Document:

EX-4.6

  Exhibit 4.6

    

  DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934

  As of December 31, 2021, Phathom Pharmaceuticals, Inc. (“we,” “us” and “our”) had one class of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended: our common stock.

  Description of Common Stock

  General

  The following description summarizes some of the terms of our common stock. Because it is only a summary, it does not contain all the information that may be important to you and is subject to and qualified in its entirety by reference to our amended and restated certificate of incorporation (the “certificate of incorporation”), and amended and restated Bylaws (“bylaws”), which are filed as exhibits to our most recent Annual Report on Form 10-K and are incorporated by reference herein. We encourage you to read our certificate of incorporation and our bylaws for additional information.

  As of December 31, 2021, our authorized capital stock consisted of 400,000,000 shares of common stock, $0.0001 par value per share, and 40,000,000 shares of preferred stock, $0.0001 par value per share.

  Voting Rights

  Holders of our common stock are entitled to one vote for each share held on all matters submitted to a vote of stockholders, including the election of directors, and do not have cumulative voting rights. Accordingly, the holders of a majority of the outstanding shares of common stock entitled to vote in any election of directors can elect all of the directors standing for election, if they so choose, other than any directors that holders of any preferred stock we may issue may be entitled to elect. Subject to the supermajority votes for some matters, other matters shall be decided by the affirmative vote of our stockholders having a majority in voting power of the votes cast by the stockholders present or represented and voting on such matter. Our amended and restated certificate of incorporation and amended and restated bylaws also provide that our directors may be removed only for cause and only by the affirmative vote of the holders of at least two-thirds in voting power of the outstanding shares of capital stock entitled to vote thereon. In addition, the affirmative vote of the holders of at least two-thirds in voting power of the outstanding shares of capital stock entitled to vote thereon is required to amend or repeal, or to adopt any provision inconsistent with, several of the provisions of our amended and restated certificate of incorporation.

  Dividend Rights

  Subject to preferences that may be applicable to any then outstanding preferred stock, holders of common stock are entitled to receive ratably those dividends, if any, as may be declared by the board of directors out of legally available funds.

  Liquidation Rights

  In the event of our liquidation, dissolution or winding up, the holders of common stock will be entitled to share ratably in the assets legally available for distribution to stockholders after the payment of or provision for all of our debts and other liabilities, subject to the prior rights of any preferred stock then outstanding.

  Rights and Preferences

  Holders of common stock have no preemptive or conversion rights or other subscription rights and there are no redemption or sinking funds provisions applicable to the common stock.

    

   

   

   

   

  

    

  Fully paid and nonassessable

  The outstanding shares of common stock are duly authorized, validly issued, fully paid and nonassessable.

  Transfer Agent and Registrar

  The transfer agent and registrar for our common stock is Computershare Trust Company, N.A.

  The Nasdaq Global Market Listing

  Our common stock is listed and traded on the Nasdaq Global Select Market under the ticker symbol “PHAT.”

  Anti-Takeover Effects of Delaware Law and Our Certificate of Incorporation and Bylaws

  Some provisions of Delaware law, our amended and restated certificate of incorporation and our amended and restated bylaws contain provisions that could make the following transactions more difficult: an acquisition of us by means of a tender offer; an acquisition of us by means of a proxy contest or otherwise; or the removal of our incumbent officers and directors. It is possible that these provisions could make it more difficult to accomplish or could deter transactions that stockholders may otherwise consider to be in their best interest or in our best interests, including transactions which provide for payment of a premium over the market price for our shares. These provisions, summarized below, are intended to discourage coercive takeover practices and inadequate takeover bids.

  These provisions are also designed to encourage persons seeking to acquire control of us to first negotiate with our board of directors. We believe that the benefits of the increased protection of our potential ability to negotiate with the proponent of an unfriendly or unsolicited proposal to acquire or restructure us outweigh the disadvantages of discouraging these proposals because negotiation of these proposals could result in an improvement of their terms.

  Undesignated Preferred Stock

  The ability of our board of directors, without action by the stockholders, to issue up to 40,000,000 shares of undesignated preferred stock with voting or other rights or preferences as designated by our board of directors could impede the success of any attempt to change control of us. These and other provisions may have the effect of deferring hostile takeovers or delaying changes in control or management of our company.

