Document:

EX-10.21

 Exhibit 10.21 
  

 
 FOURTH AMENDMENT 

THIS FOURTH AMENDMENT (the “Amendment”) is made and entered into as of June 25, 2013, by and between PACIFICA TOWER
LLC, a Delaware limited liability company (“Landlord”) and CONATUS PHARMACEUTICALS INC., a Delaware corporation (“Tenant”). 

RECITALS 
  

	A.	Landlord (as successor in interest to EOP-Plaza at La Jolla, L.L.C., a Delaware limited liability company) and Tenant are parties to that certain lease dated April 7, 2006, which lease has been previously amended
by a First Amendment dated November 30, 2009, a Second Amendment dated May 2, 2011 and a Third Amendment dated March 28, 2012 (collectively, the “Lease”). Pursuant to the Lease, Landlord has leased to Tenant space
currently containing approximately 5,349 rentable square feet (the “Premises”) described as Suite No. 200 on the 2nd floor of the building located at 4365 Executive
Drive, San Diego, California, 92121 (the “Building”). 

  

	B.	The Lease by its terms shall expire on June 30, 2013 (“Fourth Prior Termination Date”), and the parties desire to extend the Term of the Lease, all on the following terms and conditions.

 NOW, THEREFORE, in consideration of the above recitals which by this reference are incorporated herein, the mutual
covenants and conditions contained herein and other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Landlord and Tenant agree as follows: 
  

	I.	Extension. The Term of the Lease is hereby extended and shall expire on June 30, 2014 (“Fourth Extended Termination Date”), unless sooner terminated in accordance with the terms of
the Lease. That portion of the Term commencing the day immediately following the Fourth Prior Termination Date (“Fourth Extension Date”) and ending on the Fourth Extended Termination Date shall be referred to herein as the
“Fourth Extended Term”. 

  

	II.	Base Rent. As of the Fourth Extension Date, the schedule of Base Rent payable with respect to the Premises during the Fourth Extended Term is the following: 

 

									
	 Months of Term or Period
	  	Monthly Rate Per
Square Foot	 	  	Monthly Base Rent	 
	 7/1/13 - 6/30/14
	  	$	2.75	  	  	$	14,710.00	  

 All such Base Rent shall be payable by Tenant in accordance with the terms of the Lease. 

 

	III.	Expenses and Taxes. For the period commencing on the Fourth Extension Date and ending on the Fourth Extended Expiration Date, Tenant shall be obligated to pay Tenant’s Pro Rata
Share of Expenses and Taxes accruing in connection with the Premises in accordance with the terms of the Lease; provided, however, the Base Year for the computation of Tenant’s Pro Rata Share of Expenses and Taxes applicable to the Premises is
Landlord’s fiscal year of July 1 through June 30. The Base Year for calculation of Tenant’s Pro Rata Share of Expenses and Taxes in connection with the Premises shall be July 1, 2012 through June 30, 2013.

  

	IV.	Additional Security Deposit. No additional security deposit shall be required in connection with this Amendment. 

 

	V.	Improvements to Premises. 

  

	 	A.	Condition of Premises. Tenant is in possession of the Premises and accepts the same “as is” without any agreements, representations, understandings or obligations on the part of Landlord to perform any
alterations, repairs or improvements, except as may be expressly provided otherwise in this Amendment. 

  

	 	B.	Any construction, alterations or improvements to the Premises shall be performed by Tenant at its sole cost and expense using contractors selected by Tenant and approved by Landlord and shall be governed in all respects
by the provisions of Section 8.02 of the Lease. 

 
  

	VI.	Parking. Notwithstanding any contrary provision in Exhibit E to the Lease, “Parking Agreement” as amended, effective as of the Fourth Extension Date, Landlord shall lease to Tenant, and
Tenant shall lease from Landlord, a minimum of 4, but no more than 13, non-reserved parking spaces and 4 reserved parking spaces at the following rates: (i) $50.00 per non-reserved stall per month utilized, and (ii) $175.00 per reserved
stall per month through the Fourth Extended Term. Thereafter, the stall charge shall be at Landlord’s scheduled parking rates from time to time. 

