelective contributions to: (Choose one of (e) or (f)) 
  

	x	(e) Nonhighly compensated Employees only. 

  

	 ̈	(f) All Participants. 

  
 Related Employers. (Choose (g) if applicable) 
  

	 ̈	(g) Allocate only to directly employed Participants. If two or more Related Employers adopt this Plan, the Plan Administrator will allocate all nonelective contributions and
forfeitures attributable to nonelective contributions only to the Participants directly employed by the contributing Employer. If a Participant receives Compensation from more than one contributing Employer, the Plan Administrator will determine the
allocations under this Section 3.04 by prorating the Participant’s Compensation between or among the participating Related Employers. [Note: If the Employer does not elect 3.04(g), the Plan Administrator will allocate all nonelective
contributions and forfeitures without regard to which contributing Related Employer directly employs the Participant. The Employer may not elect 3.04(g) under a safe harbor 401 (k) Plan.] 

  
 17. FORFEITURE ALLOCATION (3.05). The Plan Administrator will allocate a
Participant forfeiture: (Choose one or more of (a), (b) or (c) as applicable) [Note: Even if the Employer elects immediate vesting, the Employer should complete Section 3.05. See Plan Section 9.11.] 
  

	x	(a) Matching contribution forfeitures. To the extent attributable to matching contributions: (Choose one of (1) through (4)) 

  

	 	 ̈	(1) As a discretionary matching contribution. 

  

	 	x	(2) To reduce matching contributions. 

  

	 	 ̈	(3) As a discretionary nonelective contribution. 

  

	 	 ̈	(4) To reduce nonelective contributions. 

  

					
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	x	(b) Nonelective contribution forfeitures. To the extent attributable to Employer nonelective contributions: (Choose one of (1) through (4)) 

 

	 	 ̈	(1) As a discretionary nonelective contribution. 

  

	 	x	(2) To reduce nonelective contributions. 

  

	 	 ̈	(3) As a discretionary matching contribution. 

  

	 	 ̈	(4) To reduce matching contributions. 

  

	 ̈	(c) Reduce administrative expenses. First to reduce the Plan’s ordinary and necessary administrative expenses for the Plan Year and then allocate any remaining
forfeitures in the manner described in Sections 3.05(a) or (b) as applicable. 

  
 Timing of forfeiture allocation. The Plan Administrator will allocate forfeitures under Section 3.05 in the Plan Year: (Choose one of (d) or (e)) 
  

	 ̈	(d) In which the forfeiture occurs. 

  

	x	(e) Immediately following the Plan Year in which the forfeiture occurs. 

  
 18. ALLOCATION CONDITIONS (3.06). 
  
 Allocation conditions. The Plan does not apply any allocation conditions to deferral contributions, 401(k) safe harbor contributions (under Section 3.01(d)) or to
Davis-Bacon contributions (except as the Davis-Bacon contract provides). To receive an allocation of matching contributions, nonelective contributions, qualified nonelective contributions or Participant forfeitures, a Participant must satisfy the
following allocation condition(s): (Choose one or more of (a) through (i) as applicable) 
  

	 ̈	(a) Hours of Service condition. The Participant must complete at least the specified number of Hours of Service (not exceeding 1,000) during the Plan Year:
            . 

  

	 ̈	(b) Employment condition. The Participant must be employed by the Employer on the last day of the
             (designate time period). 

  

	x	(c) No allocation conditions. 

  

	 ̈	(d) Elapsed Time Method. The Participant must complete at least the specified number (not exceeding 182) of consecutive calendar days of employment with the Employer during
the Plan Year:             . 

  

	 ̈	(e) Termination of Service/501 Hours of Service coverage rule. The Participant either must be employed by the Employer on the last day of the Plan Year or must complete at
least 501 Hours of Service during the Plan Year. If the Plan uses the Elapsed Time Method of crediting Service, the Participant must complete at least 91 consecutive calendar days of employment with the Employer during the Plan Year.

  

	 ̈	(f) Special allocation conditions for matching contributions. The Participant must complete at least
             Hours of Service during the              (designate time period) for the matching contributions
made for that time period. 

  

	 ̈	(g) Death, Disability or Normal Retirement Age. Any condition specified in Section 3.06             
applies if the Participant incurs a Separation from Service during the Plan Year on account of:              (e.g., death, Disability or Normal Retirement Age).

  

	 ̈	(h) Suspension of allocation conditions for coverage. The suspension of allocation conditions of Plan Section 3.06(E) applies to the Plan. 

  

	 ̈	(i) Limited allocation conditions. The Plan does not impose an allocation condition for the following types of contributions:
            . [Note: Any election to limit the Plan’s allocation conditions to certain contributions must be the same for all Participants, be definitely determinable and not
discriminate in favor of Highly Compensated Employees.] 

  
 ARTICLE IV 
 PARTICIPANT CONTRIBUTIONS 
  
 19. EMPLOYEE (AFTER TAX) CONTRIBUTIONS (4.02). The following elections apply to
Employee contributions: (Choose one of (a) or (b). Choose (c) if applicable) 
  

	x	(a) Not permitted. The Plan does not permit Employee contributions. 

  

					
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	 ̈	(b) Permitted. The Plan permits Employee contributions subject to the following limitations:             .
[Note: Any designated limitation(s) must be the same for all Participants, be definitely determinable and not discriminate in favor of Highly Compensated Employees.] 

  

	 ̈	(c) Matching contribution. For each Plan Year, the Employer’s matching contribution made with respect to Employee contributions is:
            . 

  
 ARTICLE V 
 VESTING REQUIREMENTS 
  
 20. NORMAL/EARLY RETIREMENT AGE (5.01). A Participant attains Normal Retirement Age (or Early Retirement Age, if applicable)
under the Plan on the following date: (Choose one of (a) or (b). Choose (c) if applicable) 
  

	x	(a) Specific age. The date the Participant attains age 65. [Note: The age may not exceed age 65.] 

  

	 ̈	(b) Age/participation. The later of the date the Participant attains              years of age or the
             anniversary of the first day of the Plan Year in which the Participant commenced participation in the Plan. [Note: The age may not exceed age 65 and the anniversary
may not exceed the 5th.] 

  

	 ̈	(c) Early Retirement Age. Early Retirement Age is the later of: (i) the date a Participant attains age
             or (ii) the date a Participant reaches his/her              anniversary of the first day of the Plan
Year in which the Participant commenced participation in the Plan. 

  
 21. PARTICIPANT’S DEATH OR DISABILITY (5.02). The 100% vesting rule under Plan Section 5.02 does not apply to: (Choose (a) or (b) or both as applicable) 
  

	 ̈	(a) Death. 

  

	 ̈	(b) Disability. 

  
 22. VESTING SCHEDULE (5.03). A Participant has a 100% Vested interest at all times in his/her deferral contributions, qualified nonelective contributions, qualified matching contributions, 401(k) safe
harbor contributions and Davis-Bacon contributions (unless otherwise indicated in (f)). The following vesting schedule applies to Employer regular matching contributions and to Employer nonelective contributions: (Choose (a) or choose one or more
of (b) through (f) as applicable) 
  

	x	(a) Immediate vesting. 100% Vested at all times. [Note: The Employer must elect (a) if the Service condition under Section 2.01 exceeds One Year of Service or more than
twelve months.] 

  

	 ̈	(b) Top-heavy vesting schedules. [Note: The Employer must choose one of (b)(1), (2) or (3) if it does not elect (a).] 

  

			
	  ̈        (1) 6-year graded as specified in the Plan.

	
	  ̈        (2) 3-year cliff as specified in the Plan.

	
	  ̈        (3) Modified top-heavy schedule

  

				
	 Years of
 Service

	  	Vested
Percentage

	 
	 Less than 1
	  	        	%
	 1
	  	        	%
	 2
	  	        	%
	 3
	  	        	%
	 4
	  	        	%
	 5
	  	        	%
	 6 or more
	  	100	%

  

					
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	  ̈        (c) Non-top-heavy vesting schedules. [Note: The Employer may elect one of (c)(1), (2) or (3) in addition to (b).]

  

			
	  ̈        (1) 7-year graded as specified in the Plan.

	
	  ̈        (2) 5-year cliff as specified in the Plan.

	
	  ̈        (3) Modified non-top-heavy schedule

  

				
	 Years of
 Service

	  	Vested
Percentage

	 
	 Less than 1
	  	        	%
	 1
	  	        	%
	 2
	  	        	%
	 3
	  	        	%
	 4
	  	        	%
	 5
	  	        	%
	 6
	  	        	%
	 7 or more
	  	100	%

  
 If the Employer does not elect (c),
the vesting schedule elected in (b) applies to all Plan Years. [Note: The modified top-heavy schedule of (b)(3) must satisfy Code §416. If the Employer elects (c) (3), the modified non-top-heavy schedule must satisfy Code
§411(a)(2).] 
  

	 ̈	(d) Separate vesting election for regular matching contributions. In lieu of the election under (a), (b) or (c), the following vesting schedule applies to a
Participant’s regular matching contributions: (Choose one of (1) or (2)) 

  

	 	 ̈	(1) 100% Vested at all times. 