  Stockholder Meetings

  Our amended and restated bylaws provide that a special meeting of stockholders may be called only by our chairman of the board of directors, chief executive officer or president, or by a resolution adopted by a majority of our board of directors.

  Requirements for Advance Notification of Stockholder Nominations and Proposals

  Our amended and restated bylaws establish advance notice procedures with respect to stockholder proposals to be brought before a stockholder meeting and the nomination of candidates for election as directors, other than nominations made by or at the direction of the board of directors or a committee of the board of directors.

  Elimination of Stockholder Action by Written Consent

  Our amended and restated certificate of incorporation and amended and restated bylaws eliminate the right of stockholders to act by written consent without a meeting.

  Staggered Board of Directors

   

   

    

  Our board of directors is divided into three classes. The directors in each class will serve for a three-year term, one class being elected each year by our stockholders. This system of electing and removing directors may tend to discourage a third party from attempting to obtain control of us, because it generally makes it more difficult for stockholders to replace a majority of the directors.

  

  Removal of Directors

  Our amended and restated certificate of incorporation provides that no member of our board of directors may be removed from office except for cause and, in addition to any other vote required by law, upon the approval of not less than two thirds of the total voting power of all of our outstanding voting stock then entitled to vote in the election of directors.

  Stockholders Not Entitled to Cumulative Voting

  Our amended and restated certificate of incorporation does not permit stockholders to cumulate their votes in the election of directors. Accordingly, the holders of a majority of the outstanding shares of our common stock entitled to vote in any election of directors can elect all of the directors standing for election, if they choose, other than any directors that holders of our preferred stock may be entitled to elect.

  Delaware Anti-Takeover Statute

  We are subject to Section 203 of the Delaware General Corporation Law, which prohibits persons deemed to be “interested stockholders” from engaging in a “business combination” with a publicly held Delaware corporation for three years following the date these persons become interested stockholders unless the business combination is, or the transaction in which the person became an interested stockholder was, approved in a prescribed manner or another prescribed exception applies. Generally, an “interested stockholder” is a person who, together with affiliates and associates, owns, or within three years prior to the determination of interested stockholder status did own, 15% or more of a corporation’s voting stock. Generally, a “business combination” includes a merger, asset or stock sale, or other transaction resulting in a financial benefit to the interested stockholder. The existence of this provision may have an anti-takeover effect with respect to transactions not approved in advance by the board of directors.

  Choice of Forum

  Our amended and restated certificate of incorporation provides that, unless we consent in writing to the selection of an alternative form, the Court of Chancery of the State of Delaware will be the sole and exclusive forum under Delaware statutory or common law for: (i) any derivative action or proceeding brought on our behalf; (ii) any action asserting a claim of breach of a fiduciary duty or other wrongdoing by any of our directors, officers, employees or agents to us or our stockholders, creditors or other constituents; (iii) any action asserting a claim against us arising pursuant to any provision of the General Corporation Law of the State of Delaware or our amended and restated certificate of incorporation or amended and restated bylaws; (iv) any action to interpret, apply, enforce or determine the validity of our certificate of incorporation or bylaws; or (v) any action asserting a claim governed by the internal affairs doctrine. This provision would not apply to suits brought to enforce a duty or liability created by the Securities Exchange Act of 1934 (the “Exchange Act”), or any other claim for which the federal courts have exclusive jurisdiction.  

  In addition, our bylaws provide that unless we consent in writing to the selection of an alternative forum, the federal district courts of the United States shall be the exclusive forum for the resolution of any complaint asserting a cause of action arising under the Securities Act of 1933, as amended (the “Securities Act”).  Our certificate of incorporation and bylaws each provide that any person or entity purchasing or otherwise acquiring any interest in shares of our capital stock will be deemed to have notice of and to have consented to this choice of forum provision.

