Document:

EX-10.20

 Exhibit 10.20 

CONFIDENTIALTREATMENT REQUESTED 

CONFIDENTIAL PORTIONS OF THIS DOCUMENT HAVE BEEN REDACTED AND HAVE BEEN 

SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION 

SECOND AMENDMENT TO THE AMENDED AND RESTATED 

RESEARCH AND LICENSE AGREEMENT 

This Amendment to the Amended and Restated Research and License Agreement, is hereinafter referred to as the “Second Amendment”.

 IT IS ON THIS 30th day of June, 2011 (the “Effective Date”) that the Trustees of Columbia University in the City of New
York, a New York corporation, (“Columbia), and p53 Inc., a Delaware Corporation, (“p53”) agree to amend the Amended and Restated Research and License Agreement; 

WITNESSTH: 

WHEREAS, Columbia, having entered into an Exclusive License Agreement dated July 19, 1999 (attached as Exhibit 1), amended
August 8, 2000 (Exhibit 2) and November 12, 2001 (Exhibit 3), (collectively, the “Exclusive License Agreements”) had licensed to Introgen Therapeutics, Inc., (“Introgen”) certain Patents (listed in
Exhibit 4) and Licensed Technologies and Licensed Products related to the use of MDA-7 Gene in treating disease, as those terms are described and defined in the Exclusive License Agreements; and 

WHEREAS, Columbia is a successor-in-interest and assignee of all rights, title and interests of Corixa Corporation, Chinook
Corporation, Glaxo Corporation and Gen Quest Corporation in the Exclusive License Agreements, including the Licensed Products and Licensed Technology; and 

WHEREAS, by Order of the United States Bankruptcy Court dated October 8, 2009, all right, title and interest held by Introgen
under the Exclusive License Agreements were transferred to Pope Investments II, LLC (“Pope”), (attached as Exhibit 5); and 

WHEREAS, Pope, by assignment, has transferred all its right, title and interest acquired from Introgen to p53 with all its right, title
and interest in the additional MDA-7 Rights (as such term is defined in the Modification and Assignment Agreement entered into between Pope, Columbia and Introgen on or about October 8, 2009) and the Exclusive License Agreements (such
additional MDA-7 Rights and the Exclusive License Agreements, collectively, the “Technology”) (attached as Exhibit 6); and 

WHEREAS, Columbia has ratified and acknowledged that p53 is the successor-in-interest to the Technology from Pope, and Columbia and p53
wish to amend their respective rights, duties and obligations under the Exclusive License Agreements and the Technology, as heretofore described; and 

WHEREAS, Columbia and p53 wish to modify their duties and obligations arising out of the Technology to develop, manufacture, and/or
commercialize the Technology. 

 NOW, THEREFORE, the parties hereto intend to be legally bound for good and valuable
consideration, the receipt of which is hereby acknowledged, and for the mutual premises and covenants contained herein do hereby agree as follows: 
  

	 	1.	Incorporation of Preamble Paragraphs 

 Each and every preparatory paragraph set
forth above is hereby incorporated by reference and made a part hereof as if repeated at length herein. 
  

	 	2.	Establishment of a New Corporation (NEWCO) 

 (a) NEWCO Formation. p53 and
Columbia agree to form a NEWCO in order to develop and commercialize the Technology in accordance with this Agreement. The NEWCO’s initial capitalization will consist of Founders’ Shares held by Columbia equaling fifteen (15%) percent
of the Outstanding Common Stock of the NEWCO. Eighty (85%) percent of the Outstanding Common Stock of NEWCO shall be held by p53. The stock held by Columbia pursuant to this provision will be shares of Founders’ Common Stock, and shall be
the same class of stock as that held by p53 in NEWCO at its formation with the same rights, preferences and privileges. p53 has negotiated with Paul Fisher for a portion of the 85% Outstanding Common Stock in NEWCO. Fisher has rejected p53’s
offer and has, in writing, declined any involvement in NEWCO. 
 (b) Additional Capital Requirements: Dilution. If required for the
development of the Technology additional capital and/or debt is secured by NEWCO, the parties agree that their percent stock ownership shall both be diluted or reduced as required to raise additional equity capital. 