  

	 	 ̈	(2) Regular matching vesting schedule:             . 

	 	    	[Note: The vesting schedule completed under (d)(2) must comply with Code §411(a)(4).] 

  

	 ̈	(e) Application of top-heavy schedule. The non-top-heavy schedule elected under (c) applies in all Plan Years in which the Plan is not a top-heavy plan. [Note: If the
Employer does not elect (e), the top-heavy vesting schedule will apply for the first Plan Year in which the Plan is top-heavy and then in all subsequent Plan Years.] 

  

	 ̈	(f) Special vesting provisions:             . [Note: Any special vesting provision must satisfy Code
§411(a). Any special vesting provision must be definitely determinable, not discriminate in favor of Highly Compensated Employees and not violate Code §401(a)(4).] 

  
 23. YEAR OF SERVICE - VESTING (5.06). (Choose (a) and (b)): [Note: If
the Employer elects the Elapsed Time Method or elects immediate vesting, the Employer should not complete (a) or (b).] 
  

	 ̈	(a) Year of Service. An Employee must complete at least              Hours of Service during a vesting
computation period to receive credit for a Year of Service under Article V. [Note: The number may not exceed 1,000. If left blank, the requirement is 1,000.] 

  

	 ̈	(b) Vesting computation period. The Plan measures a Year of Service on the basis of the following 12-consecutive month period: (Choose one of (1) or (2))

  

	 	 ̈	(1) Plan Year. 

  

	 	 ̈	(2) Employment year (anniversary of Employment Commencement Date). 

  
 24. EXCLUDED YEARS OF SERVICE - VESTING (5.08). The Plan excludes the following Years of Service for purposes of vesting: (Choose (a) or choose one or
more of (b) through (f) as applicable) 
  

	 ̈	(a) None. None other than as specified in Plan Section 5.08(a). 

  

					
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	 ̈	(b) Age 18. Any Year of Service before the Year of Service during which the Participant attained the age of 18. 

  

	 ̈	(c) Prior to Plan establishment. Any Year of Service during the period the Employer did not maintain this Plan or a predecessor plan. 

  

	 ̈	(d) Parity Break in Service. Any Year of Service excluded under the rule of parity. See Plan Section 5.10. 

  

	 ̈	(e) Prior Plan terms. Any Year of Service disregarded under the terms of the Plan as in effect prior to this restated Plan. 

  

	 ̈	(f) Additional exclusions. Any Year of Service before:            . 

	    	[Note: Any exclusion specified under (f) must comply with Code §411(a)(4). Any exclusion must be definitely determinate, not discriminate in favor of Highly Compensated
Employees and not violate Code §401(a)(4). If the Employer elects immediate vesting, the Employer should not complete Section 5.08.] 

  
 ARTICLE VI 
 DISTRIBUTION OF ACCOUNT
BALANCE 
  
 25. TIME OF PAYMENT OF ACCOUNT BALANCE (6.01). The
following time of distribution elections apply to the Plan: 
  
 Separation
from Service/Vested Account Balance not exceeding $5,000. Subject to the limitations of Plan Section 6.01(A)(1), the Trustee will distribute in a lump sum (regardless of the Employer’s election under Section 6.04) a separated
Participant’s Vested Account Balance not exceeding $5,000: (Choose one of (a) through (d)) 
  

	x	(a) Immediate. As soon as administratively practicable following the Participant’s Separation from Service. 

  

	 ̈	(b) Designated Plan Year. As soon as administratively practicable in the              Plan Year beginning
after the Participant’s Separation from Service. 

  

	 ̈	(c) Designated Plan Year quarter. As soon as administratively practicable in the              Plan Year
quarter beginning after the Participant’s Separation from Service. 

  

	 ̈	(d) Designated distribution. As soon as administratively practicable in the:              following the
Participant’s Separation from Service. [Note: The designated distribution time must be the same for all Participants, be definitely determinable, not discriminate in favor of Highly Compensated Employees and not violate Code
§401(a)(4).] 

  
 Separation from Service/Vested
Account Balance exceeding $5,000. A separated Participant whose Vested Account Balance exceeds $5,000 may elect to commence distribution of his/her Vested Account Balance no earlier than: (Choose one of (e) through (i). Choose (j) if
applicable) 
  

	x	(e) Immediate. As soon as administratively practicable following the Participant’s Separation from Service. 

  

	 ̈	(f) Designated Plan Year. As soon as administratively practicable in the              Plan Year beginning
after the Participant’s Separation from Service. 

  

	 ̈	(g) Designated Plan Year quarter. As soon as administratively practicable in the              Plan Year
quarter following the Plan Year quarter in which the Participant elects to receive a distribution. 

  

	 ̈	(h) Normal Retirement Age. As soon as administratively practicable after the close of the Plan Year in which the Participant attains Normal Retirement Age and within the time
required under Plan Section 6.01 (A)(2). 

  

	 ̈	(i) Designated distribution. As soon as administratively practicable in the:              following the
Participant’s Separation from Service. [Note: The designated distribution time must be the same for all Participants, be definitely determinable, not discriminate in favor of Highly Compensated Employees and not violate Code
§401(a)(4).] 

  

	 ̈	(j) Limitation on Participant’s right to delay distribution. A Participant may not elect to delay commencement of distribution of his/her Vested Account Balance beyond
the later of attainment of age 62 or Normal Retirement Age. [Note: If the Employer does not elect (j), the Plan permits a Participant who has Separated from Service to delay distribution until his/her required beginning date. See.Plan Section
6.01 (A)(2).] 

  
 Participant elections prior to Separation
from Service. A Participant, prior to Separation from Service may elect any of the following distribution options in accordance with Plan Section 6.01(C). (Choose (k) or choose one or more of (l) through (o) as 

  

					
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	 	  	13	  	 

 
applicable). [Note: If the Employer elects any in-service distributions option, a Participant may elect to receive one in-service distribution per
Plan Year unless the Plan’s in-service distribution form provides for more frequent in-service distributions.] 
  

	 ̈	(k) None. A Participant does not have any distribution option prior to Separation from Service, except as may be provided under Plan Section 6.01(C).

  

	x	(l) Deferral contributions. Distribution of all or any portion (as permitted by the Plan) of a Participant’s Account Balance attributable to deferral contributions if:
(Choose one or more of (1), (2) or (3) as applicable) 

  

	 	x	(1) Hardship (safe harbor hardship rule). The Participant has incurred a hardship in accordance with Plan Sections 6.09 and 14.11 (A). 

  

	 	 ̈	(2) Age. The Participant has attained age         (Must be at least age 59 1/2). 

  

	 	x	(3) Disability. The Participant has incurred a Disability. 

  

	x	(m) Qualified nonelective contributions/qualified matching contributions/safe harbor contributions. Distribution of all or any portion of a Participant’s Account Balance
attributable to qualified nonelective contributions, to qualified matching contributions, or to 401(k) safe harbor contributions if (Choose (1) or (2) or both as applicable) 

  

	 	 ̈	(1) Age. The Participant has attained age              (Must be at least age 59 1/2).

  

	 	x	(2) Disability. The Participant has incurred a Disability. 

  

	x	(n) Nonelective contributions/regular matching contributions. Distribution of all or any portion of a Participant’s Vested Account Balance attributable to nonelective
contributions or to regular matching contributions if: (Choose one or more of (1) through (5) as applicable) 

  

	 	 ̈	(1) Age/Service conditions. (Choose one or more of a. through d. as applicable): 

  

	 	 ̈	a. Age. The Participant has attained age             . 

  

	 	 ̈	b. Two-year allocations. The Plan Administrator has allocated the contributions to be distributed for a period of not less than
             Plan Years before the distribution date. [Note: The minimum number of years is 2.] 

  

	 	 ̈	c. Five years of participation. The Participant has participated in the Plan for at least              Plan
Years. [Note: The minimum number of years is 5.] 

  

	 	 ̈	d. Vested. The Participant is             % Vested in his/her Account Balance. See Plan Section 5.03(A).
[Note: If an Employer makes more than one election under Section 6.01 (n)(l), a Participant must satisfy all conditions before the Participant is eligible for the distribution.] 

  

	 	 ̈	(2) Hardship. The Participant has incurred a hardship in accordance with Plan Section 6.09. 

  

	 	x	(3) Hardship (safe harbor hardship rule). The Participant has incurred a hardship in accordance with Plan Sections 6.09 and 14.11(A). 

  

	 	x	(4) Disability. The Participant has incurred a Disability. 

  

	 	 ̈	(5) Designated condition. The Participant has satisfied the following condition(s):            

	 	  	[Note: Any designated condition(s) must be the same for all Participants, be definitely determinable and not discriminate in favor of Highly Compensated Employees.]

  

	 ̈	(o) Participant contributions. Distribution of all or any portion of a Participant’s Account Balance attributable to the following Participant contributions described in
Plan Section 4.01: (Choose one of (1), (2) or (3)) 

  

	 	 ̈	(1) All Participant contributions. 