   

   

    

  While the Delaware courts have determined that such choice of forum provisions are facially valid, a stockholder may nevertheless seek to bring a claim in a venue other than those designated in the exclusive forum provisions, and there can be no assurance that such provisions will be enforced by a court in those other jurisdictions. We note that investors cannot waive compliance with the federal securities laws and the rules and regulations thereunder.

    

  Amendment of Charter Provisions

  

  The amendment of any of the above provisions, except for the provision making it possible for our board of directors to issue preferred stock, would require approval by holders of at least two thirds of the total voting power of all of our outstanding voting stock.

  The provisions of Delaware law, our amended and restated certificate of incorporation and our amended and restated bylaws could have the effect of discouraging others from attempting hostile takeovers and, as a consequence, they may also inhibit temporary fluctuations in the market price of our common stock that often result from actual or rumored hostile takeover attempts. These provisions may also have the effect of preventing changes in the composition of our board of directors and management. It is possible that these provisions could make it more difficult to accomplish transactions that stockholders may otherwise deem to be in their best interests.EX-10.30

  CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. THE OMISSIONS HAVE BEEN INDICATED BY “[***].”

   

  Exhibit 10.30 

  1st AMENDMENT 

  TO THE SUPPLY AND PACKAGING SERVICES AGREEMENT DATED DECEMBER 30, 2020

   

  This first addendum (the “First Amendment”) is made on the date of the last signature of the Parties below (the “First Amendment Effective Date”)

  BETWEEN

  (1)	Sandoz GmbH, a limited liability company organized and existing under the laws of Austria, registered with the commercial register of the district court (Landesgericht) Innsbruck under FN 50587v, with its registered address at Biochemiestrasse 10, 6250 Kundl, Austria (“Supplier”); and

  (2)	Phathom Pharmaceuticals, Inc, a corporation validly existing under the laws of the State of Delaware, located at 2150 E. Lake Cook Road, Suite 800, Buffalo Grove, IL 60089, U.S. (“Customer”).

  WHEREAS: 

  
   (A)
   
    Supplier and Customer have entered into a Supply and Packaging Services Agreement on December 30, 2020 (the “Agreement”), by which Customer has entrusted Supplier to supply certain bulk products and to perform certain packaging services relating to certain proprietary pharmaceutical products. Capitalized terms used and not otherwise defined herein shall have the meaning given to them in the Agreement.
   

  

  
   (B)
   
    The Parties now desire to extend the scope of the agreement to the Additional Product (as defined below), as foreseen in Section 1.7 of the Agreement.
   

  

  NOW, THEREFORE, in consideration of the mutual covenants and agreements set forth herein the Parties hereby agree as follows:

  
   1.
   
    CHANGES TO THE MAIN BODY OF THE AGREEMENT
   

  

  The main body of the Agreement is hereby amended as follows (changed or new wording in italics):

  
   1.1
   
    The last sentence of Clause 1.2 is changed as follows:
   

  

  Supplier Bulk Supply and Packaging Services shall be subject to one single ordering and invoicing mechanism for each Final Product.

  
   1.2
   
    The first paragraph of Clause 1.3 is changed as follows:
   

  

  Bulk Products. The bulk products to be packaged under this agreement are 

  
   •
   
    For the Original Product: Clarithromycin 500 mg FCT, Amoxicillin 500 mg HGC and Vonoprazan 20 mg FCT; and 
   

  

  
   •
   
    For the Additional Product: Vonoprazan 20 mg FCT and Amoxicillin 500 mg HGC 
   

  

  (jointly referred to as “Bulk Products” and each of them a “Bulk Product”).

  
   1.3
   
    The first sentence of Clause 1.6 is hereby changed as follows:
   

  

   

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  Phases of Cooperation. The cooperation of the Parties hereunder shall go through two (2) phases for each the Original Product and the Additional Product:

  
   1.4
   
    Clause 1.7 is changed as follows:
   

  

  Extension of Scope. The cooperation of the Parties shall in the first instance be limited to Packaging Services and other services related to the Final Products to be marketed in the Territory. However, Customer intends potentially to launch the Final Products in other regions. In case of such additional launches the scope of this Agreement shall be extended, and the terms modified, solely to the extent necessary to address such expanded scope.

