Document:

EX-4.5

 Exhibit 4.5 
  

Name of
Subscriber:                                       
                                        
    
 (Please Print Your Name Here)               

 
 CONKWEST, INC. 

SUBSCRIPTION AND SECURITIES PURCHASE AGREEMENT 

UNITS 
 Conkwest,
Inc. 
 The Plastino Building 

2533 South Coast Highway 101, Suite 210 

Cardiff-by-the-Sea, CA 92007-2133 

Phone: (858) 633-0300 
 Fax:
(858) 380-1999 
 Re:         Units of Conkwest, Inc. 

Article 1 
 Subscription

 Section 1.1        Subscription. The undersigned (the
“Subscriber”) hereby irrevocably subscribes for and agrees to purchase from Conkwest. Inc. (the “Company”) that number of Units (the “Units”) of the Company, with each Unit consisting one share of
Series C Preferred Stock of the Company (the “Shares”) and a three- year warrant to purchase an additional VI of a share of Common Stock at an initial exercise price equal to $3.00 per share (the “Warrants”) set
forth below and on the signature page hereof, at a purchase price per Unit of $2.40, for an aggregate purchase price in the dollar amount set forth below and on the signature page hereof, on the terms and conditions described in this Subscription
and Securities Purchase Agreement (this “Agreement”). 
  

					
	 Number of Units:
		 	________________	  
		
	 Aggregate Purchase Price of Units:
		 	$                                	  

 NOTICE TO SUBSCRIBERS: YOU MUST COMPLETE THE ACCREDITED INVESTOR CERTIFICATION FOUND AT THE END OF THIS
SUBSCRIPTION AND SECURITIES PURCHASE AGREEMENT AND CHECK AT LEAST ONE APPROPRIATE BOX CERTIFYING YOUR STATUS AS AN ACCREDITED INVESTOR IN ORDER TO SUBSCRIBE FOR UNITS UNDER THIS AGREEMENT. 

Section 1.2        Payment for Units. The undersigned shall deliver to the
Escrow Agent, pursuant to the Escrow Agreement attached to the accompanying Private Placement Memorandum as Exhibit D, with this Agreement, immediately available funds in the amount of the purchase price of the Units herein subscribed for in the
form of a wire transfer using the following instructions: 
  

	
	 Citibank, N.A.

A/C of:

A/C#:

ABM:

SWIFT Code:

REFERENCE:

 Section 1.3        Legally
Binding; Acceptance or Rejection by Company. The undersigned acknowledges that this is a legally binding subscription agreement and the undersigned may not withdraw this subscription, but that the Company reserves the right, in its sole
discretion, to accept or reject this subscription in whole or in part. 

 If this subscription is rejected in part by the Company, then the difference
between the subscription amount paid to the Company and the subscription price allocable to the Units for which this subscription is accepted will be returned promptly to the undersigned, without interest. If this subscription is rejected in its
entirety, then the subscription amount paid to the Company will be promptly returned to the undersigned without deduction and without interest, and this Agreement shall have no further force or effect. 

Article 2 
 Investor
Representations, Warranties and Covenants 
 The undersigned makes the following representations, warranties and
covenants with the intent that the same will be relied upon by the Company: 

Section 2.1        Information.   The undersigned acknowledges
that the undersigned has been offered the opportunity to obtain information, to verify the accuracy of the information received by the undersigned, to evaluate the merits and risks of this investment and to ask questions and receive satisfactory
answers concerning the terms and conditions of this investment. The Company has made its officers available to the undersigned to answer questions concerning the Company and the investment being made hereby. In making the decision to purchase the
Units, the undersigned has relied and will rely solely upon independent investigations made by the undersigned. The undersigned is not relying on the Company with respect to any tax or other economic considerations involved in this investment. Other
than as set forth in Article 3 hereof, no representations or warranties have been made to the undersigned by the Company. The undersigned has been encouraged by the Company to consult with the undersigned’s own attorneys and other advisors with
respect to all matters concerning this investment, has been given adequate opportunity to so consult, and has done so to the extent the undersigned has deemed appropriate. The undersigned has reviewed the package of materials accompanying this
Agreement, including a Private Placement Memorandum, and the undersigned understands that copies of the Company’s other organizational documents (Certificate of Incorporation and Bylaws) are available from the Company upon request. 

Section 2.2        Not a Registered Offering.   The undersigned
understands that the Units and the securities underlying the Units to be issued hereunder have not been and are not being registered with the Securities and Exchange Commission (the “SEC”) nor with the governmental entity charged
with regulating the offer and sale of securities under the securities laws and regulations of the state of residence of the undersigned, and that such Units are being offered and sold pursuant to the exemptions from registration provided in
Section 4(a)(2) of the Securities Act of 1933, as amended (the “1933 Act”) and in Regulation D (“Regulation D”) promulgated under the 1933 Act by the SEC, and pursuant to limited exemptions provided in
the “Blue Sky” laws of the state of residence of the undersigned, and that no governmental agency has recommended or endorsed the Units or made any finding or determination relating to the fairness of the investment terms or the
suitability of an investment in the Units by the undersigned. The undersigned is unaware of, and is in no way relying on, any form of general solicitation or general advertising in connection with the offer and sale of the Units. The undersigned is
purchasing the Units without being furnished any Offering or sales literature or prospectus, other than the Private Placement Memorandum and other materials contained in the subscription package of which this Agreement is a part. 

Section 2.3        Purchase for Investment.   The undersigned is
subscribing for and acquiring the Units solely for his, her or its own account for investment purposes and not with a view to, or with any intention of, a distribution, sale or subdivision to or for the account of any other individual, corporation,
firm, partnership, limited liability company, joint venture, association or person. 

Section 2.4        Accredited Investor and other Investment
Representations.   The undersigned represents and warrants that the undersigned is an “accredited investor” as defined in Rule 501(a) of Regulation D under the 1933 Act and that the undersigned has accurately completed the
Accredited Investor Certification which appears at the end of this Agreement. 

  
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 Section 2.5        Restrictions
on Transfer: Other Restrictions. 
 (a)        The undersigned understands and
agrees that because the offer and sale of the Units subscribed for herein have not been registered under federal or state securities laws, the Units (including any securities issuable upon conversion or exercise thereof) acquired may not at any time
be sold or otherwise disposed of by the undersigned unless they are registered under the 1933 Act or there is applicable to such sale or other disposition one of the exemptions from registration set forth in the 1933 Act, the rules and regulations
of the SEC thereunder and applicable state law. The Company has no obligation to register the securities underlying the Units or to permit their sale other than in strict compliance with the 1933 Act, SEC rules and regulations thereunder, and
applicable state law. The undersigned recognizes that as a result of the aforementioned restrictions, there is currently no public market for the Units subscribed for hereunder. Unless and until the securities underlying the Units are registered for
resale, the undersigned expects to hold the Units (and any securities issuable upon conversion thereof) for an indefinite period and understands that the undersigned will not readily be able to liquidate this investment even in case of an emergency.

 (b)        Reserved. 

(c)        In addition to any legends required by the authorities of any state in
connection with the issuance or sale of the Units, the certificate(s) evidencing the Shares and the Warrants (and any securities issued upon conversion or exercise thereof) shall have endorsed on the front or back thereof legends substantially as
follows: 
 “THE SECURITIES REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE
SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED OR TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT COVERING THESE SECURITIES UNDER THE ACT AND ANY
APPLICABLE STATE SECURITIES LAWS OR AN OPINION OF COUNSEL IN FORM AND SUBSTANCE SATISFACTORY TO THE COMPANY THAT REGISTRATION IS NOT REQUIRED UNDER THE ACT OR UNDER APPLICABLE STATE SECURITIES LAWS.” 

Section 2.6        Investment Risks.   The undersigned
represents that he, she or it has such knowledge and experience in financial and business matters that he, she or it is capable of evaluating the merits and risks of an investment in the Units. The undersigned recognizes that the Company is a
development stage company with no financial or operating history; that the development and testing of medical treatments and therapies is difficult, time-consuming and expensive; that an investment in the Company is highly speculative and involves
very significant risks; and that these risks include (but are not limited to) the risks specifically listed in the Private Placement Memorandum accompanying this Agreement. If the Company is unable to overcome or successfully manage these and
other risks, it may never become profitable or be able to implement its intended business plan, and investors may lose their entire investment. The undersigned is capable of bearing the economic risks of an investment in the Units, including, but
not limited to, the possibility of a complete loss of the undersigned’s investment, as well as limitations on the transferability of the securities underlying the Units, which may make the liquidation of an investment in the Units difficult or
impossible for the indefinite future. The undersigned acknowledges that he, she or it has been advised to seek his, her or its own independent counsel from attorneys, accountants and other advisors with respect to an investment in the Units.

 Section 2.7        Residence.   The undersigned, if a
natural person, is a bona fide resident of the state set forth in his or her address on the signature page to this Agreement. The undersigned, if an entity, has its principal place of business at the mailing address set forth on the signature page
of this Agreement. 
 Section 2.8        Investor Information; Survival of
Representations and Warranties and Covenants.   The representations, warranties, covenants and agreements contained in this Article 2 shall survive the execution and acceptance hereof and the issuance of the Units to the undersigned.
Any information that the undersigned is furnishing to the Company in this Agreement is correct and complete as of the date of this Agreement, and if there should be any material change in such information prior to the undersigned’s admission as
a shareholder of the Company, the undersigned will immediately furnish such revised or corrected information to the Company. 

  
 -3- 

 Section 2.9        Due
Organization.   If the undersigned is a corporation, partnership or limited liability company, the undersigned is duly organized, validly existing and in good standing under the jurisdiction of its organization, has all requisite power
and authority to own, lease and operate its properties, to carry on its business as currently being conducted, to enter into this Agreement, to perform its obligations hereunder and to acquire and own the Units. 

Section 2.10        Due Authorization.   If the undersigned is a
corporation, partnership or limited liability company, the execution, delivery and performance by the undersigned of this Agreement and the consummation of the transactions contemplated hereby have been duly authorized by all necessary action on the
part of the undersigned. 
 Section 2.11        Capacity.   If
the undersigned is an individual, the undersigned has the capacity to execute, deliver and perform this Agreement. 

Section 2.12        Enforceability.   This Agreement will be,
upon its execution and delivery and upon acceptance by the Company, a valid and binding obligation of the undersigned, enforceable against the undersigned in accordance with its terms. 

Section 2.13        No Conflicts.   Neither the execution,
delivery or performance by the undersigned of this Agreement, nor the consummation by the undersigned of the transactions contemplated hereby, will (A) conflict with or result in a breach of any provision of the undersigned’s certificate
of incorporation, bylaws or other organizational documents (if applicable), (B) cause a default (or give rise to any right of termination, cancellation or acceleration) under any of the terms, conditions or provisions of any agreement,
instrument or obligation to which the undersigned is a party or (C) violate any law, statute, rule, regulation, judgment, order, writ, injunction or decree of any court, administrative agency or governmental body, in each case applicable to the
undersigned or its properties or assets. 
 Section 2.14        No
Approvals.   No filing with, and no permit, authorization, consent or approval of, any person (governmental or private) is necessary for the execution, delivery and performance of this Agreement by the undersigned or for the
consummation by the undersigned of the transactions contemplated by this Agreement. 