  

	 	 ̈	(2) Employee contributions only. 

  

	 	 ̈	(3) Rollover contributions only. 

  

					
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	 	  	14	  	 

 Participant loan default/offset. See Section 6.08 of the Plan. 
  
 26. DISTRIBUTION METHOD (6.03). A separated Participant whose Vested Account
Balance exceeds $5,000 may elect under one of the following method(s) of distribution described in Plan Section 6.03: (Choose one or more of (a) through (d) as applicable) 
  

	x	(a) Lump sum. 

  

	 ̈	(b) Installments. 

  

	 ̈	(c) Installments for required minimum distributions only. 

  

	 ̈	(d) Annuity distribution option(s):            . 

	    	[Note: Any optional method of distribution may not be subject to Employer, Plan Administrator or Trustee discretion.] 

  
 27. JOINT AND SURVIVOR ANNUITY REQUIREMENTS (6.04). The joint and survivor
annuity distribution its of Plan Section 6.04: (Choose one of (a) or (b)) 
  

	x	(a) Profit sharing plan exception. Do not apply to a Participant, unless the Participant is a Participant described in section 6.04(H) of the Plan. 

 

	 ̈	(b) Applicable. Apply to all Participants. 

  
 ARTICLE IX 
 PLAN ADMINISTRATOR -
DUTIES WITH RESPECT TO PARTICIPANTS’ ACCOUNTS 
  
 28. ALLOCATION OF
NET INCOME, GAIN OR LOSS (9.08). For each type of contribution provided under the Plan, the plan allocates net income, gain or loss using the following method: (Choose one or more of (a) through (e) as applicable) 
  

	x	(a) Deferral contributions/Employee contributions. (Choose one or more of (1) through (5) as applicable) 

  

	 	x	(1) Daily valuation method. Allocate on each business day of the Plan Year during which Plan assets for which there is an established market are valued and the Trustee is
conducting business. 

  

	 	 ̈	(2) Balance forward method. Allocate using the balance forward method. 

  

	 	 ̈	(3) Weighted average method. Allocate using the weighted average method, based on the following weighting period:
             See Plan Section 14.12. 

  

	 	 ̈	(4) Balance forward method with adjustment. Allocate pursuant to the balance forward method, except treat as part of the relevant Account at the beginning of the valuation
period              % of the contributions made during the following valuation period:             .

  

	 	 ̈	(5) Individual account method. Allocate using the individual account method. See Plan Section 9.08. 

  

	x	(b) Matching contributions. (Choose one or more of (1) through (5) as applicable) 

  

	 	x	(1) Daily valuation method. Allocate on each business day of the Plan Year during which Plan assets for which there is an established market are valued and the Trustee is
conducting business. 

  

	 	 ̈	(2) Balance forward method. Allocate using the balance forward method. 

  

	 	 ̈	(3) Weighted average method. Allocate using the weighted average method, based on the following weighting period:
            . See Plan Section 14.12. 

  

	 	 ̈	(4) Balance forward method with adjustment. Allocate pursuant to the balance forward method, except treat as part of the relevant Account at the beginning of the valuation
period             % of the contributions made during the following valuation period:             .

  

	 	 ̈	(5) Individual account method. Allocate using the individual account method. See Plan Section 9.08. 

  

					
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	 	  	15	  	 

	x	(c) Employer nonelective contributions. (Choose one or more of (1) through (5) as applicable) 

  

	 	x	(1) Daily valuation method. Allocate on each business day of the Plan Year during which Plan assets for which there is an established market are valued and the Trustee is
conducting business. 

  

	 	 ̈	(2) Balance forward method. Allocate using the balance forward method. 

  

	 	 ̈	(3) Weighted average method. Allocate using the weighted average method, based on the following weighting period:
             . See Plan Section 14.12. 

  

	 	 ̈	(4) Balance forward method with adjustment. Allocate pursuant to the balance forward method, except treat as part of the relevant Account at the beginning of the valuation
period              % of the contributions made during the following valuation period:             .

  

	 	 ̈	(5) Individual account method. Allocate using the individual account method. See Plan Section 9.08. 

  

	 ̈	(d) Specified method. Allocate pursuant to the following method:             . 

	    	[Note: The specified method must be a definite predetermined formula which is not based on Compensation, which satisfies the nondiscrimination requirements of Treas. Reg.
§1.401(a)(4) and which is applied uniformly to all Participants.] 

  

	 ̈	(e) Interest rate factor. In accordance with Plan Section 9.08(E), the Plan includes interest at the following rate on distributions made more than 90 days after the most
recent valuation date:             . 

  
 ARTICLE X 
 TRUSTEE AND CUSTODIAN,
POWERS AND DUTIES 
  
 29. INVESTMENT POWERS (10.03). The
following additional investment options or limitations apply under Plan Section 10.03: N/A. [Note: Enter “N/A” if not applicable.] 
  
 30. VALUATION OF TRUST (10.15). In addition to the last day of the Plan Year, the Trustee must value the Trust Fund on the following valuation date(s):
(Choose one of (a) through (d)) 
  

	 ̈	(a) Daily valuation dates. Each business day of the Plan Year on which Plan assets for which there is an established market are valued and the Trustee is conducting business.

  

	 ̈	(b) Last day of a specified period. The last day of each              of the Plan Year.

  

	 ̈	(c) Specified dates:             . 

  

	x	(d) No additional valuation dates. 

  

					
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	 	  	16

 Execution Page 
  
 The Trustee (and Custodian, if applicable), by executing this Adoption Agreement, accepts its position and agrees to all of
the obligations, responsibilities and duties imposed upon the Trustee (or Custodian) under the Prototype Plan and Trust. The Employer hereby agrees to the provisions of this Plan and Trust, and in witness of its agreement, the Employer by its duly
authorized officers, has executed this Adoption Agreement, and the Trustee (and Custodian, if applicable) has signified its acceptance, on: December 16, 2002 
  

			
	Name of Employer: Coley Pharmaceutical Group, Inc.
	 Employer’s EIN: 06-1506689

		
	 Signed:
	 	/s/    FRANK H.
MIKLAVIC        
	 	 	V.P., Global Human Resources
	 	 	[Name/Title]

					
		
	 Names(s) of Trustee:
	 	 
			
	 	 	/s/    ROBERT LUDOVICO        	 	 
	 	 	Robert Ludovico	 	 12/16/02

			
	 	 	/s/    FRANK H. MIKLAVIC        	 	 
	 	 	Frank H. Miklavic	 	 12/16/02

			
	 	 	 	 	 
			
	 	 	 	 	 
			
	 	 	 	 	 

			
	
	 Trust EIN (Optional):

		
	 	 	 
		
	 Signed:
	 	/s/    FRANK H.
MIKLAVIC        
	 	 	V.P., Global Human Resources
	 	 	[Name/Title]
		
	 Signed:
	 	/s/    ROBERT
LUDOVICO        
	 	 	VP Treas
	 	 	[Name/Title]
		
	 Signed:
	 	 
		
	 	 	 
	 	 	[Name/Title]
		
	 Signed:
	 	 
		
	 	 	 
	 	 	[Name/Title]
		
	 Signed:
	 	 
		
	 	 	 
	 	 	[Name/Title]
	 Name of Custodian (Optional):

		
	 	 	 
		
	 Signed:
	 	 
		
	 	 	 
	 	 	[Name/Title]

  
 31. Plan Number. The
3-digit plan number the Employer assigns to this Plan for ERISA reporting purposes (Form 5500 Series) is: 001. 
  
 Use of Adoption Agreement. Failure to complete properly the elections in this Adoption Agreement may result in disqualification of the Employer’s Plan. The Employer only may use this Adoption Agreement in
conjunction with the basic plan document referenced by its document number on Adoption Agreement page one. 
  
 Execution for Page Substitution Amendment Only. If this paragraph is completed, this Execution Page documents an amendment to Adoption Agreement Section(s)
             effective
                                        
        , by substitute Adoption Agreement page number(s)             . 
  
 Prototype Plan Sponsor. The Prototype Plan Sponsor Identified on the first page of the basic plan document will notify all adopting
employers of any amendment of this Prototype Plan or of any abandonment or discontinuance by the Prototype Plan Sponsor of its maintenance of this Prototype Plan. For inquiries regarding the adoption of the Prototype Plan, the Prototype Plan 

  

					
	 © Copyright 2001 Sentinel Benefits Group, Inc.
	  	 	  	 
	17	  	 

 
Sponsor’s intended meaning of any Plan provisions or the effect of the opinion letter issued to the Prototype Plan Sponsor, please contact the Prototype
Plan Sponsor at the following address and telephone number: 601 Edgewater Drive, Suite 250 Wakefield, MA 01880, (781) 246-9050 
  
 Reliance on Sponsor Opinion Letter. The Prototype Plan Sponsor has obtained from the IRS an opinion letter specifying the form of this Adoption Agreement and the
basic plan document satisfy, as of the date of the opinion letter, Code §401. An adopting Employer may rely on the Prototype Sponsor’s IRS opinion letter only to the extent provided in Announcement 2001-77, 2001-30 I.R.B. The
Employer may not rely on the opinion letter in certain other circumstances or with respect to certain qualification requirements, which are specified in the opinion letter and in Announcement 2001-77. In order to have reliance in such circumstances
or with respect to such, qualification requirements, the Employer must apply for a determination letter to Employee Plans Determinations of the Internal Revenue Service. 
  