  
   1.5
   
    The first sentence of Clause 2.3 is changed as follows:
   

  

  Further Implementation Services. In addition to the Set-up Activities covered by the LoI, Supplier shall provide the following services, as further specified in Annex 3 (Further Im-plementation Services), in relation to the Original Product (the “Further Implementation Services”):

  
   1.6
   
    The following new Clause 2.5 is added to the Agreement:
   

  

  Additional Implementation Services. In addition to the Set-up Activities covered by the LoI and the Further Implementation Services, Supplier shall provide the following services, as further specified in Annex 3a (Additional Implementation Services), in relation to the Additional Product (the “Additional Implementation Services”):

  
   a)
   
    Procurement of Additional Equipment for Packaging Line and the Additional Product;
   

  

  
   b)
   
    Installation & Operational Qualification Dual Pack and Sample Manufacturing; and
   

  

  
   c)
   
    Sample Manufacturing Triple Pack.
   

  

  
   1.7
   
    The following new Clause 2.6 is added to the Agreement:
   

  

  Additional Implementation Fees. For the performance of the Additional Implementation Services, Customer shall pay to Supplier the following service fees (the “Additional Implementation Fees” and each of them an “Additional Implementation Fee”):

  			
	Work Package
	Fee
	Invoice Date

	Procurement of Additional Equipment for Packaging Line and the Additional Product
	[***]
	[***]

	Installation & Operational Qualification Dual Pack and Sample Manufacturing
Sample Manufacturing Triple Pack
	[***]
	[***]

   Upon [***], Supplier shall issue invoices for the Additional Implementation Fees. Clauses 6.3-6.7 shall apply mutatis mutandis. 

  
   1.8
   
    Existing Clause 2.5 is now changed to Clause 2.7 and changed as follows:
   

  

  Timeline. The Parties intend that all Set-up Activities relating to the Original Product and the Additional Product shall be completed by end of [***], except for (i) the validation of the packaging 

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  process which shall be completed no later than [***], and (ii) stability study which shall have an overall duration of [***]. In the event that any Set-up Activities cannot be successfully performed and completed in such timeline, the Parties shall promptly meet to discuss, in good faith, a path forward.

  
   1.9
   
    The first sentence of Clause 3.1 is changed as follows:
   

  

  Commencement. Upon completion of the Set-up Activities (except for the stability study) for the Original Product and the Additional Product, respectively, and subject to payment of the Implementation Fees or the Additional Implementation Fees, Supplier shall provide the Packaging Services and Deliver the relevant Final Products to Customer and its Affiliates throughout the remaining Term.

  
   1.10
   
    Clause 3.7 is changed as follows:
   

  

  Purchase Obligation. Unless this Agreement is terminated or expires earlier, Customer shall source its and its Affiliates’ entire demands for each Final Product and for Supplier Provided Bulk Products, in each case for sale during the Exclusive Purchase Period in the Territory, exclusively from Supplier and/or Supplier-designated Affiliate for a period of [***] (the “Exclusive Purchase Period”) and Customer shall not, either directly or indirectly, during the Exclusive Purchase Period in the Territory, sell Final Product and/or Supplier Provided Bulk Products sourced from any party other than Supplier.

  
   1.11
   
    The first sentence of Clause 5.1 is changed as follows:
   

  

  Rolling Monthly Forecasts. Within the first [***] of each calendar month during the Term of this Agreement, Customer shall provide Supplier with a [***] rolling forecast (the “Forecast”) of its requirements of each Final Product.

  
   1.12
   
    Clause 5.5 is changed as follows:
   

  

  Minimum Capacity. Supplier shall at all times during the Manufacturing Phase maintain an annual minimum capacity for the provision of Packaging Services, depending on the applicable cumulative Forecast volume for the Final Products (Original Product plus Additional Products), as specified in the following chart:

  		
	Forecast Volume
	Minimum Capacity
(as a % of Forecast)

	[***]
	[***]

	[***]
	[***]

   

   

   

   

  
   1.13
   
    Sentences 1 and 2 of Clause 5.6 are changed as follows:
   

  

  Order Quantities. Each Order shall be for full batches of each Final Product, and Supplier shall not be required to accept Orders for lesser quantities than specified in Annex 5 (Packaging Process). In the event that Customer wishes to order a quantity of a Final Product of less than the Minimum Order Quantities or minimum batch sizes, Customer shall specify such quantity in an Order and Supplier shall notify Customer within [***] of receipt of any such Order of the revised price for the Final Product to reflect the increased costs to Supplier of producing smaller quantities. 