Section 2.15        Brokerage Commissions and Finders’ Fees.
  Neither the undersigned nor anyone acting on behalf of the undersigned has taken any action which has resulted, or will result, in any claims for brokerage commissions or finders’ fees by any person in connection with the
transactions contemplated by this Agreement. However, the undersigned acknowledges that the Company may in its discretion pay finders’ fees and/or brokerage commissions to one or more persons engaged by the Company in connection with this
offering. 
 Article 3 

Company Representations and Warranties 

The Company makes the following representations and warranties with the intent that the same may be relied upon by the
undersigned: 
 Section 3.1        Due Organization.   The
Company is a corporation duly organized, validly existing and in good standing under the laws of the State of Delaware and has all requisite power and authority to own, lease and operate its properties, to carry on its business as currently being
conducted, to enter into this Agreement, to perform its obligations hereunder and to issue the Units. 

Section 3.2        Due Authorization.   The execution, delivery
and performance by the Company of this Agreement and the consummation of the transactions contemplated hereby have been duly authorized by all necessary action on the part of the Company. 

  
 -4- 

Section 3.3        Enforceability.   This Agreement is, or upon
its acceptance, execution and delivery by the Company will be, a valid and binding obligation of the Company, enforceable against the Company in accordance with its respective terms. 

Section 3.4        No Conflicts.   Neither the execution,
delivery or performance by the Company of this Agreement, nor the consummation by the Company of the transactions contemplated hereby, will (A) conflict with or result in a breach of any provision of the Company’s certificate of
incorporation or bylaws, (B) cause a default (or give rise to any right of termination, cancellation or acceleration) under any of the terms, conditions or provisions of any agreement, instrument or obligation to which the Company is a party or
(C) violate any law, statute, rule, regulation, judgment, order, writ, injunction or decree of any court, administrative agency or governmental body, in each case applicable to the Company or its properties or assets. 

Section 3.5        No Approvals.   Assuming the accuracy of the
representations and warranties contained in Article 2, no filing with, and no permit, authorization, consent or approval of, any person (governmental or private) is necessary for the execution, delivery and performance of this Agreement by the
Company or for the consummation by the Company of the transactions contemplated by this Agreement, other than filings under applicable Federal and state securities laws. 

Article 4 
 Registration
Rights 
 REGISTRATION RIGHTS 

If the Company shall decide to prepare and file with the SEC a registration statement relating to an offering for its own
account or the account of others under the 1933 Act of any of its equity securities, other than on Form S-4 or Form S-8 (each as promulgated under the 1933 Act) or their then equivalents relating to equity securities to be issued solely in
connection with any acquisition of any entity or business or equity securities issuable in connection with the stock option or other employee benefit plans, then the Company shall send to each Subscriber a written notice of such determination and,
if within fifteen days after the date of such notice, any such Subscriber shall so request in writing, the Company shall include in such registration statement, all or any part of Subscriber’s shares of Common Stock underlying the Series C
Preferred Stock and the Warrants (collectively, the “Registrable Securities”) such Subscriber requests to be registered; provided, however, that, the Company shall not be required to register any Registrable Securities
pursuant to this section that are eligible for resale without restriction pursuant to Rule 144 promulgated under the 1933 Act or that are the subject of a then effective registration statement; provided, further, however: 

(i)        if the registration statement is an offering to be made on a continuous
basis pursuant to Rule 415 and is not on a Form S-3, and the SEC advises the Company that all of the Registrable Securities which such Subscribers have requested to be registered may not be included under Rule 415(a)(i), then the number of
Registrable Securities to be registered for each Subscriber shall be reduced pro-rata among all the Subscribers to an amount to which is permitted by the SEC for resale under Rule 415(a)(i) and each Subscriber shall have the right to designate which
of its Registrable Securities shall be omitted from the registration statement; provided, further, however, the Registrable Securities hereunder shall have first priority over shares being registered by any other third parties
other than the Company; and 
 (ii)        if the registration so proposed by the
Company involves an underwritten offering of the securities so being registered for the account of the Company, to be distributed by or through one or more underwriters of recognized standing, and the managing underwriter of such underwritten
offering shall advise the Company in writing that, in its opinion, the distribution of all or a specified portion of the Registrable Securities which the Subscriber have requested the Company to register and otherwise concurrently with the
securities being distributed by such underwriters will materially and adversely affect the distribution of such securities by such underwriters (such opinion to state the reasons therefor), then the Company will promptly furnish each such Subscriber
of Registrable Securities with a copy of such opinion, and by providing such written notice to each such Subscriber, such Purchaser may be denied the registration of all or a specified portion of such Registrable Securities (in case of such a denial
as to 

  
 -5- 

 
a portion of such Registrable Securities, such portion to be allocated pro rata among the Subscribers); provided, however, shares to be registered by the Company for issuance by the
Company shall have first priority, each holder of Registrable Securities hereunder shall have second priority, and any other shares being registered on account of other third parties shall have third priority. 

Article 5 
 Miscellaneous
Provisions 
 Section 5.1        Notices and Addresses.
  All notices, requests, consents and other communications required or permitted to be given under this Agreement or that the Company may be required or may desire to send to you as a shareholder of the Company, pursuant to applicable law,
the Company’s Certificate of Incorporation, By-laws, contract or otherwise shall be in writing, shall be addressed (a) if to the Company, as set forth below (unless and until changed by the Company by notice given in accordance with this
Section 5.1), and (b) if to the undersigned, as set forth on the signature page of this Agreement (unless and until changed by the undersigned, either by notice given in accordance with this Section 5.1 or by a general request in
writing to change the contact information for the undersigned in the records of the Company), and shall be delivered (i) by hand, which delivery shall be effective at the time of actual delivery; (ii) by telecopy or facsimile transmission
(if the recipient has provided a telecopy or facsimile number for delivery of such transmissions), which delivery shall be effective upon acknowledgment or confirmation of receipt through electronic confirmation or otherwise; (iii) by email or
other electronic transmission (if the recipient has provided an email or other similar address for delivery of such transmission), which delivery shall be effective upon transmission unless the transmitting party receives an electronic notification
that delivery has not been successful; (iv) by overnight courier, which delivery shall be effective upon actual delivery as established by the records of the courier service; or (v) by registered or certified mail, return receipt
requested, postage prepaid, which delivery shall be effective upon the earlier of (A) the date of actual delivery as established by such return receipt or (B) the fifth
(5th) business day following the day such mailing is made. Notwithstanding the foregoing provisions regarding effective delivery, notices to the Company shall in all events be effective
only upon actual receipt. Initial notice information for the Company as contemplated in clause (a) above is as follows: 

Conkwest, Inc. 

The Plastino Building 

2533 South Coast Highway 101, Suite 210 

Cardiff-by-the-Sea, CA 92007-2133 

Attn: Chief Executive Officer 

Phone: (858) 633-0300 

Fax: (858) 380-1999 

Email: bsimon@conkwest.com 

Section 5.2        Governing Law; Jurisdiction.   THIS AGREEMENT
SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE INTERNAL LAWS OF THE STATE OF NEW YORK, WITHOUT REGARD TO ITS CONFLICTS OF LAWS PRINCIPLES. THE COMPANY AND THE UNDERSIGNED EACH (i) HEREBY IRREVOCABLY SUBMITS TO THE JURISDICTION OF ANY
DELAWARE STATE COURT OR UNITED STATES FEDERAL COURT SITTING IN NEW YORK WITH RESPECT TO ANY ACTION OR PROCEEDING BASED UPON, RELATING TO OR ARISING OUT OF OR [N CONNECTION WITH THIS AGREEMENT; (ii) IRREVOCABLY AGREES THAT ALL CLAIMS IN RESPECT
OF ANY SUCH ACTION OR PROCEEDING SHALL BE HEARD AND DETERMINED EXCLUSIVELY IN SUCH NEW YORK STATE OR FEDERAL COURT; (iii) WAIVES ANY OBJECTION TO VENUE IN ANY SUCH NEW YORK STATE OR FEDERAL COURT IN RESPECT OF ANY SUCH ACTION OR PROCEEDING AND
ANY OBJECTION TO ANY SUCH ACTION OR PROCEEDING IN ANY SUCH DELAWARE STATE OR FEDERAL COURT ON THE BASIS OF A NON-CONVENIENT FORUM; AND (iv) WAIVES HIS, HER OR ITS RIGHTS TO A JURY TRIAL OF ANY CLAIM OR CAUSE OF ACTION BASED UPON, RELATING TO OR
ARISING OUT OF OR IN CONNECTION WITH THIS AGREEMENT. 

  
 -6- 

Section 5.3        Assignability.   This Agreement and the
rights, interests and obligations hereunder are not transferable or assignable by the undersigned without the prior written consent of the Company, and the undersigned acknowledges and agrees that any transfer or assignment of the securities
underlying the Units shall be made only in accordance with all applicable laws and in accordance with all applicable corporate and contractual restrictions binding upon the undersigned and/or the Units. 

Section 5.4        Successors and Assigns.   This Agreement
shall be binding upon and inure to the benefit of the parties hereto, and each of their respective legal representatives and permitted successors. 

Section 5.5        Counterparts.   This Agreement may be
executed in one or more counterparts, and by different parties hereto on separate counterparts, with the same effect as if all parties had executed the same document, in which event each such counterpart shall constitute an original and all such
counterparts collectively shall be construed together and shall constitute a single agreement. The parties agree that signatures transmitted by facsimile or by electronic mail in PDF format shall be binding upon the party transmitting the same and
shall have the same effect as original signatures. 

Section 5.6        Modifications to Be in Writing.   This
Agreement constitutes the entire understanding of the parties hereto with respect to the subject matter hereof and no amendment, restatement, modification or alteration will be binding unless the same is in writing signed by the party against whom
such amendment, restatement, modification or alteration is sought to be enforced. 

Section 5.7        Captions.   The captions contained in this
Agreement are inserted for convenience of reference only and shall not modify or affect the interpretation of any of the terms or provisions of this Agreement. 

Section 5.8        Validity and Severability.   If any court of
competent jurisdiction determines that any provision, or any portion thereof, contained in this Agreement is invalid or unenforceable in any respect, then (i) such provision shall be deemed limited to the extent that such court determines it to
be enforceable, and as so limited shall remain in full force and effect, and (ii) all other provisions of this Agreement shall remain in full force and effect. If such court determines any such provision, or portion thereof, to be wholly
invalid or unenforceable, such decision shall not affect the validity or enforceability of any other provision of this Agreement, all of which other provisions shall nevertheless remain in full force and effect. 

