Document:

Severance and Change in Control Agreement

  
 Exhibit 10.2

 SEVERANCE AND CHANGE IN CONTROL AGREEMENT 

THIS SEVERANCE AND CHANGE IN CONTROL AGREEMENT (“Agreement”) dated as of September 15, 2010 (the
“Effective Date”) is entered into by and between Steven Lo, Vice President, Commercial (“Vice President”) and Corcept Therapeutics Incorporated, a Delaware corporation (the “Company”). 

WITNESSETH: 
 WHEREAS, Vice President is a senior executive of the Company and is expected to continue to make major contributions to the short and long term profitability, growth and financial strength of the Company;

 WHEREAS, the Company recognizes that, as is the case for most publicly held companies, the possibility of a Change in Control
(as defined below) exists; 
 WHEREAS, the Company desires to assure itself of both present and future continuity of management;

 WHEREAS, the Company wishes to ensure that Vice President is not practically disabled from discharging his duties in respect
of a proposed or actual transaction involving a Change in Control; and 
 WHEREAS, the Company desires to provide additional
inducement for Vice President to continue to remain in the employ of the Company. 
 NOW, THEREFORE, in exchange for good and
valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Company and Vice President agree as follows: 
 1. Certain Defined Terms. In addition to terms defined elsewhere herein, the following terms have the following meanings when used in this Agreement with initial capital letters: 

(a) “Board” shall mean the Board of Directors of the Company. 

(b) “Cause” shall mean (i) Vice President’s gross negligence or willful misconduct in the performance of his
duties to the Company where such gross negligence or willful misconduct has resulted or is likely to result in material damage to the Company or its subsidiaries; (ii) Vice President’s willful and habitual neglect of his or her duties of
consulting or employment; (iii) Vice President’s commission of any act of fraud with respect to the Company; (iv) Vice President’s conviction of or plea of guilty or nolo contendere to felony criminal conduct or any crime
involving moral turpitude; or (v) Vice President’s violation of any noncompetition or confidentiality agreement that Vice President has entered into with the Company. 

  
 (c) The term
“Change in Control” shall mean: (i) the liquidation, dissolution or winding up of the Company; (ii) any consolidation or merger of the Company with or into any other corporation or other entity or person, or any other
corporate reorganization in which the Company’s stockholders immediately prior to such transaction do not hold more than fifty percent (50%) of the voting power of the surviving or acquiring entity (or its parent) immediately following
such transaction (taking into account only voting power resulting from stock held by such stockholders prior to such transaction); (iii) any transaction or series of related transactions to which the Company is a party in which in excess of
fifty percent (50%) of the Company’s voting power outstanding before such transaction is transferred or (iv) a sale, conveyance or other disposition of all or substantially all of the assets of the Company (including without
limitation a license of all or substantially all of the Company’s intellectual property that is either exclusive or otherwise structured in a manner that constitutes a license of all or substantially all of the assets of the Company);
provided that a Change in Control shall not include (A) a merger or consolidation with a wholly-owned subsidiary of the Company, (B) a merger effected exclusively for the purpose of changing the domicile of the Company or
(C) any transaction or series of related transactions principally for bona fide equity financing purposes. 
 (d)
“Good Reason” shall mean any of the following events which Vice President provides written notice to the Company of within 90 days of such event having occurred and which is not cured by the Company within 30 days after such written
notice thereof is provided to the Company by Vice President: (i) any reduction of Vice President’s base salary or target annual bonus; (ii) any involuntary relocation of Vice President’s principal workplace to a location more
than 35 miles in any direction from Vice President’s current principal workplace, (iii) a substantial and material adverse change, without Vice President’s written consent, in Vice President’s title, authority, responsibility or
duties; or (iv) any material breach by the Company of any provision of this Agreement or any other employment agreement, after written notice delivered to the Company of such breach and the Company’s failure to cure such breach;
provided, however, in the context of a Change in Control, Vice President shall not have Good Reason to resign in connection with a reorganization of the Company in which the executive would retain substantially similar title, authority,
duties, base pay and bonus but might have greater or lesser reporting responsibilities. In order to constitute a termination of employment for Good Reason, Vice President’s employment must be terminated no later than 180 days following the
initial occurrence of any events set forth above. 
 2. Terminations Without Cause or for Good Reason. If Vice
President’s employment shall terminate involuntarily without Cause or for Good Reason, the Company shall provide Vice President with severance payments and benefits pursuant to this Section 2. 

