Document:

hook_Ex4_3

		
			Exhibit 4.3
		

		
			 
		

		
			DESCRIPTION OF SECURITIES REGISTERED UNDER
		

		
			SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934
		

		
			The following description of the registered capital stock of HOOKIPA Pharma Inc. (“us,” “our,” “we” or the “Company”) does not purport to be complete and is subject to, and qualified in its entirety by,  reference to our amended and restated certificate of incorporation (“Certificate of Incorporation”) and our amended and restated bylaws (“Bylaws”), which are incorporated by reference as exhibits to our most recent Annual Report on Form 10-K filed with the Securities and Exchange Commission, and applicable provisions of the Delaware General Corporation Law (the “DGCL”). Our common stock, par value $0.0001 per share (the “common stock”) is the only security of the Company registered under Section 12 of the Securities Exchange Act of 1934, as amended.  The summaries below do not purport to be complete statements of the relevant provisions of our Certificate of Incorporation, our Bylaws or the DGCL.
		

		
			Our authorized capital stock consists of 100,000,000 shares of common stock, 3,900,000 shares of Class A common stock, par value $0.0001 per share (the “Class A common stock”) and 10,000,000 shares of undesignated preferred stock, par value $0.0001 per share (the “preferred stock”).
		

		
			Common Stock
		

		
			Annual Meeting. Annual meetings of our stockholders are held on the date designated in accordance with our Bylaws. Written notice must be mailed to each stockholder entitled to vote not less than ten (10) nor more than sixty (60) days before the date of the meeting. The presence in person or by proxy of the holders of record of a majority of our issued and outstanding shares entitled to vote at such meeting constitutes a quorum for the transaction of business at meetings of the stockholders. Special meetings of the stockholders may be called for any purpose only by the board of directors pursuant to a resolution approved by the affirmative vote of a majority of the directors then in office. Except as may be otherwise provided by applicable law, our Certificate of Incorporation or our Bylaws, all elections of directors shall be decided by a plurality, and all other questions shall be decided by a majority, of the votes cast by stockholders entitled to vote thereon at a duly held meeting of stockholders at which a quorum is present.
		

		
			Voting Rights. Holders of common stock are entitled to one vote for each share held of record on all matters to be voted upon by stockholders and do not have cumulative voting rights.
		

		
			Dividends. Subject to the rights, powers and preferences of any outstanding preferred stock that we may designate and issue in the future, and except as provided by law or in our Certificate of Incorporation, dividends may be declared and paid or set aside for payment on the common stock out of legally available assets or funds when and as declared by our board of directors.
		

		
			Liquidation, Dissolution and Winding Up. Subject to the rights, powers and preferences of any outstanding preferred stock that we may designate and issue in the future, in the event of our liquidation, dissolution or winding up, our net assets will be distributed pro rata to the holders of common stock.
		

		
			Other Rights.  Our common stock has no preemptive rights, conversion rights, or other subscription rights or redemption or sinking fund provisions. The rights, preferences and privileges of holders of common stock are subject to and may be adversely affected by the rights of the holders of shares of any series of preferred stock that we may designate and issue in the future. Holders of common stock are not required to make additional capital contributions.
		

		
			
		

		
			

		 

		

		
			Our common stock is listed on the Nasdaq Global Select Market under the trading symbol “HOOK.”
		

		
			The transfer agent and registrar for our common stock is American Stock Transfer & Trust Company, LLC.
		

		
			Class A Common Stock
		

		
			The rights of the holders of our common stock and class A common stock are identical, except with respect to voting and conversion. The shares of class A common stock do not have associated voting rights and each share of class A common stock is convertible at any time at the election of the holder into one share of common stock.
		