Section 5.9        Statutory References.   Each reference in
this Agreement to a particular statute or regulation, or a provision thereof, shall be deemed to refer to such statute or regulation, or provision thereof, and to any similar, amended or superseding statute or regulation, or provision thereof, as is
from time to time in effect. 
 [rest of page intentionally left blank] 

  
 -7- 

 If the subscriber is an INDIVIDUAL, or if purchased as JOINT TENANTS, as TENANTS IN COMMON, or as
TENANTS BY THE ENTIRETY: 
  

					
	
                          
                                         
                                  

Print Name(s)
				
                          
                                         
                             

Social Security Number(s)

			
	
                             
                                         
                               
				                                      
                                         
                 
	 Signature(s) of subscriber(s)
				 Signature(s) of subscriber(s)

					
					  
 Address and notice information:

	Number of Units:                                  
                                 				                                      
                                         
                 
	Aggregate Purchase Price of
Units:                                  				                                      
                                         
                 
			
	Date:                                     
                                         
            				
					 Facsimile No.: (        
)                                         
                 

			
					Email
address:                                       
                             

					
	
	If the subscriber is a PARTNERSHIP, CORPORATION, LLC or TRUST: 
			
					
	
                          
                                         
                                  

Print Name of Entity
				
                          
                                         
                             

Federal Taxpayer ID Number

			
	
By:                         
                                         
                            

        Name:                 
                                         
                     

        Title:                 
                                         
                       
				
                       
                                         
                                

State of Organization

			
					 Address and notice information:

	Number of
Units:                                        
                           				
                             
                                         
                          

	Aggregate Purchase Price of
Units:                                  				
                             
                                         
                          

	Date:                                     
                                         
            				Attn:                                     
                                         
        
			
					 Facsimile No.: (    
)                                         
                     

			
					Email
address:                                       
                             
			
	 SUBSCRIPTION ACCEPTED AND AGREED TO
 this
         day of                         ,
                .
				
			
	Conkwest, Inc.				
			
	
By:                         
                                         
                            

        Barry Simon, Chief Executive Officer
				

  
 -8- 

 ACCREDITED INVESTOR QUESTIONNAIRE 

IN CONNECTION WITH INVESTMENT IN 

COMMON STOCK AND WARRANTS OF 

CONKWEST, INC., A DELAWARE CORPORATION 

TO :     Barry J. Simon, M.D., CEO 

Conkwest, Inc. 
 2533 South Coast
Highway 101, Suite 210 
 Cardiff-by-the-Sea, California 92007-2133 

INSTRUCTIONS 
 PLEASE
ANSWER ALL QUESTIONS. If the appropriate answer is “None” or “Not Applicable”, so state. Please print or type your answers to all questions. Attach additional sheets if necessary to complete your answers to any item. 

Your answers will be kept strictly confidential at all times. However, Conkwest, Inc. (the “Company”) may present
this Questionnaire to such parties as it deems appropriate in order to assure itself that the offer and sale of securities of the Company will not result in a violation of the registration provisions of the Securities Act of 1933, as amended, or a
violation of the securities laws of any state. 
  

	1.	   Please provide the following information: 

Name:                         
                                         
                                         
                                         
                                         
                                         
               

Name of additional purchaser:                  
                                         
                                         
                                         
                                         
                  
 (Please complete information in Question 5) 

Date of birth, or if other than an individual, year of organization or incorporation: 

 

                          
                                         
                                         
                                         
                                         
                                         
                           
  

	2.	   Residence address, or if other than individual, principal office address: 

 

	                                  
                                         
                                         
                                         
                                         
                                         
                  	

  

                          
                                         
                                         
                                         
                                         
                                         
                           
  

                          
                                         
                                         
                                         
                                         
                                         
                           

Telephone number:                      
                                         
                                         
                                         
                                         
                                   

Social Security Number or Taxpayer Identification Number:           
                                         
                                         
                                         
        
  

	3.	  Business address:                              
                                         
                                         
                                         
                                         
                  

  

 
  

 

Business telephone number:                    
                                         
                                         
                                         
                                         
                    
  

	4.	   Send mail to:            
Residence                         Business            

  
 -9- 

 5.         With respect to tenants in common, joint
tenants and tenants by the entirety, complete only if information differs from that above: 

Residence address:                      
                                         
                                         
                                         
                                         
                                   

 

                          
                                         
                                         
                                         
                                         
                                         
                           
  

                          
                                         
                                         
                                         
                                         
                                         
                           

Telephone number:                      
                                         
                                         
                                         
                                         
                                   

Social Security Number:                    
                                         
                                         
                                         
                                         
                           

Taxpayer Identification Number:                   
                                         
                                         
                                         
                                         
            

Business address:                      
                                         
                                         
                                         
                                         
                                      

 

                          
                                         
                                         
                                         
                                         
                                         
                           
  

                          
                                         
                                         
                                         
                                         
                                         
                           

Business telephone number:                    
                                         
                                         
                                         
                                         
                    
 Send mail
to:                                
Residence                                
Business                 

6.         Please describe your present or most recent business or occupation and indicated such
information as the nature of your employment, how long you have been employed there, the principal business of your employer, the principal activities under your management or supervision and the scope (e.g. dollar volume, industry rank, etc.) of
such activities: 
  

                          
                                         
                                         
                                         
                                         
                                         
                           
  

                          
                                         
                                         
                                         
                                         
                                         
                           
  

                          
                                         
                                         
                                         
                                         
                                         
                           

  
 -10- 

 7.         Please state whether you (i) are
associated with or affiliated with a member of the Financial Industry Regulatory Association, Inc. (“FINRA”), (ii) are an owner of stock or other securities of FINRA member (other than stock or other securities purchased on the open
market), or (iii) have made a subordinated loan to any FINRA member: 
  

															
					 ______
				______						
					 Yes
				 No
						

 If you answered yes to any of (i) — (iii) above, please indicate the applicable answer and
briefly describe the facts below: 
  

                          
                                         
                                         
                                         
                                         
                                         
                           
  

                          
                                         
                                         
                                         
                                         
                                         
                           
  

                          
                                         
                                         
                                         
                                         
                                         
                           

8A.        Applicable to Individuals ONLY. Please answer the following questions concerning your
financial condition as an “accredited investor” (within the meaning of Rule 501 of Regulation D). If the purchaser is more than one individual, each individual must initial an answer where the question indicates a “yes” or
“no” response and must answer any other question fully, indicating to which individual such answer applies. If the purchaser is purchasing jointly with his or her spouse, one answer may be indicated for the couple as a whole: 

 

	8.1        	 Does your net worth* (or joint net worth with your spouse) exceed $1,000,000? 

 

															
					 ______
				______						
					 Yes
				 No
						

 8.2         Did you have an individual income** in excess of $200,000
or joint income together with your spouse in excess of $300,000 in each of the two most recent years (2012 and 2013) and do you reasonably expect to reach the same income level in the current year (2014)? 

 

															
					 ______
				______						
					 Yes
				 No
						

  

	8.3        	 Are you an executive officer of the Company? 

  

															
					 ______
				______						
					 Yes
				 No
						

 * For purposes hereof, net worth shall be deemed to include ALL of your assets, liquid or illiquid MINUS any
liabilities. For purposes of calculating net worth, (i) YOUR primary residence shall not be included as an asset, (ii) to the extent that the indebtedness that is secured by the primary residence is in excess of the fair market value of
the primary residence, the excess amount shall be included as a liability, and (iii) if the amount of outstanding indebtedness that is secured by the primary residence exceeds the amount outstanding 60 days prior to the execution of this
Questionnaire, other than as a result of the acquisition of the primary residence, the amount of such excess shall be included as a liability. 

** For purposes hereof, the term “income” is not limited to “adjusted gross income” as that term is defined for federal
income tax purposes, but rather includes certain items of income which are deducted in computing “adjusted gross income”. For investors who are salaried employees, the gross salary of such investor, minus any significant expenses
personally incurred by such investor in connection with earning the salary, plus any income from any other source including unearned income, is a fair measure of “income” for purposes hereof. For investors who are self-employed,
“income” is generally construed to mean total revenues received during the calendar year minus significant expenses incurred in connection with earning such revenues. 

  
 -11- 

 8.B        Applicable to Corporations, Partnerships,
Trusts, Limited Liability Companies and other Entities ONLY: 
 The purchaser is an accredited investor because the purchaser falls within
at least one of the following categories (Check all appropriate lines): 
  

			
	 __
		(i) a bank as defined in Section 3(a)(2) of the Act or a savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Act whether acting in its individual or fiduciary capacity;
		
	 __
		(ii) a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended;
		
	 __
		(iii) an insurance company as defined in Section 2(13) of the Act;
		
	 __
		(iv) an investment company registered under the Investment Company Act of 1940, as amended (the “Investment Act”) or a business development company as defined in Section 2(a)(48) of the Investment Act;
		
	 __
		(v) a Small Business Investment Company licensed by the U.S. Small Business Administration under Section 301(c) or (d) of the Small Business Investment Act of 1958, as amended;
		
	 __
		 (vi) a plan established and maintained by a state, its political subdivisions, or any agency or instrumentality of a state or its
political subdivisions, for the benefit of its employees, where such plan has total assets in excess of
  

$5,000,000;

		
	 __
		(vii) an employee benefit plan within the meaning of Title 1 of the Employee Retirement Income Security Act of 1974, as amended (the “Employee Act”), where the investment decision is made by a plan fiduciary, as defined
in Section 3(21) of the Employee Act, which is either a bank, savings and loan association, insurance company, or registered investment adviser, or an employee benefit plan that has total assets in excess of $5,000,000, or a self-directed plan the
investment decisions of which are made solely by persons that are accredited investors;
		
	 __
		(viii) a private business development company, as defined in Section 202(a)(22) of the Investment Advisers Act of 1940, as amended;
		
	 __
		(ix) an organization described in Section 501(c)(3) of the Internal Revenue Code, a corporation, a Massachusetts or similar business trust, or a partnership, not formed for the specific purpose of acquiring the securities
offered, with total assets in excess of $5,000,000;
		
	 __
		(x) a trust, with total assets in excess of $5,000,000, not formed for the specific purpose of acquiring the securities offered, whose purchase is directed by a “sophisticated” person, as described in Rule 506(b)(2)(ii)
promulgated under the Act, who has such knowledge and experience in financial and business matters that he or she is capable of evaluating the merits and risks of the prospective investment;
		
	 __
		(xi) an entity in which all of the equity investors are persons or entities described above (“accredited investors”). ALL EQUITY OWNERS MUST COMPLETE “EXHIBIT A” ATTACHED HERETO.

  
 -12- 

 9.A        Do you have sufficient knowledge and
experience in financial and business matters so as to be capable of evaluating the merits and risks associated with investing in the Company? 
  

															
					 ______
				______						
					 Yes
				 No
						

 ANSWER QUESTION 9B ONLY IF THE ANSWER TO QUESTION 9A WAS “NO.” 

9.B        If the answer to Question 9A was “NO,” do you have a financial or investment
adviser (a) that is acting in the capacity as a purchaser representative and (b) who has sufficient knowledge and experience in financial and business matters so as to be capable of evaluating the merits and risks associated with investing
in the Company? 
  

															
					 ______
				______						
					 Yes
				 No
						

 If you have a financial or investment adviser(s), please identify each such person and indicate his or her
business address and telephone number in the space below. (Each such person must complete, and you must review and acknowledge, a separate Purchaser Representative Questionnaire which will be supplied at your request). 