					
	 	  	 	  	© Copyright 2001 Sentinel Benefits Group, Inc.
	 	  	18

 CHECKLIST OF EMPLOYER INFORMATION 
 AND EMPLOYER ADMINISTRATIVE ELECTIONS 
  
 Commencing with the 2002 Plan Year 
  
 The Prototype Plan permits the Employer to make certain administrative elections not reflected in the Adoption Agreement. This form lists those administrative elections and provides a means of recording the
Employer’s elections. This checklist is not part of the Plan document. 
  
 37. Employer Information. 
  

	
	     Coley Pharmaceutical Group, Inc.
	     [Employer Name]
	
	     93 Worcester Road, Suite 101
	     [Address]

  

			
	Wellesley, Massachusetts 02481	 	(781) 431-6400
	[City, State and Zip Code]	 	[Telephone Number]

  
 38. Form of Business.

  

			
	 (a)    x    Corporation
	 	 (b)     ̈    S Corporation

	 (c)     ̈    Limited Liability Company
	 	 (d)     ̈    Sole Proprietorship

	 (e)     ̈    Partnership
	 	 (f)      ̈            

  
 39. Section 1.07(F) -
Nondiscriminatory definition of Compensation. When testing nondiscrimination under the Plan, the Plan permits the Employer to make elections regarding the definition of Compensation. [Note: This election solely is for purposes of
nondiscrimination testing. The election does not affect the Employer’s elections under Section 1.07 which apply for purposes of allocating Employer contributions and Participant forfeitures.] 
  

	 	(a)	x    The Plan will “gross up” Compensation for Elective Contributions. 

  

	 	(b)	 ̈    The Plan will exclude Elective Contributions.

  
 40. Section 4.04 - Rollover contributions. 
  

	 	(a)	x    The Plan accepts rollover contributions. 

  

	 	(b)	 ̈    The Plan does not accept rollover contributions.

  
 41. Section 8.06 - Participant direction of
investment/404(c). The Plan authorizes Participant direction of investment with Trustee consent. If the Trustee permits Participant direction of investment, the Employer and the Trustee should adopt a policy which establishes the applicable
conditions and limitations, including whether they intend the Plan to comply with ERISA §404(c). 
  

	 	(a)	x     The Plan permits Participant direction of investment and is a 404(c) plan. 

  

	 	(b)	 ̈     The Plan does not permit Participant direction of
investment or is a non-404(c) plan. 

  
 42. Section 9.04[A] -
Participant loans. The Plan authorizes the Plan Administrator to adopt a written loan policy to permit Participant loans. 
  

	 	(a)	x    The Plan permits Participant loans subject to the following conditions: 

  

	 	(1)	x    Minimum loan amount: $ 1,000 

  

	 	(2)	x    Maximum number of outstanding loans: 1 

  

	 	(3)	x    Reasons for which a Participant may request a loan: 

  

	 	a.	x    Any purpose. 

  

	 	b.	 ̈    Hardship events. 

  

	 	c.	 ̈    Other:
        . 

  

	 	(4)	x    Suspension of loan repayments: 

  

	 	a.	 ̈    Not permitted. 

  

	 	b.	 ̈    Permitted for non-military leave of absence.

  

	 	c.	x    Permitted for military service leave of absence. 

  

	 	(5)	 ̈    The Participant must be a party in interest.

  

	 	(b)	 ̈    The Plan does not permit Participant loans.

  
 43. Section 11.01 - Life insurance. The Plan with
Employer approval authorizes the Trustee to acquire life insurance. 
  

	 	(a)	 ̈    The Plan will invest in life insurance contracts.

  

	 	(b)	x    The Plan will not invest in life insurance contracts. 

  
 44. Surety bond company: Transcontinental Insurance. Surety bond amount: $ 50,000

  

					
	 © Copyright 2001 Sentinel Benefits Group, Inc.
	  	 	  	 
	 	  	23	  	 

 SUMMARY OF MATERIAL MODIFICATIONS 
 to Coley Pharmaceutical Group, Inc. 401(k) Plan 
  
 To: Participants and Beneficiaries of the Coley Pharmaceutical Group, Inc. 401(k) Plan From: Coley Pharmaceutical Group, Inc. 
  
 The Plan has been amended to remove Frank H. Miklavic and appoint Charles Abdalian Jr. and Charles Yon as successor trustees. This amendment is effective September 30,
2004. 
  
 This Summary of Material Modifications is a supplement to your
Summary Plan Description for the aforementioned Plan. You should attach this supplement to your Summary Plan Description in order to maintain a current and accurate description of the Plan’s provisions and benefits. 
  
 If you have any questions on this Summary or the amendments to your Plan, contact your Plan
Administrator: 
  
 Coley Pharmaceutical Group,
Inc. 
 93 Worcester Road, Suite 101 
 Wellesley, MA 02481 
  

 PN Trustee ChangeLETTER AGREEMENT, DATED MAY 6, 1998 W/ ROBERT L. BRATZLER

 Exhibit 10.6 
  
 CONFIDENTIAL 
  
 [Execution Copy] 
  
 CpG ImmunoPharmaceuticals, Inc. 
 890 Park Place 
 Iowa City, IA 52246 
  

					
	 	 	May 6, 1998	 	 

  
 Robert L. Bratzler, Ph.D. 

13 Blueberry Lane 
 Concord, MA 01742 
  
 Dear Dr. Bratzler: 
  
 This Letter is to confirm our understanding with respect to your employment by CpG ImmunoPharmaceuticals, Inc. (the
“Company”). The terms and conditions agreed to in this letter shall hereinafter be referred to as the “Agreement.” In consideration of the mutual promises and covenants contained in this Agreement, and for other good and valuable
consideration, the receipt and sufficiency of which are hereby mutually acknowledged, we agree as follows: 
  
 1. Employment. 
  
 (a) Position. The Company will employ you, and you agree to be employed by the Company, to serve as its President and Chief Executive Officer,
reporting to the Board of Directors of the Company (the “Board”), and to perform such services and discharge such duties and responsibilities as may be prescribed by the Board from time to time consistent with the position of the Chief
Executive Officer. You shall devote all of your business time and your best efforts to the business and affairs of the Company and to the performance of your assigned duties; provided, however, that, subject to Section 5, you may continue to serve
as a Director of Encore Pharmaceuticals. Inc., Synthon Corporation, Integrated BioSystems, Inc. and Programmable Therapeutics, Inc., so long as your services are limited to those of a Director, and provided that such services do not interfere in a
material way with the performance of your obligations hereunder. 
  
 (b) Location of the Company. The primary location at which you will perform your duties will be the Company’s principal offices, which will be relocated to the Greater Boston area on or prior to the Commencement Date. You
acknowledge, however, that frequent and substantial travel away from the office, both within and outside of the United States, may be reasonably required for the performance of your duties hereunder. 
  
 2. Term of Employment. 
  
 (a) Term; Termination. Your employment hereunder shall commence on
June 1, 1998 (the “Commencement Date”) and shall continue until May 31, 2000 (the “Initial Term”); provided that the term of your employment shall renew automatically for any number of renewal terms of one
year’s duration each, unless either party to this Agreement provides written notice 

  

 
of its intention not to renew this Agreement at least one hundred twenty (120) days prior to the then effective expiration date. Notwithstanding the
foregoing, your employment hereunder shall be terminated upon the first to occur of the following: 
  
 (i) immediately upon your death or Permanent Disability (as hereinafter defined); or 
  
 (ii) by the Company: 
  
 (A) upon written notice for Cause, as defined herein, and as set forth below; or 
  
 (B) subject to Section 3 hereof, without Cause, upon thirty (30) days’ prior written notice to you of its intent to
terminate your employment; or 
  
 (iii) by you, upon not less
than sixty (60) days’ prior written notice to the Company, for any reason, including without limitation relocation of the Company’s principal offices outside of the Greater Boston area or failure to be elected to the Board of Directors of
the Company. 
  
 The right of the Company to terminate your
employment hereunder as set forth above, including without limitation the Company’s ability to terminate your employment without Cause, to which you hereby agree, shall be exercisable by written notice sent to you by the Company. Your right to
terminate your employment hereunder as set forth above, shall be exercisable by written notice sent by you to the Company. 
  