(a) Terminations Not in Connection with a Change In Control. If Vice President’s employment shall terminate involuntarily
without Cause or for Good Reason, prior to a Change in Control or more than eighteen (18) months following a Change in Control, the Company shall provide Vice President with the following severance payments and benefits in lieu of any severance
benefits to which the Vice President may otherwise be entitled to under any severance plan or program maintained by the Company: 
 (i) Severance Payments: Pay to Vice President an amount equal to twelve (12) months then current base salary, payable in substantially equal installments in accordance with the Company’s
customary payroll practices and procedures. The continuation of your base salary shall be paid beginning on the sixtieth (60th) day following the date of termination, all payments deferred pursuant to this sentence shall be paid in a lump sum
to Vice President and any remaining payments due under this paragraph shall be paid as otherwise provided herein. 

  
 2 

  
 (ii)
Continued Benefits. If Vice President elects to continue his health insurance coverage under the Consolidated Omnibus Budget Reconciliation Act of 1985, as amended (“COBRA”) following such termination, then the Company shall
pay Vice President’s monthly COBRA premium for continued health insurance coverage for Vice President and Vice President’s eligible dependents until the earlier of (i) twelve (12) months following the termination date, or
(ii) the date upon which Vice President and his eligible dependents become eligible for comparable coverage under a group health insurance plan maintained by subsequent employer. 

(b) Terminations in Connection with a Change In Control. If Vice President’s employment shall terminate involuntarily without
Cause or for Good Reason, within eighteen (18) months following a Change in Control, the Company shall provide Vice President with the following severance payments and benefits in lieu of any severance benefits to which the Vice President may
otherwise be entitled to under any severance plan or program maintained by the Company: 
 (i) Severance
Payments: Pay to Vice President an amount equal to twelve (12) months then current base salary, payable in a lump sum on the sixtieth (60th) day following the termination of employment. 

(ii) Continued Benefits. If Vice President elects to continue his health insurance coverage under COBRA following
such termination, then the Company shall pay Vice President’s monthly COBRA premium for continued health insurance coverage for Vice President and Vice President’s eligible dependents until the earlier of (i) twelve (12) months
following the termination date, or (ii) the date upon which Vice President and his eligible dependents become eligible for comparable coverage under a group health insurance plan maintained by subsequent employer. 

(iii) Equity Awards. Notwithstanding any provision to the contrary in any equity award agreement or equity
compensation plan, the Company shall cause all outstanding equity awards then held by Vice President (including, without limitation, stock options, stock appreciation rights, phantom shares, restricted stock or similar awards) to become fully vested
and, if applicable, exercisable with respect to all the shares subject thereto effective immediately prior to the date of termination. In all other respects, such awards will continue to be subject to the terms and conditions of the plans, if any,
under which they were granted and any applicable agreements between the Company and Vice President. 
 (c) Notwithstanding
anything to the contrary in this Section 2, in the event that the Company, or its successor, requests Vice President to continue to serve in the same position following a Change in Control for a six (6)-month (or shorter) transition period
(“Transition Period”), Vice President shall not have Good Reason to resign pursuant to Section 1(d)(iii) during such Transition Period regardless if Vice President’s title, authority, responsibility or duties have been
materially reduced; provided that during such Transition Period Vice President continues to be paid the same salary and be provided with the same bonus 

  
 3 

 
opportunity, if any, as in effect immediately prior to such Change in Control and Vice President’s principal workplace is not relocated more than 35 miles from its location immediately prior
to such Change in Control. Following the Transition Period, Vice President may resign for Good Reason pursuant to Section 1(d)(iii) and be entitled to the benefits set forth in Section 2(b). 