 
  

10.        You have the right, will be afforded an opportunity, and are encouraged to investigate the
Company and review relevant factors and documents pertaining to the officers of the Company, and the Company and its business and to ask questions of a qualified representative of the Company regarding this investment and the properties, operations,
and methods of doing business of the Company. 
 Have you or has your purchaser representative, if any, conducted any such investigation,
sought such documents or asked questions of a qualified representative of the Company regarding this investment and the properties, operations, and methods of doing business of the Company? 

 

															
					 ______
				______						
					 Yes
				 No
						

  

			
	If so, briefly describe: 		 
	
	  

 If so, have you completed your investigation and/or received satisfactory answers to your questions? 

 

															
					 ______
				______						
					 Yes
				 No
						

 11.        Do you understand the nature of an investment in the
Company and the risks associated with such an investment? 
  

															
					 ______
				______						
					 Yes
				 No
						

 12.        Do you understand that there is no guarantee of any
financial return on this investment and that you will be exposed to the risk of losing your entire investment? 
  

															
					 ______
				______						
					 Yes
				 No
						

  
 -13- 

 13.        Do you understand that this investment is not
liquid? 
  

															
					 ______
				______						
					 Yes
				 No
						

 14.        Do you have adequate means of providing for your current
needs and personal contingencies in view of the fact that this is not a liquid investment? 
  

															
					 ______
				______						
					 Yes
				 No
						

 15.        Are you aware of the Company’s business affairs and
financial condition, and have you acquired all such information about the Company as you deem necessary and appropriate to enable you to reach an informed and knowledgeable decision to acquire the Interests? 

 

															
					 ______
				______						
					 Yes
				 No
						

 16.        Do you have a “pre-existing relationship” with
the Company or any of the officers of the Company? 
  

															
					 ______
				______						
					 Yes
				 No
						

 (For purposes hereof, “pre-existing relationship” means any relationship consisting of personal or
business contacts of a nature and duration such as would enable a reasonably prudent investor to be aware of the character, business acumen, and general business and financial circumstances of the person with whom such relationship exists.) 

If so, please name the individual or other person with whom you have a pre-existing relationship and describe the relationship: 

 
  
  

 
  

 

  
 -14- 

 17.        Exceptions to the representations and
warranties made in Section 3.2 of the Securities Purchase Agreement (if no exceptions, write “none” — if left blank, the response will be deemed to be “none”): 

 

                          
                                         
                                         
                                         
                                         
                                         
                           

Dated:
                                         
                    
 If purchaser is one or more
individuals (all individuals must sign): 
  

                          
                                         
                                         
                                         
                                         
                                         
                           

(Type or print name of prospective purchaser) 
  

                          
                                         
                                         
                                         
                                         
                                         
                           

Signature of prospective purchaser 
  

                          
                                         
                                         
                                         
                                         
                                         
                           

Social Security Number 
  

                          
                                         
                                         
                                         
                                         
                                         
                           

(Type or print name of additional purchaser) 
  

                          
                                         
                                         
                                         
                                         
                                         
                           

Signature of spouse, joint tenant, tenant in common or other signature, if required 
  

                          
                                         
                                         
                                         
                                         
                                         
                           

Social Security Number 

  
 -15-EX-4.6

 Exhibit 4.6 

EXECUTION COPY 

REGISTRATION RIGHTS AGREEMENT 

This REGISTRATION RIGHTS AGREEMENT (the “Agreement”) is executed as of June 20, 2013, by and among
Conkwest, Inc., an Illinois corporation (the “Company”), and the other purchasers of the Company’s Series B Convertible Preferred Stock signatory hereto (the “Holders” and, individually, as a
“Holder”). Capitalized terms used herein and not otherwise defined herein shall have the meanings set forth in Section 1 hereof. 

R E C I T A L S 

WHEREAS, pursuant to the terms of that certain Securities Purchase Agreement, dated as of the date hereof, by and among the
Company and the Holders, the Holders have acquired shares of Series B Convertible Preferred Stock of the Company; and 

WHEREAS, the Company and the Holders desire to define their respective registration rights on the terms and subject to the
conditions herein set forth. 
 NOW, THEREFORE, in consideration of the foregoing premises and for other good and valuable
consideration, the parties hereby agree as follows: 
 SECTION 1. DEFINITIONS 

As used in this Agreement, the following terms have the respective meaning set forth below (and any capitalized terms that
are used herein and not otherwise defined herein shall have the meanings set forth in the Securities Purchase Agreement): 

“Agreement”: shall have the meaning set forth in the preamble hereto; 

“Demand Marketing Limitation”: shall have the meaning set forth in Section 2(a)(vi) hereof; 

“Demand Registration”: shall mean an IPO Demand Registration or a Non-IPO Demand Registration, as the case
may be; 
 “Demanding IPO Stockholders”: shall mean the Holders holding, in the aggregate, 25% of the
Registrable Securities held by the Holders 
 “Demanding Non-IPO Stockholders”: shall have the meaning set
forth in Section 2(a)(ii) hereof; 
 “Indemnified Party”: shall have the meaning set forth in
Section 3(c)(iii) hereof; 
 “Indemnifying Party”: shall have the meaning set forth in
Section 3(c)(iii) hereof; 
 “Initial Public Offering”: shall mean any underwritten initial public
offering of the Common Stock of the Company to the public pursuant to an effective registration statement filed under the Securities Act (other than a registration statement on Form S-4 or S-8 or any similar or successor form); 

 “IPO Demand Registration”: shall have the meaning set forth in
Section 2(a)(i) hereof; 
 “Inspectors”: shall have the meaning set forth in Section 3(b)(vi)
hereof; 
 “Non-IPO Demand Registration”: shall have the meaning set forth in Section 2(a)(ii)
hereof; 
 “Other Registrable Securities”: shall mean (i) any Other Securities, (ii) any stock
of the Company issued as a dividend or other distribution with respect to, or in exchange for, or in replacement of (including, without limitation, in connection with any recapitalization, merger, consolidation, exchange or other reorganization of
the Company (or any successor entity)), any Other Securities. As to any particular Other Registrable Securities, such Common Stock shall cease to be Other Registrable Securities when (1) a registration statement with respect to the sale by the
applicable Other Holder of such Common Stock has become effective under the Securities Act and such securities have been disposed of in accordance with such registration statement, (2) such securities have been otherwise transferred, new
certificates for such securities not bearing a legend restricting further transfer have been delivered by the Company and subsequent disposition of such securities does not require registration or qualification of such securities under the
Securities Act or any state securities or “blue sky” law then in force, whether under Rule 144 or otherwise; (3) such securities are sold to a Person in a transaction in which rights under provisions of this Agreement are not
assigned in accordance with this Agreement; (4) such securities shall have ceased to be outstanding; or (5) when such securities can be sold in any 90-day period under Rule 144 without any restriction or limitation, including, without
the requirement to be in compliance with Rule 144(c)(1). 
 “Piggy Back Marketing Limitation”: shall
have the meaning set forth in Section 2(b)(iii) hereof; 
 “Records”: shall have the meaning set
forth in Section 3(b)(vi) hereof; 
 “Registering Stockholder”: shall mean any Holder that
participates in any Registration pursuant to Section 2 hereof, including any Demanding IPO Stockholder and Demanding Non-IPO Stockholders; 

“Register”, “Registered” and “Registration”: shall mean a registration
effected by preparing and filing a registration statement in compliance with the Securities Act (and any post-effective amendments filed or required to be filed in connection therewith) and the declaration or ordering of effectiveness of such
registration statement; 
 “Registrable Securities”: shall mean (i) any shares of Common Stock
issuable or issued upon the conversion of any Preferred Stock, (ii) any stock of the Company issued as a dividend or other distribution with respect to, or in exchange for, or in replacement of (including, without limitation, in connection with
any recapitalization, merger, consolidation, exchange or 

  
 -2- 

 
other reorganization of the Company (or any successor entity)), the Preferred Stock. As to any particular Registrable Securities, such Common Stock shall cease to be Registrable Securities when
(1) a registration statement with respect to the sale by the applicable Holder of such Common Stock has become effective under the Securities Act and such securities have been disposed of in accordance with such registration statement,
(2) such securities have been otherwise transferred, new certificates for such securities not bearing a legend restricting further transfer have been delivered by the Company and subsequent disposition of such securities does not require
registration or qualification of such securities under the Securities Act or any state securities or “blue sky” law then in force, whether under Rule 144 or otherwise; (3) such securities are sold to a Person in a transaction in
which rights under provisions of this Agreement are not assigned in accordance with this Agreement; (4) such securities shall have ceased to be outstanding; or (5) when such securities can be sold in any 90-day period under Rule 144
without any restriction or limitation, including, without the requirement to be in compliance with Rule 144(c)(1). 

“Registration Expenses”: shall mean any and all expenses incident to the performance of or compliance with
any Registration or marketing of securities pursuant to Section 2 hereof, including all (i) registration and filing fees, and all other fees and expenses payable in connection with the listing of securities on any national securities
exchange or automated interdealer quotation system, (ii) fees and expenses of compliance with any securities or “blue sky” laws (including reasonable fees and disbursements of counsel in connection with “blue sky”
qualifications of the securities registered), (iii) expenses in connection with the preparation, printing, mailing and delivery of any registration statements, prospectuses and other documents in connection therewith and any amendments or
supplements thereto, (iv) security engraving and printing expenses, (v) internal expenses of the Company (including, without limitation, all salaries and expenses of its officers and employees performing legal or accounting duties),
(vi) fees and disbursements of counsel for the Company and fees and expenses for independent certified public accountants retained by the Company (including the expenses associated with the delivery by independent certified public accountants
of any comfort letters requested pursuant to the terms set forth herein), (vii) fees and expenses of any special experts retained by the Company in connection with such Registration, (viii) reasonable and documented fees and expenses of
one counsel for all of the Registering Stockholders participating in the offering, which counsel shall be selected by the Registering Stockholder holding the largest number of the Registrable Securities to be sold for the account of any Registering
Stockholder in the offering (excluding the fees and expenses of any other counsel which shall be borne solely by the Holder(s) engaging such counsel), in an aggregate amount not to exceed $5,000 unless the offering is underwritten, in which case the
fees of underwriters’ counsel shall be separately reimbursed up to an amount of $100,000, (ix) fees and expenses in connection with any review by FINRA of any underwriting arrangements or other terms of the offering, and all reasonable
fees and expenses of any “qualified independent underwriter,” including the fees and expenses of any counsel thereto, (x) reasonable fees and disbursements of underwriters customarily paid by issuers or sellers of securities, but
excluding any underwriting fees, discounts and commissions attributable to the sale of Registrable Securities, (xi) costs of printing and producing any agreements among underwriters, underwriting agreements, any “blue sky” or legal
investment memoranda and any selling agreements and other documents in connection with the offering, sale or delivery of the Registrable Securities, (xii) transfer agents’ and registrars’ fees and 

  
 -3- 

 
expenses and the fees and expenses of any other agent or trustee appointed in connection with such offering, and (xiii) reasonable expenses relating to any analyst or investor presentations
or any “road shows” undertaken in connection with the Registration, marketing or selling of the Registrable Securities. Except as set forth in clause (viii) above, Registration Expenses shall not include any out-of-pocket expenses of
the Registering Stockholders; 
 “Rule 144”: shall have the meaning set forth in Section 3(e)
hereof 
 “Selling Expenses”: shall mean all underwriting fees, discounts and commissions attributable to
the sale of Registrable Securities and all fees and disbursements of counsel for each of the Holders other than the fees and expenses of one counsel for all of the Holders which shall be paid for by the Company in accordance with the terms set forth
in clause (viii) of the definition of “Registration Expenses” set forth herein; 
 SECTION 2.
REGISTRATION RIGHTS 
  

	 	(a)	 Demand Registration. 