 (b) Definition of “Cause”. The Company may, immediately and unilaterally, terminate your employment hereunder for Cause at any time upon
written notice to you. Termination of your employment by the Company shall constitute a termination for Cause only if such termination is for one or more of the following reasons: (i) your continuing failure to render services to the Company in
accordance with your assigned duties consistent with Section 1 of this Agreement and such failure of performance continues for a period of more than thirty (30) days after written notice thereof has been provided to you by the Board; (ii) your
willful misconduct or gross negligence which has a material adverse effect on the Company; (iii) you are convicted of a felony, either in connection with the performance of your obligations to the Company or which conviction adversely affects your
ability to perform such obligations or materially adversely affects the business activities, reputation, goodwill or image of the Company: and (iv) your willful disloyalty, material breach of fiduciary duty or material breach of any of the terms or
this Agreement or of the Confidentiality Agreement (as hereinafter defined) or of the Company’s policies or procedures, which breach is incurable or is not cured within thirty days after written notice thereof has been provided to you by the
Board specifying in reasonable detail the basis for such termination. 
  
 In making any determination under this Section 2(b), the Board shall act fairly and in good faith and shall give you an opportunity to appear and be heard at a meeting of the Board or any committee thereof and present evidence on your
behalf. 
  

 - 2 - 

 3. Compensation. 
  
 (a) Salary. The Company shall pay you as your base compensation for your services and agreements hereunder a base
salary at the annual rate of Two Hundred Forty Thousand Dollars ($240,000) per year (the “Base Salary”), payable at such intervals as may be agreed upon by the Company and you, less any amounts required to be withheld under applicable law.
Such compensation will be reduced by any disability payments which you receive, after taking into account the tax benefits (if any) of such payments. Such compensation may be increased at the discretion of the Board. 
  
 (b) Bonus. In addition to your Base Salary, you will be entitled to
such cash and/or equity bonuses as are determined from time to time by the Board in its discretion, taking into account, among other factors, your performance and the Company’s performance, less any amounts required to be withheld under
applicable law. 
  
 (c) Stock Options. Pursuant and subject
to the terms of one or more stock option agreements to be executed by you and the Company pursuant to the Company’s 1997 Stock Option Plan (the “Option Agreements”), the Company will grant to you incentive stock options as follows:

  
 Options to purchase up to 622 shares of the Company’s
Common Stock (the “Option Shares”), at a purchase price per share equal to the fair market value of the Company’s Common Stock as of the Commencement Date, such options to become exercisable (i.e., vest) (i) in the event that your
employment is terminated by the Company without Cause prior to the first anniversary of the Commencement Date, as to twenty percent (20%) of the Option Shares plus an additional one-sixteenth of the Option Shares for each full three month period
elapsed after the Commencement Date that you continue to be employed by the Company, or (ii) if your employment is not terminated by the Company without Cause prior to the first anniversary of the Commencement Date and provided you remain employed
by the Company throughout such period, as to one-quarter of the Option Shares on the first anniversary of the Commencement Date and as to an additional one-sixteenth of the Option Shares for each full three month period elapsed after such first
anniversary that you continue to be employed by the Company. 
  
 (d) Termination without Cause. In the event your employment shall be terminated by the Company without Cause during the term of this Agreement, but after the first anniversary of the Commencement Date, the Company shall continue to
pay you your Base Salary and provide you the benefits described in Section 4(b) for a period equal to the lesser of: (i) twelve (12) months subsequent to such termination, (ii) the period ending on the date of commencement of full-time employment
with another employer, or (iii) the period ending on the date of your death; provided, however, that if your annual salary with your new employer is less than your Base Salary under this Agreement, the Company shall pay you the difference between
your Base Salary and the annual salary from your new employer for the balance of the period specified above. All payments made under this Section 3(d) shall be made at the times and at the rate specified in Section 3(a) hereof. Notwithstanding any
termination of your employment, you shall continue to be bound by the provisions of this Agreement (other than Section 1 hereof). In 

  

 - 3 - 

 
the event your employment is terminated by the Company without Cause during the one year period following the Commencement Date, or in the event your
employment hereunder is not renewed, the Company shall continue to pay your Base Salary and provide you the benefits described in Section 4(b) for the period described above with the exception that 3(d)(i) shall in such event equal six (6) months.

  
 (e) Termination for Death or Permanent Disability. In
the event of your death during the term of this Agreement, the Company shall pay to your estate all accrued but unpaid Base Salary through the date of your death within ten (10) days thereafter and shall, at the Company’s expense, continue any
health care benefit coverage to family members covered under the Company’s benefit plans as of the date immediately preceding your death for a period of not less than 365 days following your death. In the event of your Permanent Disability (as
defined below), the Company shall pay you all accrued but unpaid compensation through the effective date of its notice of termination within ten (10) days thereafter and shall continue any health care benefit coverage to you and to family members
covered under the Company’s benefit plans as of the date immediately preceding your Permanent Disability for a period of not less than 365 days following such notice. All payments under this Section 3(e) shall be made at the times and at the
rates specified in Section 3(a) hereof and all such compensation will be reduced by any disability payments which you receive, after taking into account the tax benefits (if any) of such payments. Notwithstanding any termination of your employment
for Permanent Disability, you shall continue to be bound by the provisions of this Agreement (other than Section 1 hereof). As used in this Section 3(e), your “Permanent Disability” will be deemed to have occurred in the event that (i) you
have a mental or physical condition which has prevented or, in the opinion of a physician designated by the Board and you (or, in the absence of agreement by the Board and you as to the physician, by a physician mutually designated by two physicians
respectively designated by you and the Board), will prevent you for a period of more than one hundred eighty (180) consecutive days after its onset from performing your duties on a full-time basis, or (ii) you have been so disabled for an aggregate
of one hundred twenty (120) business days, whether or not consecutive, within any twelve-month period during the term of this Agreement. You agree to submit to an examination by such physician upon the reasonable request of the Board, the cost of
which examination shall be borne by the Company. 
  
 (f) Other
Terminations. In the event your employment shall be terminated by the Company for Cause or in the event you voluntarily terminate your employment, you shall be entitled to no severance or other termination benefits, or any other benefits (except
for any health insurance benefits required by applicable law); provided, however, that you shall continue to be bound by all of the terms and conditions of this Agreement (other than Section 1 hereof). 
  
 4. Benefits and Reimbursement of Expenses. 
  
 (a) Vacation and Holidays. You shall be entitled to four weeks of paid
vacation leave per year for each twelve months of service performed by you, at such time or times as are mutually agreeable to the Company and you and otherwise in accordance with the Company’s vacation policy as in effect from time to time. If
you do not use your vacation leave in any calendar year, you may not carry the unused days over from year to year. The Company will not pay you any additional compensation for any accrued vacation time which is not used. You shall 

  

 - 4 - 

 
also be entitled to up to 10 paid holidays per year as determined by the Company in accordance with custom and the Company’s holiday policy as in effect
from time to time. 
  
 (b) Employee Benefit Plans. You
shall also be entitled to receive at the Company’s expense, medical and dental insurance commensurate with that provided by other companies in this industry and in the Boston area and reasonably satisfactory to you. Upon commencement of your
employment, the Company shall reimburse you for expenses related to maintenance of your current medical plan in an amount not to exceed $667 per month and shall reimburse you for dental expenses incurred by your family in an amount not to exceed
$600 in the aggregate over the first three months of your employment. You will use best efforts to establish such medical and dental plans for the Company’s employees within three (3) months of the Commencement Date, at which time the benefits
payable pursuant to the preceding sentence shall cease. You shall also participate in any other employee benefit plans which the Company provides or may establish for the benefit of its executive employees generally (including, without limitation,
group life, and other insurance, retirement, pension, profit-sharing and similar plans, if any), but only if and to the extent provided in such employee benefit plans. 
  
 (c) Reimbursement of Expenses. You shall be entitled to reimbursement for all ordinary and reasonable out-of-pocket
business expenses which are reasonably incurred and documented by you in furtherance of the Company’s business in accordance with the policies adopted from time to time by the Company. 
  
 (d) Key Man Life Insurance. The Company shall have the right to
maintain one or more “key man” life insurance policies on your life naming the Company as beneficiary in the aggregate amount of up to Two Million Dollars ($2,000,000), for as long as you are employed by the Company. You shall have no
right, title or interest in or to any such life insurance policies, except to the extent your estate or a trust established by or for you or your beneficiaries are specifically named as beneficiaries thereof or as otherwise expressly agreed in
writing by the Company. You agree to submit to any medical or other examinations, the cost of which shall be borne by the Company, and to execute and deliver any applications and other instruments in writing that are reasonably necessary for
purposes of obtaining and maintaining such key man life insurance. 
  
 5. Prohibited Competition. For purposes of this Section 5, the term “Company” shall include all of the Company’s direct or indirect subsidiaries, if any. 
  
 (a) Certain Acknowledgments and Agreements. 
  
 (i) We have discussed, and you recognize and acknowledge the competitive and proprietary aspects of the
business of the Company. 
  
 (ii) You acknowledge
and agree that a business will be deemed competitive with the Company if it performs any of the services performed or under active consideration by the Company or researches, develops or manufactures or sells any products competitive with products
provided or offered or under active consideration by the Company (such business to be referred to as a “competitive business”). 
  

 - 5 - 

 (iii) You further acknowledge and agree that, during the course of your performing
services for the Company, the Company will furnish, disclose or make available to you confidential and proprietary information related to the Company’s business and that the Company may provide you with unique and specialized training. You also
acknowledge that such confidential information and such training have been developed and will be developed by the Company through the expenditure by the Company of substantial time, effort and money and that all such confidential information and
training could be used by you to compete with the Company. 
  