3. Conditions to Receipt of Severance. 
 (a) Separation Agreement and Release of Claims. The receipt of any severance pursuant to Section 2 will be subject to Vice President signing and not revoking a separation agreement and release
of claims in a form reasonably acceptable to the Company within sixty (60) days following Vice President’s termination of employment. No severance pursuant to Section 2 will be paid or provided until the separation agreement
and release of claims becomes effective. 
 (b) Section 409A. Notwithstanding anything contained in this Agreement
to the contrary, to the maximum extent permitted by applicable law, amounts payable to Vice President pursuant to Section 2 shall be made in reliance upon Treas. Reg. Section 1.409A-1(b)(9) (Separation Pay Plans) or Treas. Reg.
Section 1.409A-1(b)(4) (Short-Term Deferrals). For this purpose each installment or monthly payment to which Vice President is entitled under Section 2 shall be considered a separate and distinct payment. In addition, (i) no amount
deemed deferred compensation subject to Section 409A shall be payable pursuant to Section 2 unless the Vice President’s termination of employment constitutes a “separation from service” within the meaning of Treas. Reg.
Section 1.409A-1(h) and (ii) if the Vice President is deemed at the time of his separation from service to be a “specified employee” for purposes of Section 409A(a)(2)(B)(i) of the Code, then to the extent delayed
commencement of any portion of the termination benefits to which Vice President is entitled under this Agreement is required in order to avoid a prohibited distribution under Section 409A(a)(2)(B)(i) of the Code, such portion of Vice
President’s termination benefits shall not be provided to Vice President prior to the earlier of (A) the expiration of the six-month period measured from the date of the Vice President’s “separation from service” with the
Company (as such term is defined in the Treasury Regulations issued under Section 409A of the Code) or (B) the date of Vice President’s death. Upon the earlier of such dates, all payments deferred pursuant to this Section 3(b)
shall be paid in a lump sum to Vice President, and any remaining payments due under the Agreement shall be paid as otherwise provided herein. The determination of whether Vice President is a “specified employee” for purposes of
Section 409A(a)(2)(B)(i) of the Code as of the time of his separation from service shall be made by the Company in accordance with the terms of Section 409A of the Code and applicable guidance thereunder (including without limitation
Treas. Reg. Section 1.409A-1(i) and any successor provision thereto). The reimbursement of any expense under this Agreement shall be made no later than December 31 of the year following the year in which the expense was incurred. The
amount of expenses reimbursed in one year shall not affect the amount eligible for reimbursement in any subsequent year. 
 4.
Successors and Binding Agreement. 
 (a) The Company will require any successor (whether direct or indirect, by purchase,
merger, consolidation, reorganization or otherwise, including, without limitation, any successor due to a Change in Control) to the business or assets of the Company, by agreement in form and substance reasonably satisfactory to Vice President,
expressly to assume and agree to perform this Agreement in the same manner and to the same extent the Company would be required to perform if no such succession had taken place. This 