(i)     Request for Registration for the IPO. Prior to the Initial Public Offering,
if the Company shall receive from the Demanding IPO Stockholders, at any time after (A) the Company has raised a further $3,000,000 in gross proceeds from a placement of its securities and (B) either (I) six months have elapsed since
the Initial Public Offering or (II) fifteen (15) calendar days have elapsed since the Company has otherwise become obligated to file reports under Section 13 or 15(d) of the Exchange Act, or (III) three months have elapsed since
the Company has raised a further $3,000,000 in gross proceeds from a placement of its securities, a written request that the Company effect any Registration with respect to all or a part of the Registrable Securities owned by such Demanding IPO
Stockholders (the “IPO Demand Registration”), the Company shall, subject to the terms hereinafter set forth, including the terms set forth in Section 2(a)(iii) hereof: (x) promptly give written notice of the proposed IPO
Demand Registration to all Other Holders as permitted by Section 2(c) hereof; and (y) as soon as practicable, but in no event to exceed ninety (90) days, use all commercially reasonable efforts to effect such Registration (including,
without limitation, the execution of an undertaking to file post-effective amendments, appropriate qualification under applicable blue sky or other state securities laws and appropriate compliance with applicable regulations issued under the
Securities Act) as may be so requested by the Demanding IPO Stockholders and as would permit or facilitate the sale and distribution of all or such portion of the Registrable Securities of the Demanding IPO Stockholders as are specified in the
request of such Demanding IPO Stockholders, together with all or such portion of the Other Registrable Securities of any Other Holders joining in such request as permitted by Section 2(c) hereof The IPO Demand Registration shall be for a firm
commitment underwritten offering of such Registrable Securities, and shall have reasonably anticipated gross proceeds of not less than $2,000,000. 

  
 -4- 

 (ii)     Request for Registration
Following the Initial Public Offering. At any time following the consummation by the Company of the Initial Public Offering, if the Company shall receive from Holders of not less than 25% of the Registrable Securities (the “Demanding
Non-IPO Stockholders”), at any time, a written request that the Company effect any Registration with respect to all or a part of the Registrable Securities owned by such Demanding Non-IPO Stockholders (each such request shall be referred to
herein as a “Non-IPO Demand Registration”), the Company shall, subject to the terms hereinafter set forth, including the terms set forth in Section 2(a)(iii) hereof: (x) promptly give written notice of the proposed Non-IPO
Demand Registration to all Other Holders as permitted by Section 2(c) hereof; and (y) as soon as practicable, but in no event more than ninety (90) days, use all commercially reasonable efforts to effect such Registration (including,
without limitation, the execution of an undertaking to file post-effective amendments, appropriate qualification under applicable blue sky or other state securities laws and appropriate compliance with applicable regulations issued under the
Securities Act) as may be so requested by the Demanding Non-IPO Stockholders and as would permit or facilitate the sale and distribution of all or such portion of the Registrable Securities of the Demanding Non-IPO Stockholders as are specified in
the request of such Demanding Non-IPO Stockholders, together with all or such portion of the Other Registrable Securities of any Other Holders joining in such request as permitted by Section 2(c) hereof. 

(iii)     Notwithstanding anything contained in Section 2(a)(i) or
Section 2(a)(ii) hereof to the contrary, the Company shall not be obligated to effect, or take any action to effect, any such Registration pursuant to said Sections 2.1(a)(i) or 2.1(a)(ii) with respect to the Registrable Securities of any
Demanding IPO Stockholders, Demanding Non-IPO Stockholders or any Other Holder joining in a request for a Registration as permitted by Section 2(c) hereof: 
  

	 	(1)	 After the Company has consummated one (1) Registration pursuant to Section 2.1(a)(i) or two (2) Registrations pursuant to
Section 2.1(a)(ii) hereof; 

  

	 	(2)	 In any particular jurisdiction in which the Company would be required to execute a general consent to service of process in effecting such
Registration, unless the Company is already subject to service of process in such jurisdiction and except as may be required by the Securities Act or applicable rules or regulations thereunder; 

 

	 	(3)	 If the Registrable Securities requested to be included in such Registration by the Demanding IPO Stockholders or the Demanding Non-IPO
Stockholders, as applicable, together (in either case) with the Other Registrable Securities that all Other Holders have requested be included in such Registration as permitted by Section 2(c) hereof, do not have an anticipated aggregate public
offering price (before any underwriting discounts and commissions), determined by the Company in good faith, of at least $2,000,000; 

  
 -5- 

	 	(4)	 During the period starting with the date thirty (30) days prior to the Company’s good faith estimate of the date of filing of, and ending
on the date ninety (90) days immediately following the effective date of, any registration statement pertaining to securities of the Company (other than a registration of securities on Forms S-4 or S-8 (or any successor forms)), provided that
the Company is actively employing in good faith all commercially reasonable efforts to cause such registration statement to become effective; provided, however, that the Company may only delay an offering pursuant to this
Section 2(a)(iii)(3) for a period of not more than ninety (90) days if a filing of any other registration statement is not made within that period and the Company may only exercise this right once in any twelve (12) month period; or

  

	 	(5)	 If at the time the Company receives the request to register Registrable Securities from the Demanding IPO Stockholders or the Demanding Non-IPO
Stockholders, as applicable, the Company or any of its Subsidiaries is engaged in confidential negotiations to effect a proposed material transaction or other confidential business activities, disclosure of which would be required in such
registration statement (but would not be required if such registration statement were not filed), and the Board of Directors of the Company determines in good faith that such disclosure would have a material adverse effect on the Company, any of its
Subsidiaries or their respective businesses, or on the ability of any of the foregoing Persons to effect a proposed material transaction, including a proposed material acquisition, disposition, financing, reorganization, recapitalization or similar
transaction; provided, however, that a deferral of the filing of a registration statement, or the suspension of the continued use of a registration statement, pursuant to this Section 2(a)(iii)(4) shall be lifted, and the
requested registration statement shall be filed forthwith, if the negotiations or other activities are disclosed or if the Company determines such negotiations have been terminated, and in any event, not more than forty five (45) calendar days
from the date of any demand for registration. 

 (iv)    
Distribution by Partners. In the event any Demanding IPO Stockholders or Demanding Non-IPO Stockholders initiates a Registration pursuant to Section 2(a)(i) or Section 2(a)(ii), as applicable, in connection with a distribution of
Registrable Securities to their or its respective stockholders, partners or members, or any Other Holder elects to participate in such a Registration as permitted by Section 2(c) hereof in connection with a distribution of Other Registrable
Securities to its stockholders, partners or members, the registration statement shall provide for the resale by such stockholders, partners or members, in each case if requested by such Demanding IPO Stockholders, Demanding Non-IPO Stockholders or
other Holder, as the case may be. 
 (v)     Underwriting Agreement. Any IPO
Demand Registration must take the form of an underwritten public offering. If a Demanding Non-IPO Stockholders intends to distribute the Registrable Securities covered by its request for a Non-IPO Demand

  
 -6- 

 
Registration by means of an underwriting, it shall so advise the Company as a part of the written request made pursuant to Section 2(a)(ii). If any Other Holder requests inclusion in any
Demand Registration as permitted by Section 2(c) hereof, the inclusion of the Other Registrable Securities of such Other Holder in such Demand Registration shall be conditioned upon such Other Holder’s acceptance of the further applicable
provisions of this Agreement, including the applicable provisions set forth in this Section 2. The Company and the Demanding IPO Stockholders or Demanding Non-IPO Stockholders, as applicable, shall (together with any Other Holder that has
elected, as permitted by Section 2(c) hereof, to include its Other Registrable Securities in the Demand Registration initiated by the applicable Person or Persons) enter into an underwriting agreement in customary form with the representative
of the underwriter or underwriters selected for such underwriting by the Company and reasonably acceptable to the Person or Persons initiating such Demand Registration; provided, however, that no Registering Stockholder shall be required to make any
representations or warranties, or provide any indemnity, in connection with any such Demand Registration other than representations and warranties (or indemnities with respect thereto) as to (A) such Registering Stockholder’s ownership of
its Registrable Securities to be transferred pursuant to such underwriting agreement free and clear of all liens, claims and encumbrances, (B) such Registering Stockholder’s power and authority to effect the sale of such Registrable
Securities pursuant to such underwriting agreement, (C) such matters pertaining to compliance with securities laws by such Registering Stockholder as may be reasonably requested by the representative of the underwriter or underwriters,
(D) such matters relating to written information furnished to the Company by such Registering Stockholder specifically for use in the registration statement and prospectus (and any related documents) to be used by the Company in connection with
such Registration and (E) such other matters that are customarily represented and warranted with respect to by a selling stockholder in a registered public offering (it being agreed that such matters shall not include matters in respect of the
business and affairs of the Company and its Subsidiaries); provided further, however, that the obligation of such Registering Stockholder to indemnify any Person pursuant to any such underwriting agreement shall be several, not
joint and several, among the Registering Stockholders selling Registrable Securities in such Registration, and the liability of each such Registering Stockholder will be in proportion to the number of Registrable Securities sold by such Holder; and
provided further, however, that such liability will be limited to the net amount (after giving effect to underwriters discounts and commissions but before expenses) received by such Registering Stockholder from the sale of its
Registrable Securities pursuant to such Registration. 
 (vi)     Underwriter
Cutback. Notwithstanding any other provision of this Section 2(a) to the contrary, if a Demand Registration involves an underwritten public offering and the representative of the underwriter or underwriters advises the Company and the
Demanding IPO Stockholders or the Demanding Non-IPO Stockholders, as applicable, that, in its view, the number of Registrable Securities that the Registering Stockholders propose to include in such Registration exceeds the largest number of
Registrable Securities that can be sold in such Registration without having an adverse effect on the offering contemplated thereby (a “Demand Marketing Limitation”), including the price at which such Registrable Securities can be
sold, 

  
 -7- 

 
then first, the number of Other Registrable Securities to be included in such Registration shall be reduced on a pro rata basis (based on the number of Other Registrable Securities that each such
Other Holder proposed to include in such Registration) to the extent so required by the Demand Marketing Limitation and, thereafter, the number of Registrable Securities to be included in such Registration shall be reduced on a pro rata basis (based
on the number of Registrable Securities that each such Holder proposed to include in such Registration) to the extent so required by the Demand Marketing Limitation. No Registrable Securities or Other Registrable Securities excluded from any
Registration by reason of the Demand Marketing Limitation shall be included in such Registration. If the Demanding IPO Stockholders, Demanding Non-IPO Stockholders or any other Holder that has requested inclusion in such Registration as provided
above disapproves of the terms of the underwriting, such Person may elect to withdraw therefrom by written notice to the Company, the representative of the underwriter or underwriters and the Demanding IPO Stockholders or Demanding Non-IPO
Stockholders, as applicable. The securities so withdrawn shall also be withdrawn from Registration. If the underwriter has not limited the number of Registrable Securities to be underwritten, the Company may include its securities for its own
account in such Registration if the representative of the underwriter or underwriters so agrees and if the number of Registrable Securities which would otherwise have been included in such Registration will not thereby be limited. 