		
			Preferred Stock
		

		
			Our board of directors has the authority to designate and issue up to ten million (10,000,000) shares of preferred stock in one or more series. The authorized shares of our preferred stock are available for issuance without further action by our stockholders, unless such action is required by applicable law or the rules of any stock exchange on which our securities may be listed. Our board of directors may also designate the rights, powers, preferences and the relative, participating, optional or other special rights and any qualifications, limitations and restrictions of the shares of each series of preferred stock.
		

		
			No shares of preferred stock are outstanding as of the date of our Annual Report on Form 10-K with which this Exhibit 4.3 is filed as an exhibit.
		

		
			Registration Rights
		

		
			Pursuant to the terms of our shareholders’ agreement, dated as of February 15, 2019, certain of our stockholders are entitled to rights with respect to the registration of their shares under Securities Act of 1933, as amended (the “Securities Act”).
		

		
			Demand Registration Rights. Pursuant to the terms of our shareholders' agreement, certain holders of shares of our common stock are entitled to demand registration rights.
		

		
			Short-Form Registration Rights. Pursuant to the terms of our shareholders' agreement, certain holders of shares of our common stock are entitled to short-form registration rights. If we are eligible to file a registration statement on Form S-3, upon the written request of a majority of our stockholders to sell securities at an anticipated aggregate price of at least $10.0 million, we will be required to use commercially reasonable efforts to effect a registration of such shares.
		

		
			Piggyback Registration Rights. Pursuant to the terms of our shareholders' agreement, certain holders of shares of our common stock are entitled to piggyback registration rights. If we register any of our securities either for our own account or for the account of other security holders, the holders of these shares are entitled to include their shares in the registration.
		

		
			Expiration of Registration Rights.  The demand registration rights and short form registration rights will terminate as to a given stockholder at such time as Rule 144 or another similar exemption under the Securities Act is available for the sale of all of such stockholder's shares without limitation during a three-month period without registration.
		

		
			Provisions of Our Certificate of Incorporation and Bylaws and Delaware Law That May Have Anti-Takeover Effects
		

		
			The provisions of Delaware law and our Certificate of Incorporation and Bylaws could discourage or make it more difficult to accomplish a proxy contest or other change in our management or the acquisition of control by a holder of a substantial amount of our voting stock. 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 interests or in
		

		
			
		

		
			

		 

		

		
			our best interests. These provisions are intended to enhance the likelihood of continuity and stability in the composition of our board of directors and in the policies formulated by the board of directors and to discourage certain types of transactions that may involve an actual or threatened change of our control. These provisions are designed to reduce our vulnerability to an unsolicited acquisition proposal and to discourage certain tactics that may be used in proxy fights. Such provisions also may have the effect of preventing changes in our management.
		

		
			Board of Directors. Our Certificate of Incorporation and Bylaws provide for a board of directors divided into three classes. Each class is elected to a term expiring at the annual meeting of stockholders held in the third year following the year of such election. The number of directors comprising our board of directors is fixed from time to time by the board of directors.
		

		
			Removal of Directors by Stockholders. Our Certificate of Incorporation provides that members of our board of directors may only be removed for cause by a vote of the holders of at least two-thirds  (2/3) of the outstanding shares entitled to vote on the election of the directors.
		

		
			Issuance of Preferred Stock. Our board of directors is authorized, without further action by our stockholders, to issue up to 10,000,000 shares of preferred stock in one or more series, and to fix the designations, powers, preferences and the relative, participating, optional or other special rights, and any qualifications, limitations and restrictions of the shares of each series of preferred stock. The issuance of preferred stock could impede the completion of a merger, tender offer or other takeover attempt.
		

		
			Stockholder Nomination of Directors. Our Bylaws provide that a stockholder must notify us in writing of any stockholder nomination of a director not earlier than the close of business on the 120th day and not later than the close of business on the 90th day prior to the first anniversary of the preceding year’s annual meeting; provided, that if the date of the annual meeting is advanced by more than 30 days before such anniversary date, delayed by more than 60 days after such anniversary date or if no annual meeting were held in the prior year, notice by the stockholder to be timely must be so delivered not later than the close of business on the later of (x) the 90th day prior to the date of such meeting and (y) the 10th day following the day on which public announcement of the date of such annual meeting is first made by us.
		