  
 4 

 
Agreement will be binding upon and inure to the benefit of the Company and any successor to the Company, including, without limitation, any persons directly or indirectly acquiring the business
or assets of the Company in a transaction constituting a Change in Control (and such successor shall thereafter be deemed the “Company” for the purpose of this Agreement), but will not otherwise be assignable, transferable or delegable by
the Company. 
 (b) This Agreement will inure to the benefit of and be enforceable by Vice President’s personal or legal
representatives, executors, administrators, successors, heirs, distributees and legatees. 
 (c) This Agreement is personal in
nature and neither of the parties hereto shall, without the consent of the other, assign, transfer or delegate this Agreement or any rights or obligations hereunder except as expressly provided in Sections 4(a) and 4(b). Without limiting the
generality or effect of the foregoing, Vice President’s right to receive payments hereunder will not be assignable, transferable or delegable, whether by pledge, creation of a security interest, or otherwise, other than by a transfer by Vice
President’s will or by the laws of descent and distribution and, in the event of any attempted assignment or transfer contrary to this Section 4(c), the Company shall have no liability to pay any amount so attempted to be assigned,
transferred or delegated. 
 5. Amendment or Termination of Agreement. This Agreement may be changed or terminated
only upon the mutual written consent of the Company and Vice President. The written consent of the Company to a change or termination of this Agreement must be signed by an executive officer of the Company after such change or termination has been
approved by the Board. 
 6. Notices. For all purposes of this Agreement, all communications, including without
limitation notices, consents, requests or approvals, required or permitted to be given hereunder will be in writing and will be deemed to have been duly given when hand delivered or dispatched by electronic facsimile transmission (with receipt
thereof orally confirmed), or five business days after having been mailed by United States registered or certified mail, return receipt requested, postage prepaid, or three business days after having been sent by a nationally recognized overnight
courier service such as FedEx, UPS, or DHL, addressed to the Company (to the attention of the Secretary of the Company) at its principal executive office and to Vice President at his principal residence, or to such other address as any party may
have furnished to the other in writing and in accordance herewith, except that notices of changes of address shall be effective only upon receipt. 
 7. Validity. If any provision of this Agreement or the application of any provision hereof to any person or circumstances is held invalid, unenforceable or otherwise illegal, the remainder of this
Agreement and the application of such provision to any other person or circumstances will not be affected, and the provision so held to be invalid, unenforceable or otherwise illegal will be reformed to the extent (and only to the extent) necessary
to make it enforceable, valid or legal. 
 8. Governing Law; Jurisdiction. The laws of the state of California shall
govern the interpretation, validity and performance of the terms of this Agreement, regardless of the law that might be applied under principles of conflicts of law. Any suit, action or proceeding against Vice President, with respect to this
Agreement, or any judgment entered by any court in respect 

  
 5 

 
of any of such, may be brought in any court of competent jurisdiction in the State of California, and Vice President hereby submits to the jurisdiction of such courts for the purpose of any such
suit, action, proceeding or judgment. 
 9. Miscellaneous. No provision of this Agreement may be modified, waived or
discharged unless such waiver, modification or discharge is agreed to in writing signed by Vice President and the Company. No waiver by either party hereto at any time of any breach by the other party hereto or compliance with any condition or
provision of this Agreement to be performed by such other party will be deemed a waiver of similar or dissimilar provisions or conditions at the same or at any prior or subsequent time. This Agreement constitutes the entire agreement of the parties
with respect to the subject matter hereof and supersedes any and all prior agreements of the parties with respect to such subject matter. No agreements or representations, oral or otherwise, expressed or implied with respect to the subject matter
hereof have been made by either party which are not set forth expressly in this Agreement. References to Sections are to references to Sections of this Agreement. 
 10. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed to be an original but all of which together will constitute one and the same agreement.

 11. Interpretation. The parties acknowledge and agree that, to the extent applicable, this Agreement shall be
interpreted in accordance with, and the parties agree to use their best efforts to achieve timely compliance with, Section 409A of the Code, and the Department of Treasury Regulations and other interpretive guidance issued thereunder,
including, without limitation, any such regulations or other guidance that may be issued after the Effective Date. Notwithstanding any provision of this Agreement to the contrary, in the event that the Company determines that any amounts payable
hereunder would otherwise be taxable to Vice President under Section 409A, the Company may adopt such limited amendments to this Agreement and appropriate policies and procedures, including amendments and policies with retroactive effect, that
the Company reasonably determines are necessary or appropriate to comply with the requirements of Section 409A and thereby avoid the application of taxes under such Section. 

[signature page follows] 

  
 6 

  
 IN WITNESS WHEREOF,
the parties have caused this Agreement to be duly executed and delivered as of the date first above written. 
  