 

	 	(b)	 Piggy Back Registration. 

(i)     Company Notice. If the Company shall determine to register any of its
equity securities (x) for its own account at any time following one hundred eighty (180) days following the consummation by the Company of the Initial Public Offering or of the IPO Demand Registration (it being agreed that no Holder shall
have any rights pursuant to this Section 2(b) in connection with the Initial Public Offering if it is a primary offering by the Company or otherwise prior to the date that is one hundred eighty (180) days following the consummation by the
Company of the Initial Public Offering), or (y) in connection with a request for a Registration delivered by the Demanding IPO Stockholders or the Demanding Non-IPO Stockholders pursuant to the terms set forth in Sections 2(a)(i) or 2(a)(ii)
hereof, respectively, other than a Registration Statement on Form S-4 or S-8 (or any successor form), or a Registration on any registration form which does not permit secondary sales or does not include substantially the same information as
would be required to be included in a registration statement covering the sale of Registrable Securities, the Company shall: (A) promptly give to each of the Holders a written notice thereof and (B) subject to the terms set forth in
Sections 2(b)(ii) and 2(b)(iii) hereof and the terms set forth in the immediately following proviso, include in such Registration (and any related qualification under blue sky or other state securities laws), and in any underwriting involved
therein, any or all of the Registrable Securities held by any such Holder as set forth in a written request or requests, made by such Holder within ten (10) days after receipt of the written notice from the Company described in clause
(A) immediately above; provided, however, that, notwithstanding anything contained herein to the contrary, if the representative of the underwriter or underwriters managing any such Registration

  
 -8- 

 
advises the Company and the Holders that, in its view, the inclusion of Registrable Securities of any Holder would have a material adverse effect on such Registration, then the number of
Registrable Securities that may be included in such Registration by such Holder may be limited pro rata with all other securities to be registered thereunder to the extent required to ensure (in the opinion of such representative of the underwriter
or underwriters managing such Registration) that the inclusion of Registrable Securities owned by such Holder in such Registration will not have such a material adverse effect. 

(ii)     Underwriting Agreement. If the Registration in respect of which the Company
gives notice pursuant to Section 2(b)(i)(A) hereof is for a registered public offering involving an underwriting, the Company shall so advise each of the Holders as a part of the written notice given pursuant to said Section 2(b)(i)(A). If
any Holder requests inclusion in any Registration in accordance with the terms set forth in this Section 2(b), the inclusion of the Registrable Securities of such Holder in such Registration shall be conditioned upon such Holder’s
acceptance of the further applicable provisions of this Agreement, including the applicable provisions of this Section 2. The Company and the Holders whose shares of Registrable Securities are to be included in any such Registration shall enter
into an underwriting agreement in customary form with the representative of the underwriter or underwriters selected for underwriting by the Company; provided, however, that no Registering Stockholder shall be required to make any
representations or warranties, or provide any indemnity, in connection with any such Registration other than representations and warranties (or indemnities with respect thereto) as to (A) such Registering Stockholder’s ownership of its
Registrable Securities to be transferred pursuant to such underwriting agreement free and clear of all liens, claims and encumbrances, (B) such Registering Stockholder’s power and authority to effect such transfer pursuant to such
underwriting agreement, (C) such matters pertaining to compliance with securities laws by such Registering Stockholder as may be reasonably requested by the representative of the underwriter or underwriters, (D) such matters relating to
written information furnished to the Company by such Registering Stockholder specifically for use in the registration statement and prospectus (and any related documents) to be used by the Company in connection with such Registration; and
(E) such other matters that are customarily represented and warranted with respect to by a selling stockholder in a registered public offering (it being agreed that such matters shall not include matters in respect of the business and affairs
of the Holder, the Company and its Subsidiaries); provided further, however, that the obligation of such Registering Stockholder to indemnify any Person pursuant to any such underwriting agreement shall be several, not joint and
several, among the Registering Stockholders selling Registrable Securities in such Registration, and the liability of each such Registering Stockholder will be in proportion to the number of Common Stock it holders and are being included in such
Registration to the aggregate number of Registrable Securities included in such Registration; and provided further, however, that such liability will be limited to the net amount (after giving effect to underwriters discounts
and commissions but before expenses) received by such Registering Stockholder from the sale of its Registrable Securities pursuant to such Registration. 

  
 -9- 

 (iii)     Underwriter Cutback.
Notwithstanding any other provision of this Section 2(b) to the contrary, if any Registration in respect of which any Holder is exercising its rights under this Section 2(b) involves an underwritten public offering and the representative
of the underwriter or underwriters advises the Company that, in its view, the number of shares of equity securities of the Company (including, as applicable, Registrable Securities) that are proposed to be included in such Registration exceeds the
largest number of shares that can be sold in such Registration without having an adverse effect on the offering contemplated thereby (a “Piggy Back Marketing Limitation”), including the price at which such shares can be sold, then
the number of Registrable Securities to be included in such Registration shall be reduced in accordance with the following priority: (x) first, the number of Registrable Securities included in such Registration by each Holder shall be reduced
on a pro rata basis (based on the number of Registrable Securities that each such Holder proposed to include in such Registration), to the extent so required by the Piggy Back Marketing Limitation and (y) second, if, after the exclusion of the
Registrable Securities of the Holders in accordance with the terms set forth in clause (x) immediately above, further reductions are still required, the number of shares of equity securities that the Company proposed to sell in such
Registration shall be reduced to the extent so required by the Piggy Back Marketing Limitation. No Registrable Securities excluded from any Registration by reason of the Piggy Back Marketing Limitation shall be included in such Registration. If any
Registering Stockholder that has requested inclusion in a Registration as provided in this Section 2(b) disapproves of the terms of the underwriting, such Person may elect to withdraw therefrom by written notice to the Company and the
representative of the underwriter or underwriters. The securities so withdrawn shall also be withdrawn from the Registration. 

(c)     Notwithstanding anything herein to the contrary, but subject to any cutbacks required pursuant to
Section 2(a)(vi), the Company shall be permitted to include the shares of Common Stock described on Schedule 2(c) attached hereto on any Registration pursuant to Sections 2(a)(i) or 2(a)(ii) hereof (collectively, the “Other
Securities”, and the holders thereof, the “Other Holders”). 
 SECTION 3. OTHER
REGISTRATION RELATED MATTERS 
 (a)     Expenses of Registration. All Registration Expenses
incurred in connection with any Registration effected pursuant to Section 2 hereof shall be borne by the Company, and all Selling Expenses incurred in connection with any such Registration shall be borne by the Registering Stockholders pro rata
on the basis of the number of their shares so registered. 
 (b)     Registration Procedures. In
the case of each Registration effected by the Company pursuant to Section 2 hereof, the Company will keep the Registering Stockholders advised as to the initiation of each such Registration and as to the completion thereof. Without limiting the
foregoing, with respect to each Registration effected by the Company pursuant to Section 2 hereof, the Company and the Holders agree as follows: 

(i)     The Company shall keep such Registration effective for a period of one hundred
twenty (120) days or until the Registering Stockholders (or in the case of a 

  
 -10- 

 
distribution to the stockholders, partners or members of any such Registering Stockholder, such stockholders, partners or members) have completed the distribution described in the registration
statement relating thereto, whichever first occurs; provided, however, that in the case of any Registration of Registrable Securities on Form S-3 (or any successor form) which are intended to be offered on a continuous or delayed
basis, such one hundred twenty (120) day period shall be extended until all such Registrable Securities are sold or cease to be Registrable Securities, provided that Rule 415, or any successor rule under the Securities Act, permits an
offering on a continuous or delayed basis; provided further, however, that applicable rules under the Securities Act governing the obligation to file a post-effective amendment permit, in lieu of filing a post-effective amendment which
(A) includes any prospectus required by Section 10(a) of the Securities Act or (B) reflects facts or events representing a material or fundamental change in the information set forth in the registration statement, the incorporation by
reference of information required to be included in clauses (A) and (B) above to be contained in periodic reports filed by the Company pursuant to Section 12 or 15(d) of the Exchange Act in the registration statement; 

(ii)     Prior to filing a registration statement or prospectus or any amendment or
supplement thereto, the Company shall furnish to each Registering and each underwriter, if any, of the Registrable Securities covered by such registration statement, copies of such registration statement as proposed to be filed, and thereafter, if
requested in writing by a Registering Stockholder or underwriter, the Company shall furnish to each such requesting Registering Stockholder and underwriter, if any, such reasonable number of copies of such registration statement, and each amendment
and supplement thereto (in each case including all exhibits thereto and documents incorporated by reference therein), the prospectus included in such registration statement (including each preliminary prospectus and any summary prospectus) and any
other prospectus filed under Rule 424 or Rule 430A under the Securities Act and such other documents as such Registering Stockholder or underwriter may reasonably request in order to facilitate the disposition of the Registrable Securities
owned by such Registering Stockholder; 
 (iii)     After the filing of the registration
statement, if applicable, the Company shall (A) cause the related prospectus to be supplemented by any required prospectus supplement, and, as so supplemented, to be filed pursuant to Rule 424 under the Securities Act and (B) promptly
notify each Registering Stockholder of any stop order issued or threatened in writing by the Commission or any state securities commission and take all reasonable actions required to prevent the entry of such stop order or to remove it if entered;

 (iv)     The Company shall, subject to the terms set forth in Section 2(a)(i)(1)
hereof, use its commercially reasonable efforts to (A) register or qualify the Registrable Securities covered by such registration statement under such other securities or “blue sky” laws of such jurisdictions in the United States as
any Registering Stockholder reasonably (in light of such Registering Stockholder’s intended plan of distribution) requests and (B) cause such Registrable Securities to be registered with or approved by such other governmental agencies or
authorities as may be necessary by virtue of the business and operations of the Company and do any and all other acts and things 

  
 -11- 

 
that may be reasonably necessary or advisable to enable such Registering Stockholder to consummate the disposition of the Registrable Securities owned by such Registering Stockholder pursuant to
such registration statement; 
 (v)     The Company shall promptly notify each
Registering Stockholder selling Registrable Securities covered by such registration statement, at any time when a prospectus relating thereto is required to be delivered under the Securities Act, of the occurrence of an event known to the Company
requiring the preparation of a supplement or amendment to such prospectus so that, as thereafter delivered to the purchasers of such Registrable Securities, such prospectus will not contain an untrue statement of a material fact or omit to state any
material fact required to be stated therein or necessary to make the statements therein not misleading, and the Company shall also promptly prepare and make available to each such Registering Stockholder and file with the Commission any such
supplement or amendment; 
 (vi)     If such Registration involves an underwriter or if
any Registering Stockholder is being named as an “underwriter” or “deemed to be an underwriter” in the registration statement with respect to such Registration, upon execution of confidentiality agreements in form and substance
reasonably satisfactory to the Company, the Company shall make available for inspection by any Registering Stockholder and any underwriter participating in any disposition pursuant to a registration statement being filed by the Company pursuant to
Section 2 hereof and any attorney, accountant or other professional retained by any such Registering Stockholder or underwriter (collectively, the “Inspectors”), all financial and other records, pertinent corporate documents
and properties of the Company (collectively, the “Records”) as shall be reasonably necessary to enable them to exercise their due diligence responsibility, and the Company shall cause the Company’s officers, directors and
employees to supply all information reasonably requested by any Inspectors in connection with such registration statement; 