  
   1.14
   
    Clause 5.7 is changed as follows:
   

  

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  Minimum Purchase Quantity. Customer shall, during each of [***], place Orders for at least the following volumes of the Final Products (the “Minimum Purchase Quantities” and each of them a “Minimum Purchase Quantity”):

  		
	Calendar Year of Delivery
	Minimum Purchase Quantity

	[***]
	[***]

	[***]
	[***]

	[***]

  The Minimum Purchase Quantities for later Launch Years shall be mutually agreed by the Parties at least [***] prior to the end of [***]. In case the Parties fail to reach an agreement by such date, each Party may terminate this Agreement on [***] prior written notice.

  In case Customer fails to order the agreed Minimum Purchase Quantity in a given Launch Year, Customer shall pay to Supplier the difference between the respective aggregated Price (plus VAT) of (i) the quantity of Final Products actually ordered by Customer from Supplier during such Launch Year and (ii) the respective Minimum Purchase Quantity, unless such failure is directly caused by an act or omission solely attributable to Supplier. [***].  

  
   1.15
   
    Clause 7.2(c) is changed as follows:
   

  

  The artwork, advertising and packaging information relating to each Final Product; and

  
   1.16
   
    Clause 10.5 is changed as follows:
   

  

  Product Recalls.  The rules on recalls of Final Products are set out in the Quality Agreement. 

  
   1.17
   
    The first sentence of Clause 13.1 is changed as follows:
   

  

  Term.  This Agreement shall come into effect on the Effective Date (for the Original Product) and the First Amendment Effective Date (for the Additional Product) and shall continue in force for a fixed term of five (5) years following Launch for the first Final Product, unless terminated earlier in accordance with its terms (the “Initial Term”).

  
   1.18
   
    Clause 13.2 is changed as follows:
   

  

  Termination due to Material Breach. Upon failure of any Party to remedy its material breach of any of its obligations under this Agreement (where remediable) on or before [***] after receipt of written notice of said breach from the other Party the Par-ty giving such notice shall have the right but not the obligation to terminate this Agreement , on a product-by-product basis for the affected Final Product(s), immediately (or such longer period of time as such Party shall determine) by written notice. In respect of a material breach which is not capable of remedy, the non-defaulting Party shall have the right, but not the obligation, to terminate this Agreement, on a product-by-product basis for the affected Final Product(s), immediately by written notice on the defaulting Party.

  
   2.
   
    CHANGES TO ANNEXES
   

  

  
   2.1
   
    The following definitions are hereby added or amended in Annex 1 – Definitions and Interpretation (new wording in italics):
   

  

  “Additional Implementation Fees” has the meaning given to such term in Clause 2.6.

  “Additional Implementation Services” has the meaning given to such term in Clause 2.5.

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  “Additional Product” means the pharmaceutical product in final packaged form (including with package leaflet and instructions for use) containing Customer Provided Bulk Products and Amoxicillin 500 mg HGC, and meeting the specifications laid down in Annex 5 and/or other specifications mutually agreed upon by the Parties in writing.

  “Agreement” means the Supply and Packaging Services Agreement between the Parties dated December 30, 2020 as amended by the First Amendment.

  “Final Product” means the Original Product and/or the Additional Product.

  “First Amendment” means the first amendment of the Agreement, by which the scope of the Agreement is essentially extended to the Additional Product.

  “First Amendment Effective Date” means the date of the last signature of the Parties of the First Amendment.

  “Launch” means, on a product by product basis, the first delivery of the respective Final Product in the Territory by Supplier to Customer.

  “Launch Year” means, on a product by product basis, each twelve (12) month period commencing upon Launch of the respective Final Product.  The first 12-month period following Launch shall be referred to as “Launch Year 1”, the second 12-month period following Launch shall be referred to as “Launch Year 2”, etc.