 (b)
Covenants Not to Compete. During the term of your employment hereunder (the “Term”) and, unless you terminate your employment because of a breach of a material term of this Agreement by the Company (which breach is not cured within
thirty (30) days after written notice thereof is provided to the Company), for a period of eighteen (18) months following the expiration or termination of the Term (the “Post-Employment Period”), whether such termination is voluntary or
involuntary, you shall not, without the prior written consent of the Company: 
  
 (i) for yourself or on behalf of any other person or entity, directly or indirectly, either as principal, agent, stockholder, employee, consultant, representative or in any other capacity, own, manage, operate or
control, or be concerned, connected or employed by or otherwise associate in any manner with, engage in or have a financial interest in any competitive business anywhere in the world (the “Restricted Territory”), except that nothing
contained herein shall preclude you from purchasing or owning securities of any such business if such securities are publicly traded, and provided that your holdings do not exceed three (3%) percent of the issued and outstanding securities of any
class of securities of such business; or 
  
 (ii)
either individually or on behalf of or through any third party, solicit, divert or appropriate or attempt to solicit, divert or appropriate, on behalf of a competitive business, any actual or prospective joint venture or collaborative research
partners or customers of the Company, located within the Restricted Territory: or 
  
 (iii) either individually or on behalf of or through any third party, directly or indirectly, solicit, entice or persuade or attempt to
solicit, entice or persuade any other employees of or consultants to the Company to leave the services of the Company for any reason. 
  
 For purposes of the Post-Employment Period, a competitive business shall be determined by reference to the business of the Company as of the date your
employment with the Company terminates. Nothing contained herein shall prevent you from being employed by or rendering services to an entity engaged both in a competitive business and in businesses which are not competitive businesses where such
employment or rendering of services is not related in any way to the competitive business and where such competitive business accounts for less than twenty-five percent (25%) of the budgeted expenses of such an entity in the fiscal year in which
such determination is made. 
  

 - 6 - 

 (c) Reasonableness of Restrictions. You further recognize and acknowledge that (i) the types of
employment which are prohibited by this Section 5 are narrow and reasonable in relation to the skills which represent your principal salable asset both to the Company and to your other prospective employers, and (ii) the broad geographical scope of
the provisions of this Section 5 is reasonable, legitimate and fair to you in light of the Company’s need to enter into collaborations, market its services and sell its products throughout the world in order to have a sufficient customer base
to make the Company’s business profitable and in light of the limited restrictions on the type of employment prohibited herein compared to the types of employment for which you are qualified to earn your livelihood. 
  
 (d) Survival of Acknowledgments and Agreements. Your acknowledgments
and agreements set forth in this Section 5 shall survive the expiration or termination of this Agreement and the termination of your employment with the Company for any reason. 
  
 6. Protected Information. Upon execution of this Agreement, you shall execute and deliver a Confidentiality Agreement
in the form attached hereto as Exhibit A (the “Confidentiality Agreement”). 
  
 7. Disclosure to Future Employers. You agree that you will provide, and that the Company may similarly provide in its discretion, a copy of the covenants contained in Section 5 of this Agreement and the
covenants contained in the Confidentiality Agreement to any business or enterprise which you may directly, or indirectly, own, manage, operate, finance, join, control or in which you participate in the ownership, management, operation, financing, or
control, or with which you may be connected as an officer, director, employee, partner, principal, agent, representative, consultant or otherwise. 
  
 8. Records. Upon termination of your relationship with the Company, you shall deliver to the Company any property of the Company which may be in
your possession including products, materials, memoranda, notes, records, reports, or other documents or photocopies of the same, including without limitation any of the foregoing recorded on any computer or machine readable medium. 
  
 9. No Conflicting Agreements. You hereby represent and warrant that
you have no commitments or obligations inconsistent with this Agreement and you hereby agree to indemnify and hold the Company harmless against loss, damage, liability or expense arising from any claim based upon circumstances alleged to be
inconsistent with such representation and warranty. 
  
 10.
General. 
  
 (a) Notices. All notices, requests,
consents and other communications hereunder shall be in writing, shall be addressed to the receiving party’s address set forth below or to such other address as a party may designate by notice hereunder. and shall be either (i) delivered by
hand, (ii) made by telex, telecopy or facsimile transmission, (iii) sent by overnight courier, or (iv) sent by registered or certified mail, return receipt requested, postage prepaid. 
  

 - 7 - 

			
	If to the Company:	  	CpG ImmunoPharmaceuticals, Inc.
	 	  	890 Park Place
	 	  	Iowa City, Iowa 52246
	 	  	Attention: Chairman of the Board of Directors
		
	With a copy to:	  	Jeffrey M. Wiesen, Esquire
	 	  	Mintz, Levin. Cohn, Ferris,
	 	  	            Glovsky and Popeo, P.C.
	 	  	One Financial Center
	 	  	Boston, MA 02111
		
	If to you:	  	Robert L. Bratzler. Ph.D.
	 	  	13 Blueberry Lane
	 	  	Concord, MA 01742
		
	With a copy to:	  	Constantine Alexander, Esq.
	 	  	Nutter, McClennen & Fish, LLP
	 	  	One International Center
	 	  	Boston, MA 02110-2699

  
 All notices, requests, consents and
other communications hereunder shall be deemed to have been given either (i) if by hand, at the time of the delivery thereof to the receiving party at the address of such party set forth above, (ii) if made by telex, telecopy or facsimile
transmission, at the time that receipt thereof has been acknowledged by electronic confirmation or otherwise, (iii) if sent by overnight courier, on the next business day following the day such notice is delivered to the courier service, or (iv) if
sent by registered or certified mail, on the fifth business day following the day such mailing is made. 
  
 (b) Entire Agreement. This Agreement, together with the Confidentiality Agreement and the Option Agreement, embodies the entire agreement and
understanding between the parties hereto with respect to the subject matter hereof and supersedes all prior oral or written agreements and understandings relating to the subject matter hereof. No statement, representation, warranty, covenant or
agreement of any kind not expressly set forth in this Agreement shall affect, or be used to interpret, change or restrict, the express terms and provisions of this Agreement. 
  
 (c) Modifications and Amendments. The terms and provisions of this Agreement may be modified or amended only by
written agreement executed by the parties hereto. 
  
 (d)
Waivers and Consents. The terms and provisions of this Agreement may be waived, or consent for the departure therefrom granted, only by written document executed by the party entitled to the benefits of such terms or provisions. No such
waiver or consent shall be deemed to be or shall constitute a waiver or consent with respect to any other terms or provisions of this Agreement, whether or not similar. Each such waiver or consent shall be effective only in the specific instance and
for the purpose for which it was given, and shall not constitute a continuing waiver or consent. 
  

 - 8 - 

 (e) Assignment. The Company may assign its rights and obligations hereunder to any person or
entity who succeeds to all or substantially all of the Company’s business or that aspect of the Company’s business in which you are principally involved. Your rights and obligations under this Agreement may not be assigned by you without
the prior written consent of the Company. 
  
 (f) Benefit.
All statements, representations, warranties, covenants and agreements in this Agreement shall be binding on the parties hereto and shall inure to the benefit of the respective heirs, personal representatives, successors and permitted assigns of each
party hereto. Nothing in this Agreement shall be construed to create any rights or obligations except among the parties hereto and their respective heirs, personal representatives, successors and permitted assigns, and no person or entity shall be
regarded as a third-party beneficiary of this Agreement. 
  
 (g)
Governing Law. This Agreement and the rights and obligations of the parties hereunder shall be construed in accordance with and governed by the law of The Commonwealth of Massachusetts, without giving effect to the conflict of law principles
thereof. 
  
 (h) Arbitration. Except with respect to the
provisions of Section 5 hereof, any controversy, dispute or claim arising out of or in connection with this Agreement, or the breach, termination or validity hereof, shall be settled by final and binding arbitration to be conducted by an arbitration
tribunal in Boston, Massachusetts, pursuant to the rules of the American Arbitration Association. The arbitration tribunal shall consist of three arbitrators. The party initiating arbitration shall nominate one arbitrator in the request for
arbitration and the other party shall nominate a second in the answer thereto within thirty (30) days of receipt of the request. The two arbitrators so named will then jointly appoint the third arbitrator. If the answering party fails to nominate
its arbitrator within the thirty (30) day period, or if the arbitrators named by the parties fail to agree on the third arbitrator within sixty (60) days, the office of the American Arbitration Association in Boston, Massachusetts shall make the
necessary appointments of such arbitrator(s). The decision or award of the arbitration tribunal (by a majority determination, or if there is no majority, then by the determination of the third arbitrator, if any) shall be final, and judgment upon
such decision or award may be entered in any competent court or application may be made to any competent court for judicial acceptance of such decision or award and an order of enforcement. In the event of any procedural matter not covered by the
aforesaid rules, the procedural law of The Commonwealth of Massachusetts shall govern. 
  