  

	VII.	 SDN List. Tenant hereby represents and warrants that neither Tenant nor any officer, director, employee, partner, member or other
principal of Tenant (collectively, “Tenant Parties”) is listed as a Specially Designated National and Blocked Person (“SDN”) on the list of such persons and entities issued by the U.S. Treasury Office of Foreign
Assets Control (OFAC). In the event Tenant or any Tenant Party is or becomes listed as an SDN, Tenant shall be deemed in breach of 

  
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this Lease and Landlord shall have the right to terminate the Lease immediately upon written notice to Tenant. 

 

	VIII.	GENERAL. 

  

	 	A.	Effect of Amendments. The Lease shall remain in full force and effect except to the extent that it is modified by this Amendment. 

 

	 	B.	Entire Agreement. This Amendment embodies the entire understanding between Landlord and Tenant and can be changed only by a writing signed by Landlord and Tenant. There have been no additional oral or written
representations or agreements. Under no circumstances shall Tenant be entitled to any rent abatement, improvement allowance, leasehold improvements, or any similar economic incentives that may have been provided Tenant in connection with entering
into the Lease, unless specifically set forth in this Amendment. 

  

	 	C.	Counterparts. If this Amendment is executed in counterparts, each is hereby declared to be an original; all, however, shall constitute but one and the same amendment. In any action or proceeding, any
photographic, photostatic, or other copy of this Amendment may be introduced into evidence without foundation. 

  

	 	D.	Defined Terms. All words commencing with initial capital letters in this Amendment and defined in the Lease shall have the same meaning in this Amendment as in the Lease, unless they are otherwise defined in this
Amendment. 

  

	 	E.	Authority. If Tenant is a corporation, limited liability company or partnership, or is comprised of any of them, each individual executing this Amendment for the corporation, limited liability company or
partnership represents that he or she is duly authorized to execute and deliver this Amendment on behalf of such entity and that this Amendment is binding upon such entity in accordance with its terms. 

 

	 	F.	Attorneys’ Fees. The provisions of the Lease respecting payment of attorneys’ fees shall also apply to this Amendment. 

 

	 	G.	Execution of Amendment. Submission of this Amendment by Landlord is not an offer to enter into this Amendment but rather is a solicitation for such an offer by Tenant. Landlord shall not be bound by this
Amendment until Landlord has executed and delivered the same to Tenant. 

  

	 	H.	Nondisclosure of Terms. Tenant agrees that neither Tenant nor its agents or any other parties acting on behalf of Tenant shall disclose any matters set forth in this Amendment or disseminate or distribute any
information concerning the terms, details or conditions hereof to any person, firm or entity without obtaining the express written consent of Landlord. 

IN WITNESS WHEREOF, Landlord and Tenant have duly executed this Amendment as of the day and year first above written. 

 

									
	LANDLORD:	 		 	TENANT:
			
	 PACIFICA TOWER LLC,
 a
Delaware limited liability company
	 		 	 CONATUS PHARMACEUTICALS INC.,

a Delaware corporation

					
	By:	 	/s/ Steven M. Case	 		 	By:	 	/s/ Steven J. Mento
		 	Steven M. Case	 		 	Printed Name:	 	Steven J. Mento
		 	Executive Vice President	 		 	Title:	 	Res & CFO
		 	Office Properties	 		 		 	

 
  

									
	By:	 	/s/ Michael T. Bennett	 		 	By:	 	/s/ Charles Cashion
		 	Michael T. Bennett	 		 	Printed Name:	 	CHARLES CASHION
		 	Senior Vice President, Operations	 		 	Title:	 	SVP & CFO
		 	Office Properties	 		 		 	

  
 

 

  
 2EX-10.22

 Exhibit 10.22 
 CONATUS PHARMACEUTICALS INC. 
 AND 

PFIZER INC. 
 AMENDMENT TO PROMISSORY NOTE 
 THIS
AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered into as of July 3, 2013, by and between CONATUS
PHARMACEUTICALS INC. (“Maker”), and PFIZER INC. (“Payee”), the holder of that certain Promissory Note (“Promissory Note”) dated
July 29, 2010 in the principal amount of $1,000,000 issued by Maker to Payee. Capitalized terms used and not otherwise defined herein shall have the meanings given to such terms in the Promissory Note. 