 

	 	3.	Columbia’s Representations 

 Columbia warrants and represents that that to
the knowledge of the officers of Columbia’s Office of Technology Ventures and as of the Effective Date: 
 (i) Columbia has not, prior
to the Effective Date, entered into and shall not knowingly follow the Effective Date, enter into any agreement relating to the Patents in the Field, that materially conflicts with the Exclusive License Agreement; 

(ii) No claim, action, case, suit, litigation, inquiry or proceeding is pending or threatened by any Third Party that seeks to challenge the
ability of Columbia to grant the licenses granted in the Exclusive License Agreement. 
  

	 	4.	Diligence 

 NEWCO shall use such commercially reasonable efforts to develop and/or
commercialize at least one Licensed Product, as that term is defined in the Exclusive License Agreements. 

  
 2 

	 	5.	Removal of Milestones 

 Any and all milestone dates defined in the Exclusive
License Agreements shall be deleted in their entirety. Columbia hereby waives enforcement of those milestone requirements, and releases and waives any breach of said requirements by Pope and/or p53 prior the Effective Date of this Agreement. Except
as explicitly waived and released under this Section 5, no other waiver or release of rights or obligations is intended by the parties. 
  

	 	6.	Consideration Paid by NEWCO and/or p53 to Columbia 

 In consideration for the
amendments provided herein, p53 has agreed: 
 (A) that Columbia shall receive either $[***] or an equivalent value of stock in NEWCO. The
election of payment shall be p53’s alone and shall be due and payable upon the approval by the United States Food and Drug Administration (“FDA”) for a Licensed Product as defined in the Exclusive License Agreements; and 

(B) to reimburse in full to Columbia, past patent expenses incurred by Columbia prior to the Effective Date in respect of the Licensed Patents
in the amount of $[***] within thirty (30) business days of the Effective Date. 
  

	 	7.	Retained Right 

 Columbia has the right, in the event of failure by p53 to comply
with any of the terms and conditions of Section 6 of this Agreement to terminate the Exclusive License Agreements, and as amended under the Modification and Assignment Agreements and this Second Amendment in accordance with the notice and cure
terms of the Exclusive License Agreements. 
  

	 	8.	Governing Law 

 This Agreement shall be governed by the laws of the State of New
York, without regard to its principles of conflicts of laws, notwithstanding Section 13.7 of the Exclusive License Agreements. The parties further agree to subject themselves to the personal jurisdiction of the federal and state courts of the
State of New York. 
  

	 	9.	No Other Changes. 

 Except as explicitly herein amended, the Exclusive License
Agreements shall continue in full force and effect in accordance with their terms. The Exclusive License Agreements, as modified, are hereby confirmed and approved by each party hereto. 

(Signatures continue on next page) 

  

	***	Certain information on this page has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions 

  
 3 

 IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their duly
authorized representatives as of the New Effective Date. 
  

							
	The Trustees of Columbia University	  		 	
	In the City of New York,	  		 	
	a new York Corporation	  		 	
				
	By:	 	 /s/ Scot G. Hamilton
	  	        Dated:	 	8/11/11
		 	Scot G. Hamilton	  		 	
		 	Senior Director	  		 	
		 	Columbia Technology Ventures	  		 	
			
	p53, Inc.
 a Delaware Corporation
	  		 	
				
	By:	 	 /s/ Robert E. Sobol
	  	        Dated:	 	7/22/11
		 	Robert E. Sobol, MD	  		 	
		 	President and CEO	  		 	

  
 1EX-10.21

 Exhibit 10.21 

CONFIDENTIAL TREATMENT REQUESTED 

CONFIDENTIAL PORTIONS OF THIS DOCUMENT HAVE BEEN REDACTED AND HAVE BEEN 

SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION 

MILESTONE EXTENSION AGREEMENT 

COLUMBIA UNIVERSITY – CORIXA – CHINOOK – INTROGEN THERAPEUTICS 

MDA – 7 GENE 
 This
Milestone Extension Agreement (the “Agreement”) is effective as of November 12, 2001, and is by and among: the Trustees of Columbia University in the City of New York, New York (“Columbia”); Corixa Corporation,
1124 Columbia Street, Suite 200, Seattle, Washington 98104 (“Corixa”), the successor-in-interest to Chinook Corporation, 1124 Columbia Street, Suite 200, Seattle, Washington 98104 (prior to direct merger into Corixa effective in
December, 2000, a wholly owned subsidiary of Corixa, and a successor by merger to GenQuest, Inc.) (“Chinook”); and Introgen Therapeutics, 301 Congress Avenue, Suite 1850, Austin, Texas 78701 (“Introgen”). 