	
	CORCEPT THERAPEUTICS INCORPORATED
	
	     /s/ Joseph K. Belanoff

	Joseph K. Belanoff, Chief Executive Officer
	
	     /s/ Steven Lo

	Steven Lo, Vice President, Commercial OperationsForm of Lock-up Agreement

  
 Exhibit 10.12

 LOCK-UP AND INVESTMENT REPRESENTATION LETTER 
 Ampio Pharmaceuticals, Inc. 
 8400 East Crescent Parkway 

Suite 600 
 Greenwood Village, Colorado 80111

 DMI BioSciences, Inc. 
 8400 East
Crescent Parkway 
 Suite 600 

Greenwood Village, Colorado 80111 
 Ladies and
Gentlemen: 
 In connection with the proposed acquisition (the “Acquisition”) of DMI BioSciences, Inc. (“DMI”) by Ampio
Pharmaceuticals, Inc. (“Ampio”), and in consideration of DMI, Ampio and Ampio Acquisition, Inc., a subsidiary of Ampio, entering into the Agreement and Plan of Merger (the “Merger Agreement”) dated on or about September 1,
2010, the receipt and sufficiency of such consideration being hereby acknowledged and accepted, and in order to induce DMI and Ampio each to execute the Merger Agreement, the undersigned, a DMI shareholder, warrant holder or option holder who will
receive Ampio common stock (the “Merger Stock”) in exchange for his, her or its DMI common stock, warrants or options, as the case may be, hereby agrees with DMI and Ampio as follows: 

1. The undersigned will not offer, sell, contract to sell, pledge or otherwise dispose of, or enter into any transaction which is
designed to, or might reasonably be expected to, result in the disposition (whether by actual disposition or effective economic disposition due to cash settlement or otherwise) of Merger Stock owned by the undersigned or securities convertible into
or exercisable or exchangeable for Merger Stock owned beneficially by the undersigned, directly or indirectly, including the filing (or participation in the filing) of a registration statement with the Securities and Exchange Commission (the
“Commission”) in respect of, or establishing or increasing a put equivalent position or liquidating or decreasing a call equivalent position within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended,
and the rules and regulations of the Commission promulgated thereunder with respect to, any Merger Stock , or publicly announce an intention to effect any such transaction, during the period commencing on the Closing Date specified in the Merger
Agreement and expiring on June 15, 2011; provided, however, that this Lock-Up and Investment Letter will not prohibit the undersigned from making (a) bona fide gifts of Merger Stock to family members or family trusts or (b) any
transfer of Merger Stock for estate planning purposes to persons immediately related to such transferor by blood, marriage or adoption, or any trust solely for the benefit of such transferor and/or the persons described in the preceding clause,
provided further, however, that with respect to each of the transfers described in clauses (a) or (b) of this sentence, prior to such transfer, the transferee, or the trustee or legal guardian on behalf of any transferee, agrees in
writing to be bound by the terms of this Lock-Up and Investment Letter. For purposes hereof, “immediate family” shall mean any relationship by blood, marriage or adoption, not more remote than first cousin. 

2. The undersigned also agrees and consents to the entry of stop transfer instructions with Ampio’s transfer agent and registrar
against the transfer of the undersigned’s Merger Stock, except in compliance with this Lock-Up and Investment Letter. In furtherance of the foregoing, Ampio and its transfer agent are hereby authorized to decline to make any transfer of
securities if such transfer would constitute a violation or breach of this Lock-Up and Investment Letter. 
 3. The undersigned
understands that Ampio will proceed with the Acquisition of DMI in reliance on this Lock-Up and Investment Letter. Furthermore, the undersigned understands that independent of Ampio’s reliance hereon, the underwriters of a proposed public
offering to be undertaken by Ampio following the Acquisition (the “Public Offering”) will proceed with the Public Offering in reliance on this Lock-up Agreement. Moreover, the undersigned understands and agrees that Ampio and DMI are
relying upon the accuracy, completeness, and truth of the undersigned’s representations, warranties, agreements, and certifications contained in this Lock-Up and Investment Letter, in determining the undersigned’s suitability as a
shareholder in Ampio and in establishing compliance with federal and state securities laws. The undersigned understands that any incomplete, inaccurate, or untruthful response, or the breach of the undersigned’s representations, warranties,
agreements, or certifications may result in 

 
the undersigned, Ampio or DMI, or all of the foregoing, being in violation of federal or state securities laws, and any person, including DMI or Ampio, who suffers damage as a result may have a
claim against the undersigned for damages. 
 4. The undersigned represents that the undersigned is the sole party in interest
as to the Merger Stock, is acquiring the Merger Stock for investment for the undersigned’s own account, and not on behalf of any other person. The undersigned is acquiring the Merger Stock for investment purposes and not for resale or
distribution and the undersigned has no present agreement, understanding, arrangement, or intent to sub-divide, sell, assign, transfer or otherwise dispose of the Merger Stock to any other person. 