  “Original Product” means the pharmaceutical product in final packaged form (including with package leaflet and instructions for use) containing Customer Provided Bulk Products, Clarithromycin 500 mg FCTs and Amoxicillin 500 mg HGC, and meeting the specifications laid down in Annex 5 and/or other specifications mutually agreed upon by the Parties in writing.

  
   2.2
   
    A new Annex 3a (Additional Implementation Services) as attached hereto is added to the Agreement.
   

  

  
   2.3
   
    In Annex 4 (Bulk Specifications) the term “Finished Product” is replaced by the term “Final Product”.
   

  

  
   2.4
   
    Annex 5 (Packaging Process) and Annex 6 (Prices) are amended as indicated in the changed versions of this Agreement as attached hereto (changed or added wording in italics).
   

  

  
   3.
   
    MISCELLANEOUS 
   

  

  
   3.1
   
    The Parties agree that the Quality Agreement will be amended to reflect the extension of the Agreement to the Additional Product.
   

  

  
   3.2
   
    	This First Amendment shall be effective as of the First Amendment Effective Date. It shall become an integral part of the Agreement, to which it shall be incorporated for all purposes. Except as otherwise expressly modified by this Amendment, the Agreement shall remain in full force and effect in accordance with its terms.
   

  

  
   3.3
   
    Both Parties hereby warrant that they have the full and necessary legal capacity to enter into and execute this Amendment. The signatories of this amendment expressly declare and confirm that they have sufficient representation rights to enter into and execute this Amendment on behalf of the Party which they represent.
   

  

  
   3.4
   
    No modifications, amendments or supplements to the Agreement and/or this First Amendment shall be effective for any purpose unless in writing signed by both Parties, whereby electronic signatures, whether digital or encrypted, of the Parties are intended to fulfil this writing requirement and to have the same force and effect as manual signatures.
   

  

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   3.5
   
    For simplicity, a consolidated version of the Agreement, incorporating all changes under this First Amendment, is attached hereto as Schedule 1 (changed or added wording in italics). 
   

  

   

  [SIGNATURE PAGE FOLLOWS]

   

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  IN WITNESS WHEREOF, the Parties have signed this Agreement on the dates set out below:

   

   

  		
	For and on behalf of 
Sandoz GmbH
 
	For and on behalf of 
Phathom Pharmaceuticals, Inc

	 
Signature:_____________________
 
	 
Signature: /s/ Jay Buchanan
 

	Name:    [***]
 
	Name:  Jay Buchanan
 

	Title:       [***]
	Title:    Vice President, Manufacturing and Supply Chain

	 
Date:      [***]
	 
Date:   December 4, 2021

   

  		
	For and on behalf of 
Sandoz GmbH
 
	For and on behalf of 
Phathom Pharmaceuticals, Inc

	 
Signature:_____________________
 
	 
Signature: /s/ Larry Miller
 

	Name:    [***]
 
	Name:    Larry Miller
 

	Title:       [***]
	Title:       General Counsel

   

  		
	Date:       [***]
	Date:  December 4, 2021

   

   

   

   

   

   

   

  Attachments:

  
   •
   
    Annex 3a – Additional Implementation Services (new)
   

  

  
   •
   
    Annex 5 – Packaging Process (amended)
   

  

  
   •
   
    Annex 6 – Prices
   

  

  
   •
   
    Schedule 1 – Consolidated Version of the Agreement
   

  

   

   

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  Annex 3a

  ADDITIONAL IMPLEMENTATION SERVICES

   

   

  [***]

   

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  Annex 5

  Packaging Process

  Original Product - Specifications:

  [***]

  Additional Product - Specifications:

  [***]

   

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  Process Flow Chart: Original Product

  [***]

  Process Flow Chart: Additional Product:

  [***]

   

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  Annex 6

  PRICES

   

   

  Product Price and MOQ – Original Product:

   

  [***]

   

  Product Price and MOQ – Additional Product:

   

  [***]

   

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  SCHEDULE 1

  CONSOLIDATED VERSION OF THE AGREEMENT

   

   

  [***]

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