WHEREAS, Maker and Payee desire to amend the Promissory Note as set forth herein to provide for the
conversion of the Promissory Note into shares of Maker’s Common Stock upon Maker’s completion of an initial public offering and to provide for certain limitations with respect to Payee’s ability to transfer such shares. 

NOW, THEREFORE, in consideration of the foregoing, Maker and Payee hereby agree as follows:

 1. AMENDMENTS TO PROMISSORY NOTE. 

(a) The following legend is deemed affixed to the beginning of the Promissory Note: 

“THIS PROMISSORY NOTE (AND ALL PAYMENT AND ENFORCEMENT PROVISIONS HEREIN) (THE “PROMISSORY NOTE”) IS SUBJECT TO THE TERMS
OF A SUBORDINATION AGREEMENT DATED AS OF JULY 3, 2013, BY AND AMONG PAYEE (AS DEFINED HEREIN), MAKER (AS DEFINED HEREIN) AND OXFORD FINANCE LLC (THE “SUBORDINATION AGREEMENT”). IN THE EVENT OF ANY INCONSISTENCY BETWEEN THIS NOTE AND THE
SUBORDINATION AGREEMENT, THE TERMS OF THE SUBORDINATION AGREEMENT SHALL CONTROL.” 
 (b) The following new
paragraphs are hereby added immediately following the fifth paragraph of the Promissory Note: 

“Optional Conversion Following IPO. If prior to the Maturity Date, Maker completes an initial public
offering (“IPO”) of Maker’s Common Stock, $0.0001 par value per share (“Common Stock”), Payee shall have the right, but not the obligation, at any time thereafter and prior to the Maturity Date, to have converted the
outstanding principal of this Promissory Note, together with any accrued but unpaid interest thereon, into shares of Maker’s Common Stock at a price per share equal to the Market Value (defined below). Payee shall make the election, if any, to
convert this Promissory Note in accordance with this paragraph by providing written notice to Maker. The “Market Value” shall equal the average closing price per share of Maker’s Common Stock on the securities exchange or
quotation system on which Maker’s Common Stock is then traded for the ten (10) trading day days prior to the date of Maker’s notice of conversion. No fractional shares shall be issued upon the conversion of this Promissory Note, and
Maker shall instead pay to Payee cash equal to the applicable Market Value of any such fractional share. 

  
 1 

 Termination of Rights Upon Conversion; Survival of Lock-Up.
Upon conversion of this Promissory Note, Payee shall have no further rights under this Promissory Note, whether or not this Promissory Note is surrendered. 
 Underwriter Lock-Up. If requested by the underwriters for the initial public offering of Maker’s Common Stock, Payee shall agree not to sell any shares of Maker’s Common Stock or
any other securities of Maker, without the consent of such underwriters, for a period of not more than one hundred eighty (180) days following the effective date of the registration statement relating to such offering. Payee agrees to execute
and deliver such other agreements as may be reasonably requested by Maker’s underwriters, which are consistent with the foregoing, or which are reasonably necessary to give further effect thereto.” 

2. NO OTHER AMENDMENT. Except for the matters set forth in this Amendment, all other
terms of the Promissory Note shall remain unchanged and in full force and effect. 
 3. GOVERNING
LAW. This Amendment shall be governed by and construed and enforced in accordance with the laws of the State of New York, without giving effect to its conflicts of laws principles. 

4. COUNTERPARTS. This Amendment may be executed in one or more counterparts, each of which will be deemed an
original but all of which together shall constitute one and the same instrument. 
 [Remainder of page intentionally left
blank.] 

  
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 IN WITNESS WHEREOF, the undersigned have
executed this AMENDMENT TO PROMISSORY NOTE as of the date first written above. 
  

			
	CONATUS PHARMACEUTICALS INC.
		
	By:	 	 /s/ Charles J. Cashion

	Name:	 	Charles J. Cashion
	Title:	 	Senior Vice President, Finance,
		 	Chief Financial Officer and Secretary
	
	PFIZER INC.
		
	By:	 	 /s/ Robert E. Landry

	Name:	 	Robert E. Landry
	Title:	 	SVP and Treasurer

 [SIGNATURE PAGE TO AMENDMENT
TO PROMISSORY NOTE]

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