(vii)     If such Registration involves an underwriter or if any Registering Stockholder
is being named as an “underwriter” or “deemed to be an underwriter” in the registration statement with respect to such Registration, the Company shall cause to be furnished to each underwriter, if any, a signed counterpart,
addressed to such underwriter of (A) an opinion or opinions of counsel to the Company (including customary “negative assurance” letters) and (B) a comfort letter or comfort letters from the Company’s independent public
accountants, each in customary form and covering such matters of the kind customarily covered by opinions or comfort letters, as the case may be, in a transaction of the nature contemplated by the registration statement; 

(viii)     Each Holder agrees that at the time that such Holder is a Registering
Stockholder, upon receipt of any written notice from the Company of the occurrence of any event requiring the preparation of a supplement or amendment of a prospectus relating to the Registrable Securities covered by a registration statement that is
required to be delivered under the Securities Act so that, as thereafter delivered to the purchasers of such Registrable Securities, such prospectus will not contain an untrue statement of a material fact or omit to state any material fact required
to be stated therein or to make the statements therein not misleading, such Holder shall 

  
 -12- 

 
forthwith discontinue disposition of Registrable Securities pursuant to the registration statement covering such Registrable Securities until such Holder’s receipt of the copies of a
supplemented or amended prospectus, and, if so directed by the Company, such Holder shall deliver to the Company all copies, other than any permanent file copies then in such Holder’s possession, of the most recent prospectus covering such
Registrable Securities at the time of receipt of such notice. If the Company shall give such notice, the Company shall extend the period during which such registration statement shall be maintained effective by the number of days during the period
from and including the date of the giving of notice pursuant to Section 3(b)(v) to the date when the Company shall make available to such Holder a prospectus supplemented or amended to conform with the requirements of Section 3(b)(v)
hereof; 
 (ix)     The Company shall list all Registrable Securities covered by such
registration statement on any securities exchange or interdealer quotation system on which any of the Registrable Securities are then listed or quoted and if none of the Registrable Securities are so listed or quoted, on any securities exchange or
quotations system on which similar securities issued by the Company are then listed or if no such listing exists, on any securities exchange or quotations system as the Company may reasonably determine; and 

(x)     If requested by the Demanding IPO Stockholders or the Demanding Non-IPO
Stockholders the Company shall cause the appropriate officers of the Company to prepare and make presentations at customary and reasonable “road shows” and before analysts, as the case may be. 

 

	 	(c)	 Indemnification. 

(i)     The Company shall indemnify each Holder and, as applicable, each of its officers,
directors, partners, beneficiaries, trustees and members, and each Person controlling each such Holder within the meaning of either Section 15 of the Securities Act or Section 20 of the Exchange Act, with respect to each Registration in
which such Holder has included Registrable Securities pursuant to Section 2 hereof, and each underwriter, if any, and each Person who controls any such underwriter within the meaning of either Section 15 of the Securities Act or
Section 20 of the Exchange Act, against all claims, losses, damages and liabilities (or actions in respect thereof) arising out of or based on any untrue statement (or alleged untrue statement) of a material fact contained in any registration
statement, prospectus, offering circular or other document utilized in connection with any such Registration, or based on any omission (or alleged omission) to state therein a material fact required to be stated therein or necessary to make the
statements therein not misleading, or any violation by the Company of the Securities Act or the Exchange Act or any rule or regulation thereunder applicable to the Company and relating to action or inaction required of the Company in connection with
any such Registration, and will reimburse each such Holder and, as applicable, each of its officers, directors, partners, beneficiaries, trustees and members, and each Person controlling each such Holder within the meaning of either Section 15
of the 

  
 -13- 

 
Securities Act or Section 20 of the Exchange Act, each such underwriter and each Person who controls any such underwriter within the meaning of either Section 15 of the Securities Act
or Section 20 of the Exchange Act, for any legal and any other expenses reasonably incurred in connection with investigating and defending any such claim, loss, damage, liability or action; provided, however, that the Company will
not be liable in any such case to the extent that any such claim, loss, damage, liability or expense arises out of or is based on any untrue statement or omission (or alleged untrue statement or omission) based upon written information furnished to
the Company by the Holders or the underwriters in connection with any such Registration and stated to be specifically for use in any registration statement, prospectus, offering circular or other document utilized in connection with any such
Registration. 
 (ii)     Each Holder shall, if Registrable Securities held by it are
included in the securities as to which a Registration is being effected, indemnify the Company, each of its directors and officers and each underwriter, if any, of the Company’s securities covered by such Registration, each Person who controls
the Company or such underwriter within the meaning of either Section 15 of the Securities Act or Section 20 of the Exchange Act, each other Holder including securities in such Registration and, as applicable, each of their officers,
directors, partners, beneficiaries, trustees and members, and each Person controlling such other Holder within the meaning of either Section 15 of the Securities Act or Section 20 of the Exchange Act, against all claims, losses, damages
and liabilities (or actions in respect thereof) arising out of or based on any untrue statement (or alleged untrue statement) of a material fact contained in any registration statement, prospectus, offering circular or other document utilized in
connection with any such Registration made by such Holder, or any omission (or alleged omission) to state therein a material fact required to be stated therein or necessary to make the statements by such Holder therein not misleading, and will
reimburse the Company and each of its directors and officers and each underwriter, if any, of the Company’s securities covered by such Registration, each Person who controls the Company or such underwriter within the meaning of either
Section 15 of the Securities Act or Section 20 of the Exchange Act, each other Holder including securities in such Registration and, as applicable, each of their officers, directors, partners, beneficiaries, trustees and members, and each
Person controlling such other Holder within the meaning of either Section 15 of the Securities Act or Section 20 of the Exchange Act, for any legal or any other expenses reasonably incurred in connection with investigating or defending any
such claim, loss, damage, liability or action, in each case to the extent, but only to the extent, that such untrue statement (or alleged untrue statement) or omission (or alleged omission) is made in such registration statement, prospectus,
offering circular or other document utilized in connection with such Registration in reliance upon and in conformity with written information furnished to the Company by such Holder and stated to be specifically for use therein; provided,
however, that the indemnification obligations of each Holder hereunder shall be limited to an amount equal to the net proceeds that such Holder receives in respect of the Registrable Securities sold by such Holder in such Registration as
contemplated herein. 

  
 -14- 

 (iii)     Each party entitled to
indemnification under this Section 3(c) (the “Indemnified Party”) shall give written notice to the party required to provide indemnification hereunder (the “Indemnifying Party”) promptly after such Indemnified
Party has actual knowledge of any claim as to which indemnity may be sought, and shall permit the Indemnifying Party to assume the defense of any such claim or any litigation resulting therefrom, provided, that counsel for the Indemnifying Party,
who shall conduct the defense of such claim or any litigation resulting therefrom, shall be approved by the Indemnified Party (whose approval shall not unreasonably be withheld or delayed) and the Indemnified Party may participate in such defense at
such party’s expense (unless the Indemnified Party shall have reasonably concluded that there may be an actual or potential conflict of interest between the Indemnifying Party and the Indemnified Party in such claim or any litigation resulting
therefrom, in which case the reasonable fees and expenses of one counsel for the Indemnified Party shall be paid by the Indemnifying Party), and provided further that the failure of any Indemnified Party to give notice as provided herein shall not
relieve the Indemnifying Party of its obligations under this Section 2 unless, and only to the extent that, the Indemnifying Party is materially prejudiced thereby. No Indemnifying Party, in the defense of any such claim or litigation shall,
except with the consent of each Indemnified Party (which consent shall not be unreasonably withheld or delayed), consent to entry of any judgment or enter into any settlement which does not include as an unconditional term thereof the giving by the
claimant or plaintiff to such Indemnified Party of a release from all liability in respect of such claim or litigation. No Indemnified Party may consent to entry of any judgment or enter into any settlement, in the defense of any claim or
litigation, except with the consent of each Indemnifying Party. Each Indemnified Party shall furnish such information regarding itself or the claim in question as an Indemnifying Party may reasonably request in writing and as shall be reasonably
required in connection with the defense of such claim and litigation resulting therefrom, provided that no party shall be required to disclose any information hereunder that is subject to the attorney-client or a similar privilege. 

(iv)     If the indemnification provided for in this Section 3(c) is held by a court
of competent jurisdiction to be unavailable to an Indemnified Party with respect to any loss, liability, claim, damage or expense referred to herein, then the Indemnifying Party, in lieu of indemnifying such Indemnified Party hereunder, shall
contribute to the amount paid or payable by such Indemnified Party as a result of such loss, liability, claim, damage or expense in such proportion as is appropriate to reflect the relative fault of the Indemnifying Party, on the one hand, and of
the Indemnified Party, on the other hand, in connection with the statements or omissions which resulted in such loss, liability, claim, damage or expense, as well as any other relevant equitable considerations; provided, however, that
the contribution obligations of any Holder hereunder shall (x) be limited to an amount equal to the net proceeds that such Holder receives in respect of the Registrable Securities sold by such Holder in the Registration to which such
contribution is being made and (y) be several in the proportion that the net proceeds of the offering received by such Holder bears to the total net proceeds of the offering received by all Registering Stockholders. The relative fault of the
Indemnifying Party and of the Indemnified Party shall be determined by reference to, among other things, whether the untrue (or alleged untrue) statement of a material fact or the omission (or alleged

  
 -15- 

 
omission) to state a material fact relates to information supplied by the Indemnifying Party or by the Indemnified Party and the parties’ relative intent, knowledge, access to information
and opportunity to correct or prevent such statement or omission. Notwithstanding the foregoing, no Person guilty of fraudulent misrepresentation (within the meaning of Section 11(f) of the Securities Act) shall be entitled to contribution from
any Person who was not guilty of such fraudulent misrepresentation. 
 (v)    
Notwithstanding the foregoing, to the extent that the provisions on indemnification and contribution contained in the underwriting agreement entered into in connection with any underwritten public offering contemplated by this Agreement are in
conflict with the foregoing provisions, the provisions in such underwriting agreement shall be controlling; provided, however, that the terms set forth in any such underwriting agreement shall be subject to the terms set forth in
Sections 2(a)(v) and 2(b)(ii) hereof. 
  

	 	(d)	 Information by the Holders. 