5. The undersigned has been given the opportunity to ask questions of and to receive answers from persons acting on behalf of DMI
concerning the terms and conditions of the Merger transaction and also has been given the opportunity to obtain any additional information which DMI possesses or can acquire without unreasonable effort or expense. As a result, the undersigned is
cognizant of the development stage nature of Ampio, its lack of prior revenue-generating operations, and the high risk of an investment in the Merger Stock. DMI has furnished the undersigned with any information requested in writing by the
undersigned concerning DMI and Ampio. 
 6. The undersigned’s present financial condition is such that the undersigned has
no need for liquidity of this investment and has adequate means of providing for the undersigned’s current needs and possible personal contingencies; accordingly, it is highly unlikely that it would be necessary for the undersigned to dispose
of the Merger Stock being purchased hereby in the foreseeable future. 
 7. The undersigned represents that an investment in the
Merger Stock is a suitable investment for the undersigned, taking into consideration the amount of the investment represented by his or her Merger Stock to be received, the financial resources of the undersigned and the restrictions on
transferability affecting the Merger Stock. In particular, the undersigned represents that the investment in the Merger Stock does not exceed 20% of the undersigned’s net worth excluding his principal residence, furnishings and personal
automobiles. 
 8. The undersigned represents and warrants that he or she has prior investment experience, including investment
in non-listed and non-registered securities, that the undersigned has sufficient knowledge and experience in business and financial matters to evaluate, and has evaluated, the merits and risks of this investment, and that the undersigned recognizes
the highly speculative nature of this investment. 
 9. The undersigned acknowledges that the receipt of the Merger Stock may
involve tax consequences, and that the contents of hereof do not contain or constitute tax advice or information. The undersigned acknowledges that he or she must retain his or her own professional advisors to evaluate the tax and other consequences
of an investment in the Merger Stock and that DMI and Ampio have no responsibility therefor. 
 10. The undersigned acknowledges
that the offering of Merger Stock has not been reviewed or approved by the United States Securities and Exchange Commission (“SEC”) or any state agency because the issuance of the Merger Stock is intended to be a nonpublic offering
pursuant to Section 4(2) of the Securities Act of 1933, as amended (the “Act”) and the exemptive provisions of Regulation D, promulgated under the Act. 
 11. The undersigned understands and agrees that there are substantial restrictions on the transferability of the Merger Stock as a result of the lock-up provisions of paragraph 1 above and as follows:

 (a) The Merger Stock has not been registered under the Act or any state or foreign securities laws and are restricted
securities within the meaning of Rule 144 of the General Rules and Regulations under the Act and under applicable state statutes; 
 (b) The undersigned will not sell or transfer the Merger Stock unless it is registered under the Act and any applicable state securities laws or unless an exemption from such registration requirements is
available, the availability of which must be established to the satisfaction of Ampio; and 

  
 2 

  
 (c) The undersigned
must bear the economic risks of an investment in the Merger Stock for an indefinite period of time because the Merger Stock has not been registered under the Act or any state securities laws. 

12. The undersigned recognizes that Ampio will require additional financing in the future. Such financing may be through a follow-on
public offering of Ampio’s securities, although no assurance is given that any follow-on public offering will be successfully completed. The undersigned acknowledges that Ampio’s Common Stock currently has an extremely limited market that
is highly volatile. 
 14. The undersigned is over 21 years of age (or if an association, then each of the undersigned members
are over such age). 
 15. If the undersigned is a partnership, joint venture, corporation or trust, the undersigned warrants
and represents that (i) it is or was not organized or re-organized for the specific purpose of acquiring the Merger Stock, and (ii) the individual executing this Investment Letter has the power and authority to execute and deliver this
Investment Letter. The undersigned will provide documentation supporting this representation if so requested by DMI or Ampio. 