WHEREAS, by the “Amended and Restated Research and License Agreement” of July 18, 1997, between Columbia and GenQuest,
as amended on March 5, 1999 (the “Columbia-Chinook License Agreement”), Columbia licensed to GenQuest patents and technology relating to use of the MDA-7 gene in treating disease; and 

WHEREAS, by the “Executive License Agreement” of July 19, 1999, as amended August 8, 2000, Corixa and Chinook
licensed those same patents and technology to Introgen (the “Chinook-Introgen License Agreement”); and 
 WHEREAS, the
Columbia-Chinook License Agreement requires that Chinook or its sub-licensees accomplish by certain dates certain milestones leading to commercial sale; and 

WHEREAS, the Chinook-Introgen License Agreement also requires Introgen to accomplish by certain dates certain milestones leading to
commercial sale; and 
 WHEREAS, all parties have agreed to extend, in both License Agreements, the dates for accomplishment of those
milestones; 
 NOW, THEREFORE, it is agreed as follows: 

1. Extension of Dates in Columbia-Chinook License Agreement. Paragraphs IIIB (2) through (4), of Appendix IV of the
Columbia-Chinook License Agreement are amended to read as follows: 
 1. Start phase II human clinical studies by January 1, 2003. 

2. Start phase III human clinical studies by January 1, 2005. 

 3. Obtain FDA approval to market a vaccine or other therapeutic product in the United States by
January 1, 2008. 
 2. Extension of Dates in Chinook-Introgen License Agreement. Paragraphs 3.1(d) through (f) of the
Chinook-Introgen License Agreement are amended to read as follows: 
  

			
	 Event
	  	 Date of Accomplishment

	 (d) Start phase II human clinical studies
	  	By January 1, 2003
	 (e) Start phase III human clinical studies
	  	By January 1, 2005
	 (f) Obtain FDA approval to market a vaccine or other therapeutic product in the United States
	  	By January 1, 2008

 3. Introgen Payment to Columbia. In consideration of these amendments, all parties agree that Introgen
[***] $[***] for the extension of due diligence dates in the Chinook-Introgen license agreement directly to Columbia at the time of commencement of Introgen’s Phase III human clinical studies utilizing the MDA-7 genes. The parties agree that
the $[***] from Introgen shall be the only consideration of these amendments, and that no further financial consideration shall be required of Corixa. Further, all parties agree that in the event Introgen terminates its MDA-7 research and clinical
development program prior to commencing Phase III human clinical studies utilizing the MDA-7 genes, Introgren’s $[***] shall be due upon Introgen’s notices to the parties hereto that Introgen has terminated its MDA-7 research program. 

4. No Other Changes. Except as here amended, the Columbia-Chinook License Agreement and Chinook-Introgen License Agreement shall
continue in full force and effect in accordance with their terms. 

  

	***	Certain information on this page has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions 

  
 2 

 IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their duly
authorized representatives as of the Effective Date written above. 
  

			
	 THE TRUSTEES OF COLUMBIA 

UNIVERSITY IN THE CITY OF NEW YORK

 
			
		
	 By:
	 	 /s/ M.J. Cleare

 
			
		
	 Name:
	 	 M.J. Cleare

 
			
		
	 Title:
	 	 Executive Director

			
	
	CORIXA CORPORATION

 
			
		
	 By:
	 	 /s/ Steven Gillis

 

			
		
	 Name:
	 	 Steven Gillis

 
			
		
	 Title:
	 	 CEO

 
			
	
	INTROGEN THERAPEUTICS, INC.

 
			
		
	 By:
	 	 /s/ J. David Enloe

			
		
	 Name:
	 	 J. David Enloe

 
			
		
	 Title:
	 	 Vice President of Operations

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00242-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00242-of-00352.parquet"}]]