(i)     Each of the Holders holding securities included in any Registration shall furnish
to the Company, no later than the tenth (10th) business day following notice therefor from the Company (each, an “Information Deadline”), such information regarding such Holder and
the distribution proposed by such Holder as the Company may reasonably request in writing (each, an “Investor Questionnaire”) and as shall be reasonably required in connection with any Registration referred to Section 2 hereof.
Notwithstanding anything herein to the contrary, the failure of any Holder to deliver the applicable Investor Questionnaire to the Company prior to the applicable Information Deadline shall release the Company of any obligation to include any
Registrable Securities of such Holder on such registration statement. 
 (ii)     In the
event that, either immediately prior to or subsequent to the effectiveness of any registration statement, any Holder shall distribute Registrable Securities to its stockholders, partners or members, such Holder shall so advise the Company and
provide such information as shall be necessary to permit an amendment to such registration statement to provide required information with respect to such stockholders, partners, beneficiaries or members, as selling securityholders. Promptly
following receipt of such information, the Company shall file an appropriate amendment to such registration statement reflecting the information so provided. Any incremental expense to the Company resulting from such amendment shall be borne by such
Holder. 
 (e)     Rule 144 Reporting. With a view to making available the benefits of
certain rules and regulations of the Commission which may permit the sale of restricted securities to the public without registration, the Company agrees to use best efforts to: 

(i)     make and keep public information available as those terms are understood and
defined in Rule 144 under the Securities Act (“Rule 144”), at all times from and after ninety (90) days following the effective date of the first registration under the Securities Act filed by the Company for an
offering of its securities to the general public; 

  
 -16- 

 (ii)     use all commercially reasonable
efforts to file with the Commission in a timely manner all reports and other documents required of the Company under the Securities Act and the Exchange Act at any time after it has become subject to such reporting requirements; and 

(iii)     so long as the Holder owns any Registrable Securities, furnish to such Holder,
upon request, a written statement by the Company as to its compliance with the reporting requirements of Rule 144 (at any time from and after ninety (90) days following the effective date of the first registration statement filed by the
Company for an offering of its securities to the general public), and of the Securities Act and the Exchange Act (at any time after it has become subject to such reporting requirements), a copy of the most recent annual or quarterly report of the
Company, and such other reports and documents so filed by the Company with the Commission as such Holder may reasonably request in availing itself of any rule or regulation of the Commission allowing such Holder to sell any such securities without
registration. 
 (f)     “Market Stand-Off” Agreement. Each of the Holders and the
Company agrees, if requested by the representative of the underwriter or underwriters in connection with any underwritten public offering of equity securities of the Company, not to sell or otherwise transfer or dispose (except for standard
exceptions agreed to by the representative of the underwriter or underwriters) of any Registrable Securities or other equity securities of the Company during the one hundred eighty (180) day period (in the case of the Initial Public Offering)
or ninety (90) day period (in the case of any underwritten public offering other than the Initial Public Offering) following the effective date of a registration statement of the Company filed under the Securities Act (except to the extent that
the underwriter(s) agree to a shorter lockup period), such periods subject to extension on customary terms if required by the representative of the underwriter or underwriters to take into account the issuance or potential issuance of research or
similar reports, provided that all executive officers and directors and other 5% or greater shareholders of the Company enter into similar agreements. If requested by the representative of the underwriter or underwriters, the Company and the Holders
shall execute a separate agreement to the foregoing effect. The Company may impose stop-transfer instructions with respect to the shares (or securities) subject to the foregoing restriction until the end of the applicable period referred to in this
Section 3(f). 
 (g)     Partial Liquidated Damages: If: (i) the IPO Registration
Statement or the Non-IPO Registration Statement is not declared effective within ninety (90) days of the date of demand for such Registration, or (ii) the Company fails to file with the Commission a request for acceleration of a
Registration Statement in accordance with Rule 461 promulgated by the Commission pursuant to the Securities Act, within five Trading Days of the date that the Company is notified (orally or in writing, whichever is earlier) by the Commission
that such Registration Statement will not be “reviewed” or will not be subject to further review, or (iii) after the effective date of a Registration Statement, such Registration Statement ceases for any reason to remain continuously
effective as to all Registrable Securities included in such Registration Statement, or the Holders are otherwise not permitted to utilize the Prospectus therein to resell such Registrable Securities, for more than the periods set forth herein (any
such failure or breach being referred to as an “Event”, then, in addition to any 

  
 -17- 

 
other rights the Holders may have hereunder or under applicable law, on the date of each such Event and on each monthly anniversary of each such Event (if the applicable Event shall not have been
cured by such date) until the applicable Event is cured, the Company shall pay to each Holder an amount in cash, as partial liquidated damages and not as a penalty, equal to the product of (1) the product of (A) 1.5% multiplied by
(B) the quotient of (1) the number of such Holder’s Registrable Securities that are not then covered by a Registration Statement that is then effective and available for use by such Holder divided by (II) the total number of such
Holder’s Registrable Securities multiplied by (2) the aggregate Subscription Price paid by such Holder pursuant to the Purchase Agreement; provided, however, that, in the event that none of such Holder’s Registrable
Securities are then covered by a Registration Statement that is effective and available for use by such Holder, the quotient of (I) divided by (II) in clause (1)(B) herein shall be deemed to equal 1. The parties agree that the maximum
aggregate liquidated damages payable to a Holder under this Agreement shall be 9% of the aggregate Subscription Amount paid by such Holder pursuant to the Purchase Agreement. If the Company fails to pay any partial liquidated damages pursuant to
this Section in full within seven business days after the date payable, the Company will pay interest thereon at a rate of 15% per annum (or such lesser maximum amount that is permitted to be paid by applicable law) to the Holder, accruing
daily from the date such partial liquidated damages are due until such amounts, plus all such interest thereon, are paid in full. The partial liquidated damages pursuant to the terms hereof shall apply on a daily pro rata basis for any portion of a
month prior to the cure of an Event. 
 SECTION 4. MISCELLANEOUS 

(a)    Directly or Indirectly. Where any provision in this Agreement refers to action to be taken
by any Person, or which such Person is prohibited from taking, such provision shall be applicable whether such action is taken directly or indirectly by such Person. 

(b)    Governing Law; Jurisdiction; Waiver of Jury Trial. All questions concerning the
construction, validity, enforcement and interpretation of this Agreement shall be governed by and construed and enforced in accordance with the internal laws of the State of New York, without regard to the principles of conflicts of law thereof.
Each party agrees that all legal proceedings concerning the interpretations, enforcement and defense of the transactions contemplated by this Agreement (whether brought against a party hereto or its respective affiliates, directors, officers,
shareholders, partners, members, employees or agents) shall be commenced exclusively in the state and federal courts sitting in the City of New York. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts
sitting in the City of New York, Borough of Manhattan for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of this
Agreement), and hereby irrevocably waives, and agrees not to assert in any suit, action or proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such suit, action or proceeding is improper or is an
inconvenient venue for such proceeding. Each party hereby irrevocably waives personal service of process and consents to process being served in any such suit, action or proceeding by mailing a copy thereof via registered or certified mail or
overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and 

  
 -18- 

 
sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law. If either party
shall commence an action, suit or proceeding to enforce any provisions of this Agreement, the prevailing party in such action, suit or proceeding shall be reimbursed by the other party for its reasonable attorneys’ fees and other costs and
expenses incurred with the investigation, preparation and prosecution of such action or proceeding. IN ANY ACTION, SUIT, OR PROCEEDING IN ANY JURISDICTION BROUGHT BY ANY PARTY AGAINST ANY OTHER PARTY, THE PARTIES EACH KNOWINGLY AND INTENTIONALLY, TO
THE GREATEST EXTENT PERMITTED BY APPLICABLE LAW, HEREBY ABSOLUTELY, UNCONDITIONALLY, IRREVOCABLY AND EXPRESSLY WAIVES FOREVER TRIAL BY JURY. 

(c)    Section Headings. The headings of the sections and subsections of this Agreement are
inserted for convenience only and shall not be deemed to constitute a part thereof. 

(d)    Notices. Any and all notices or other communications or deliveries required or permitted to
be provided hereunder shall be in writing and shall be deemed given and effective on the earliest of: (a) the date of transmission, if such notice or communication is delivered via facsimile at the facsimile number set forth on the signature
pages attached hereto at or prior to 5:30 p.m. (New York City time) on a Trading Day, (b) the next Trading Day after the date of transmission, if such notice or communication is delivered via facsimile at the facsimile number set forth on the
signature pages attached hereto on a day that is not a Trading Day or later than 5:30 p.m. (New York City time) on any Trading Day, (c) the second (2nd) Trading Day following the date of
mailing, if sent by U.S. nationally recognized overnight courier service or (d) upon actual receipt by the party to whom such notice is required to be given. The address for such notices and communications shall be as set forth on the signature
pages attached hereto. 
 (e)    Successors and Assigns. This Agreement shall inure to the
benefit of and be binding upon the successors and permitted assigns of each of the parties hereto; provided, that it shall be a condition precedent to the assignment of any rights to any Person hereunder that such assignee agrees to be bound
by the terms and conditions set forth herein that are applicable to Holders hereunder pursuant to a written instrument that is reasonably satisfactory in form and substance to the Company. In connection with any restructuring of the legal status
and/or capital structure of the Company or any Subsidiary thereof or successor to the Company or any such Subsidiary in the future in order to facilitate a public offering of securities by the Company, the Company shall cause the successor Company
to assume the obligations of the Company hereunder and references to the Company shall be deemed to be references to the Company. 

(f)    Amendment and Waiver. This Agreement may be amended, modified or supplemented and the
observance of any term of this Agreement may be waived, with (and only with) (i) in the case of an amendment, modification or supplementation, the written consent of the Company and the Holders that, as of any applicable date of determination,
own at least 75% of the Registrable Securities owned by all Holders as of such date of determination and (ii) in the case of a waiver, the Person or Persons who are waiving rights hereunder. If any amendment, modification or supplement is
adopted and approved as herein provided, such amendment, modification or supplement shall be effective with respect to all Holders hereunder, whether or not such Holder shall have agreed to such amendment, modification, supplement or waiver, and the
Company shall promptly notify all other Holders who have not so agreed of the material terms of such amendment, modification, supplement or waiver and the effective date thereof. 

  
 -19- 

 (g)    Severability. In the event that any part or
parts of this Agreement shall be held illegal or unenforceable by any court or administrative body of competent jurisdiction, such determination shall not affect the remaining provisions of this Agreement which shall remain in full force and effect.

 (h)    Counterparts. This Agreement may be executed in one or more counterparts (including by
facsimile), each of which shall be deemed an original and all of which together shall be considered one and the same agreement. 

[Signature page follows.] 

  
 -20- 

 IN WITNESS WHEREOF, the undersigned have executed this Registration Rights
Agreement as of the date first set forth above. 
  

			
	 CONKWEST, INC.

		
	 By:
		/s/ Barry Simon
			 Name: Barry Simon

			 Title: Chief Executive Officer

  

			
	 BIO IP VENTURES LLC:

		
	 By:
		 /s/ Yoav Roth

			 Name: Yoav Roth

			 Title: Authorized Signatory

 Schedule 2(c) 

 

	 	1.	 2009 Bridge Lenders up to 1,000,000 shares 

	 	2.	 Investors in the Private Placement 

	 	3.	 Healthpro Bioventures, LLC warrant shares up to 930,233 shares.

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