16. The undersigned understands that DMI and Ampio will keep confidential all of the information provided by the undersigned or on the
undersigned’s behalf except to the extent that Ampio is required to release such information to, or file such information with, governmental and regulatory authorities. 
 17. The undersigned’s investment is either separate property or is community property over which the signatory(ies) hereto has the right of control. 

18. The Merger Stock is being offered without registration under the Act and state securities laws in reliance on certain exemptions from
the registration provisions of such Act and laws. The undersigned acknowledges the availability of certain of these exemptions may depend, in part, on whether the undersigned is an “accredited investor.” The following information will be
used to determine whether the undersigned is an accredited investor. Please indicate whether the undersigned meets any of the criteria listed below. 
 i. A bank, savings and loan association, insurance company, certain registered investment companies or Small business Investment Company licensed by the U.S. Small Business Administration. 

Yes   ̈    No  
 ̈ If Yes, type of entity 
 ii. Certain 501(c)(3) tax-exempt organizations,
corporations, business trusts or partnerships, not formed for the specific purpose of acquiring the Merger Stock, with total assets in excess of $5,000,000. 
 Yes   ̈    No   ̈ If Yes, type of entity 

iii. A director, executive officer or affiliate of DMI or Ampio. 

Yes   ̈    No  
 ̈ 
 iv. Any natural person whose individual net worth or joint net worth with
that person’s spouse exceeds $1,000,000 (exclusive of the value of the undersigned’s primary residence) as of the date of this Lock-Up and Investment Letter. 
 Yes   ̈    No   ̈ 

v. Any natural person who had an individual income in excess of $200,000 or joint income with that person’s spouse in excess of
$300,000 in each of the two most recent years and who reasonably expects an income of at least that much in the current year. 

Yes   ̈    No  
 ̈ 

  
 3 

  
 vi. Any trust with
total assets in excess of $5,000,000 not formed for the specific purpose of acquiring the Merger Stock, whose purchase is being directed by someone that DMI or Ampio reasonably believes has such knowledge and experience in financial and business
matters so as to be capable of evaluating the merits and risks of an investment in the Merger Stock. 
 Yes   ̈    No   ̈ 
 vii. Any entity in which all of the equity owners are accredited investors. 

Yes   ̈    No  
 ̈ 

  
 4 

  
 IN WITNESS WHEREOF,
the undersigned has completed this Lock-up and Investment Letter to evidence the undersigned’s receipt of shares and investment in the Merger Stock in connection with the Merger, which is expected to be effective on or before September 30,
2010, and authorizes DMI and Ampio to rely on this Lock-up and Investment Letter as hereinabove described. 
  

									
		 		 	INVESTOR:
					
	Date: October     , 2010	 		 		 		 	
				
		 		 	Signature:	 	  

				
		 		 	Print Name:	 	  

				
		 		 	  
	 	
		 		 	Tax I.D. or Social Security Number
				
		 		 	If held jointly:	 	
				
		 		 	Signature:	 	  

				
		 		 	Print Name:	 	  

				
		 		 	  
	 	
		 		 	Tax I.D. or Social Security Number
			
		 		 	Name(s) in which the Shares are to be
		 		 	recorded and mailing address for such
		 		 	person(s) or entity:
				
		 		 	  
	 	
		 		 	Name(s)
		 		 	  
	 	
		 		 	  
	 	
		 		 	Address
				
		 		 	  
	 	
		 		 	Tax I.D. or Social Security Number
		 		 	(if Merger Stock is recorded in the name other
		 		 	than that of the DMI Investor)

 Type of ownership
(check one): 
  

											
	 ̈	  	Individual	  	 ̈	  	Corporate	  	
	 ̈	  	Tenants in common	  	 ̈	  	Partnership	  	
	 ̈	  	Joint tenants with rights	  	 ̈	  	Trust	  	
		  	of survivorship	  		  		  	
	 ̈	  	Other	  	  
	  	

  
 5

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00181-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00181-of-00352.parquet"}]]