 (i) Jurisdiction and Service of Process. Any legal action or proceeding with respect to this Agreement shall be brought in the courts of The Commonwealth of Massachusetts or in the United States District Court
for the District of Massachusetts. By execution and delivery of this Agreement, each of the parties hereto accepts for itself and in respect of its property, generally and unconditionally, the jurisdiction of the aforesaid courts. Each of the
parties hereto irrevocably consents to the service of process of any of the aforementioned courts in any such action or proceeding by the mailing of copies thereof by certified mail, postage prepaid, to the party at its address set forth in Section
10(a) hereof. 
  

 - 9 - 

 (j) Severability. The parties intend this Agreement to be enforced as written. However, (i) if any
portion or provision of this Agreement shall to any extent be declared illegal or unenforceable by a duly authorized court having jurisdiction, then the remainder of this Agreement, or the application of such portion or provision in circumstances
other than those as to which it is so declared illegal or unenforceable, shall not be affected thereby, and each portion and provision of this Agreement shall be valid and enforceable to the fullest extent permitted by law; and (ii) if any
provision, or part thereof, is held to be unenforceable because of the duration of such provision or the geographic area covered thereby, the Company and you agree that the court making such determination shall have the power to reduce the duration
and/or geographic area of such provision, and/or to delete specific words and phrases (“blue-penciling”), and in its reduced or blue-penciled form such provision shall then be enforceable and shall be enforced. 
  
 (k) Headings and Captions. The headings and captions of the various
subdivisions of this Agreement are for convenience of reference only and shall in no way modify, or affect the meaning or construction of any of the terms or provisions hereof. 
  
 (l) Interpretation. The parties hereto acknowledge and agree that (i) the rule of construction to the effect that any
ambiguities are resolved against the drafting party shall not apply to this Agreement, and (ii) the terms and provisions of this Agreement shall be construed fairly as to all parties hereto and not in favor of or against a party, regardless of which
party was generally responsible for the preparation of this Agreement. 
  
 (m) Injunctive Relief. You hereby expressly acknowledge that any breach or threatened breach of any of the terms and/or conditions set forth in Section 5 of this Agreement will result in substantial, continuing and irreparable injury
to the Company. Therefore, you hereby agree that, in addition to any other remedy that may be available to the Company, the Company shall be entitled to injunctive or other equitable relief by a court of appropriate jurisdiction in the event of any
breach or threatened breach of the terms of Section 5 of this Agreement. 
  
 (n) No Waiver of Rights, Powers and Remedies. No failure or delay by a party hereto in exercising any right, power or remedy under this Agreement, and no course of dealing between the parties hereto, shall
operate as a waiver of any such right, power or remedy of the party. No single or partial exercise of any right, power or remedy under this Agreement by a party hereto, nor any abandonment or discontinuance of steps to enforce any such right, power
or remedy, shall preclude such party from any other or further exercise thereof or the exercise of any other right, power or remedy hereunder. The election of any remedy by a party hereto shall not constitute a waiver of the right of such party to
pursue other available remedies. No notice to or demand on a party not expressly required under this Agreement shall entitle the party receiving such notice or demand to any other or further notice or demand in similar or other circumstances or
constitute a waiver of the rights of the party giving such notice or demand to any other or further action in any circumstances without such notice or demand. 
  

(o) Expenses. (i) Should any party breach this Agreement, in addition to all other remedies available at law or in equity, such party shall pay
all of any other party’s costs and expenses resulting therefrom and/or incurred in enforcing this Agreement, including legal fees 

  

 - 10 - 

 
and expenses. (ii) No later than fifteen (15) days following the execution of this Agreement, the Company shall pay all legal fees and expenses incurred by
you in connection with the negotiation and execution of this Agreement and related transactions up to a maximum of five thousand dollars ($5,000). 
  
 (p) Counterparts. This Agreement may be executed in one or more counterparts, and by different parties hereto on separate counterparts, each of
which shall be deemed an original, but all of which together shall constitute one and the same instrument. 
  
 (q) Indemnification. The Company shall indemnify you to the maximum extent provided in its charter and by-laws and shall advance expenses to you as
provided therein and shall not alter, modify or amend any provisions of the charter or by-laws relating to indemnification of officers and directors or the advancement of expenses so as to materially adversely affect your rights hereunder without
your prior written consent. The Company hereby confirms that the Company’s Certificate of Incorporation, as amended, provides for the advancement of expenses to directors and officers with respect to claims covered by Section 145 of the General
Corporation Law of the State of Delaware, as amended. 
  
 (r)
Board Membership. The Company acknowledges that your agreement to be employed hereunder is based, in part, upon the agreement of the Company to use its best efforts to cause you at all times during the Term to be a member of the Board of
Directors of the Company and each subsidiary of the Company. 
  
 If the foregoing accurately sets forth our agreement, please so indicate by signing and returning to us the enclosed copy of this letter. 
  

			
	 Very truly yours,

	
	CpG ImmunoPharmaceuticals, Inc.
		
	By:	 	 /s/ Arthur M. Krieg

  

	
	 Accepted and Agreed:

	
	 /s/ Robert L. Bratzler

	 Robert L. Bratzler, Ph.D.

  

 - 11 - 

 Exhibit A 
  
 CONFIDENTIALITY AGREEMENT 
  
 CpG ImmnunoPharmaceuticals, Inc. 
  

					
	 	 	June 1, 1998	 	 

  
 Robert L. Bratzler, Ph.D. 

13 Blueberry Lane 
 Concord, MA 01742 
  
 Dear Dr Bratzler: 
  
 This letter is to confirm our understanding with respect to your agreement to protect and preserve information and property
which is confidential and proprietary to CpG ImmunoPharmaceuticals, Inc. (the “Company”). The terms and conditions agreed to in this letter shall hereinafter be referred to as the “Agreement”. In consideration of the mutual
promises and covenants contained in this Agreement, and for other good and valuable consideration, the receipt and sufficiency of which are hereby mutually acknowledged, we agree as follows: 
  
 1. Protected Information. You shall at all times, both during and
after any termination of this Agreement by either you or the Company, maintain in confidence and shall not, without the prior written consent of the Company, use, except in the course of performance of your duties for the Company, disclose or give
to others any fact or information which was disclosed to or developed by you during the course of performing services for, or receiving training from, the Company, and is not generally available to the public, including but not limited to
information and facts concerning business plans, customers, future customers, suppliers, licensors, licensees, partners, investors, affiliates or others, training methods and materials, financial information, sales prospects, client lists,
Inventions (as defined in Section 2), or any other scientific, technical, trade or business secret or confidential or proprietary information (“Confidential Information”) of the Company or of any third party provided to you during the
Term. In the event you are questioned by anyone not employed by the Company or by an employee of or a consultant to the Company not authorized to receive such information, in regard to any Confidential Information or any other secret or confidential
work of the Company, or concerning any fact or circumstance relating thereto, or in the event that you become aware of the unauthorized use of Confidential Information by any party, whether competitive with the Company or not, you will promptly
notify the president of the Company. 
  
 You acknowledge and agree
that a business will be deemed competitive with the Company if it performs or plans to perform any of the services or manufactures or sells or plans to manufacture or sell any of the products planned, provided or offered by the Company or any
products or services designed to perform the same function or achieve the same results as the products or services planned, provided or offered by the Company or if it performs or plans to 

  

 
perform any other services and/or engages or plans to engage in the development, production, manufacture, distribution or sale of any product similar to any
planned or actual services performed or products developed, produced, manufactured, distributed or sold by the Company during the term of your relationship with the Company. 
  
 2. Ownership of Ideas, Copyrights and Patents. 
  
 (a) Property of the Company. You agree that all ideas, discoveries, creations, manuscripts and properties,
innovations, improvements, know-how, inventions, materials, biological constructs, designs, developments, apparatus, techniques, algorithms, software, mask works, methods, and formulae (all of the foregoing being hereinafter referred to as the
“Inventions”) which may be used in the business of the Company, whether patentable, copyrightable, protectable as mask works or not, which you may conceive, reduce to practice or develop alone or in conjunction with another, or others, and
whether at the request or upon the suggestion of the Company, or otherwise, during the period in which you perform services for or at the request of the Company (the “Term”) and for a period of one (1) year thereafter, shall be the sole
and exclusive property of the Company, that you shall promptly disclose any such Inventions to the Company both during and after the Term, and that you shall not publish any such Inventions without the prior written consent of the Company. You
hereby assign to the Company all of your right, title and interest in and to all of the foregoing. You further represent and agree that to the best of your knowledge and belief none of the Inventions will violate or infringe upon any right, patent,
copyright, trademark or right of privacy, or constitute libel or slander against or violate any other rights of any person, firm or corporation, and that you will use your best efforts to prevent any such violation. You also agree that you will
neither disclose to the Company or any of its employees nor use for their benefit any other person’s or company’s trade secret or proprietary information, or information which you have agreed not to disclose or use. 
  
 (b) Cooperation. At any time during or after the Term, you agree that
you will fully cooperate with the Company, its attorneys and agents in the preparation and filing of all papers and other documents as may be required to perfect and protect the Company’s rights in and to any of such Inventions, including, but
not limited to, joining in any proceeding to obtain and enforce letters patent, copyrights, mask work registrations, trademarks or other legal rights of the United States and of any and all other countries on such Inventions, provided that the
Company will bear the expense of such proceedings, and that any patent, copyright, mask work registration, trademark or other legal right so issued to you personally, shall be assigned by you to the Company without charge by you. 
  
 3. Reserved. 
  
 4. Disclosure to Future Employers. You agree that you will provide,
and that the Company may similarly provide in its discretion, a copy of the covenants contained in Sections 1, 2 and 3 of this Agreement to any business or enterprise which you may directly, or indirectly, 

  

 2 

 
own, manage, operate, finance, join, control or in which you participate in the ownership, management, operation, financing, or control, or with which you
may be connected as an officer, director, employee, partner, principal, agent, representative, consultant or otherwise. 
  
 5. Records. Upon termination of your relationship with the Company, you shall deliver to the Company any property of the Company which may be in
your possession including products, materials, memoranda, notes, records, reports, or other documents or photocopies of the same, including without limitation any of the foregoing recorded on any computer or any machine readable medium. 

 
 6. No Conflicting Agreements. You have set forth on Exhibit 1
hereto all Inventions made or conceived by you prior to the date of this Agreement which you own an interest in and wish to exclude from this Agreement and have listed on Exhibit 1 and attached copies hereto of any agreements with other parties
which may prevent your full compliance with the terms stated herein. You hereby represent and warrant that, except as set forth on Exhibit 1, you have no commitments or obligations inconsistent with this Agreement and you hereby agree to indemnify
and hold the Company harmless against loss, damage, liability or expense arising from any claim based upon circumstances alleged to be inconsistent with such representation and warranty. 
  
 7. General. 
  
 (a) Notices. All notices, requests, consents and other communications hereunder shall be in writing, shall be addressed to the receiving
party’s address set forth below or to such other address as a party may designate by notice hereunder, and shall be either (i) delivered by hand, (ii) made by telex, telecopy or facsimile transmission, (iii) sent by overnight courier, or (iv)
sent by registered or certified mail, return receipt requested, postage prepaid. 
  

			
	If to CpG ImmunoPharmaceuticals. Inc.:	  	CpG ImmunoPharmaceuticals, Inc.
	 	  	890 Park Place
	 	  	Iowa City, Iowa 52246
	 	  	Attention: President
		
	If to Employee:	  	Robert L. Bratzler, Ph.D.
	 	  	13 Blueberry Lane
	 	  	Concord, MA 01742

  
 All notices, requests, consents and
other communications hereunder shall be deemed to have been given either (i) if by hand, at the time of the delivery thereof to the receiving party at the address of such party set forth above. (ii) if made by telex, telecopy or facsimile
transmission, at the time that receipt thereof has been acknowledged by electronic confirmation or otherwise, (iii) if sent by overnight courier, on the next business day following the day such notice is 

  

 3 

 
delivered to the courier service, or (iv) if sent by registered or certified mail, on the fifth business day following the day such mailing is made.

  
 (b) Entire Agreement. This Agreement embodies the
entire agreement and understanding between the parties hereto with respect to the subject matter hereof and supersedes all prior oral or written agreements and understandings relating to the subject matter hereof. No statement, representation,
warranty, covenant or agreement of any kind not expressly set forth in this Agreement shall affect, or be used to interpret, change or restrict, the express terms and provisions of this Agreement. 
  
 (c) Modifications and Amendments. The terms and provisions of this
Agreement may be modified or amended only by written agreement executed by the parties hereto. 
  
 (d) Waivers and Consents. The terms and provisions of this Agreement may be waived, or consent for the departure therefrom granted, only by written document executed by the party entitled to the benefits of
such terms or provisions. No such waiver or consent shall be deemed to be or shall constitute a waiver or consent with respect to any other terms or provisions of this Agreement, whether or not similar. Each such waiver or consent shall be effective
only in the specific instance and for the purpose for which it was given, and shall not constitute a continuing waiver or consent. 
  
 (e) Assignment. The Company may assign its rights and obligations hereunder to any person or entity who succeeds to all or substantially all of the
Company’s business or that aspect of the Company’s business in which you are principally involved. Your rights and obligations under this Agreement may not be assigned by you without the prior written consent of the Company. 
  
 (f) Benefit. All statements, representations, warranties, covenants
and agreements in this Agreement shall be binding on the parties hereto and shall inure to the benefit of the respective successors and permitted assigns of each party hereto. Nothing in this Agreement shall be construed to create any rights or
obligations except among the parties hereto, and no person or entity shall be regarded as a third-party beneficiary of this Agreement. 
  
 (g) Governing Law. This Agreement and the rights and obligations of the parties hereunder shall be construed in accordance with and governed by the
law of The Commonwealth of Massachusetts, without giving effect to the conflict of law principles thereof. 
  
 (h) Jurisdiction and Service of Process. Any legal action or proceeding with respect to this Agreement shall be brought in the courts of The
Commonwealth of Massachusetts, or in the United States District Court for the District of Massachusetts. By execution and delivery of this Agreement, each of the parties hereto accepts for itself and in respect of its property, generally and
unconditionally, the jurisdiction of the aforesaid courts. Each of the parties hereto irrevocably consents to the service of process of any of the aforementioned courts in any such 

  

 4 

 
action or proceeding by the mailing of copies thereof by certified mail, postage prepaid, to the party at its address set forth in Section 7(a) hereof.

  
 (i) Severability. The parties intend this Agreement to
be enforced as written. However, (i) if any portion or provision of this Agreement shall to any extent be declared illegal or unenforceable by a duly authorized court having jurisdiction, then the remainder of this Agreement, or the application of
such portion or provision in circumstances other than those as to which it is so declared illegal or unenforceable, shall not be affected thereby, and each portion and provision of this Agreement shall be valid and enforceable to the fullest extent
permitted by law; and (ii) if any provision, or part thereof, is held to be unenforceable because of the duration of such provision or the geographic area covered thereby, the Company and you agree that the court making such determination shall have
the power to reduce the duration and/or geographic area of such provision, and/or to delete specific words and phrases (“blue-penciling”), and in its reduced or blue-penciled form such provision shall then be enforceable and shall be
enforced. 
  
 (j) Interpretation. The parties hereto
acknowledge and agree that (i) the rule of construction to the effect that any ambiguities are resolved against the drafting party, and (ii) the terms and provisions of this Agreement, shall be construed fairly as to all parties hereto and not in
favor of or against a party, regardless of which party was generally responsible for the preparation of this Agreement. 
  
 (k) Headings and Captions. The headings and captions of the various subdivisions of this Agreement are for convenience of reference only and shall
in no way modify, or affect the meaning or construction of any of the terms or provisions hereof. 
  
 (l) Injunctive Relief. You hereby expressly acknowledge that any breach or threatened breach of any of the terms and/or conditions set forth in
this Agreement will result in substantial, continuing and irreparable injury to the Company. Therefore, you hereby agree that, in addition to any other remedy that may be available to the Company, the Company shall be entitled to injunctive or other
equitable relief by a court of appropriate jurisdiction in the event of any breach or threatened breach of the terms of Section 1, 2 or 3 of this Agreement. 
  
 (m) No Waiver of Rights, Powers and Remedies. No failure or delay by a party hereto in exercising any right, power or
remedy under this Agreement, and no course of dealing between the parties hereto, shall operate as a waiver of any such right, power or remedy of the party. No single or partial exercise of any right, power or remedy under this Agreement by a party
hereto, nor any abandonment or discontinuance of steps to enforce any such right, power or remedy, shall preclude such party from any other or further exercise thereof or the exercise of any other right, power or remedy hereunder. The election of
any remedy by a party hereto shall not constitute a waiver of the right of such party to pursue other available remedies. No notice to or demand on a party not expressly required under this Agreement shall entitle the party receiving such notice or
demand to any other or further notice or demand in similar or other 

  

 5 

 
circumstances or constitute a waiver of the rights of the party giving such notice or demand to any other or further action in any circumstances without such
notice or demand. 
  
 (n) Expenses. Should any party breach
this Agreement, in addition to all other remedies available at law or in equity, such party shall pay all of any other party’s costs and expenses resulting therefrom and/or incurred in enforcing this Agreement, including legal fees and
expenses. 
  
 (o) Counterparts. This Agreement may be
executed in one or more counterparts, and by different parties hereto on separate counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. 
  
 [Remainder of page intentionally left blank] 
  

 6 

 If the foregoing accurately sets forth our agreement, please so indicate by signing and returning to us
the enclosed copy of this letter. 
  

			
	 Very truly yours,

	
	CpG ImmunoPharmaceuticals, Inc.
		
	By:	 	 /s/ Arthur M. Krieg

	 	 	Arthur M. Krieg, President

  

			
	 Accepted and Agreed:

	
	 /s/ Robert L. Bratzler

	Robert L. Bratzler, Ph.D.
		
	 Dated:
	 	 

  

 7

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