		
			No Action By Written Consent. Our Certificate of Incorporation provides that our stockholders may not act by written consent and may only act at duly called meetings of stockholders.
		

		
			Exclusive Forum Selection. Our Bylaws provide that, unless we consent in writing to the selection of an alternative forum, the Court of Chancery of the State of Delaware shall be the sole and exclusive forum for state law claims for (1) any derivative action or proceeding brought on behalf of the Company, (2) any action asserting a claim of breach of a fiduciary duty owed by any of our current or former directors, officers, or other employees to the Company or our stockholders, (3) any action asserting a claim arising against the Company or any of our current or former directors, officers, or other employees pursuant to any provision of the DGCL or our Certificate of Incorporation or Bylaws, (4) any action to interpret, apply, enforce or determine the validity of our Certificate of Incorporation or Bylaws, or (5) any action asserting a claim against the Company or any of our current or former directors, officers, or other employees that is governed by the internal affairs doctrine. In addition, our Bylaws provide that any person or entity purchasing or otherwise acquiring any interest in shares of our common stock is deemed to have notice of and consented to the foregoing provisions.
		

		
			Section 203 of the Delaware General Corporation Law.
		

		
			We are subject to the provisions of Section 203 of the DGCL. In general, Section 203 prohibits a publicly held Delaware corporation from engaging in a “business combination” with an “interested stockholder” for a three-year period following the time that this stockholder becomes an interested stockholder, unless the business combination
		

		
			
		

		
			

		 

		

		
			is approved in a prescribed manner. Under Section 203, a business combination between a corporation and an interested stockholder is prohibited unless it satisfies one of the following conditions:
		

			
	
			
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			before the stockholder became interested, our board of directors approved either the business combination or the transaction which resulted in the stockholder becoming an interested stockholder;

			
	
			
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			upon consummation of the transaction which resulted in the stockholder becoming an interested stockholder, the interested stockholder owned at least 85% of the voting stock of the corporation outstanding at the time the transaction commenced, excluding for purposes of determining the voting stock outstanding, shares owned by persons who are directors and also officers, and employee stock plans, in some instances, but not the outstanding voting stock owned by the interested stockholder; or

			
	
			
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			at or after the time the stockholder became interested, the business combination was approved by our board of directors and authorized at an annual or special meeting of the stockholders by the affirmative vote of at least two-thirds of the outstanding voting stock which is not owned by the interested stockholder.

		
			Section 203 defines a business combination to include:
		

			
	
			
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			any merger or consolidation involving the corporation and the interested stockholder;

			
	
			
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			any sale, transfer, lease, pledge or other disposition involving the interested stockholder of 10% or more of the assets of the corporation;

			
	
			
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			subject to exceptions, any transaction that results in the issuance or transfer by the corporation of any stock of the corporation to the interested stockholder;

			
	
			
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			subject to exceptions, any transaction involving the corporation that has the effect of increasing the proportionate share of the stock of any class or series of the corporation beneficially owned by the interested stockholder; and

			
	
			
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			the receipt by the interested stockholder of the benefit of any loans, advances, guarantees, pledges or other financial benefits provided by or through the corporation.

		
			In general, Section 203 defines an interested stockholder as any entity or person beneficially owning 15% or more of the outstanding voting stock of the corporation and any entity or person affiliated with or controlling or controlled by the entity or person.hook_Ex10_15

		
			Exhibit 10.15
		

		
			 
		

		
			CONSULTANCY AGREEMENT
		

		
			 
		

		
			This consultancy agreement (the “Agreement”) is made among and between:
		

		
			 
		

		
			1.HOOKIPA Biotech GmbH, FN 365895g, c/o Julius-Raab-Platz 4, 1010 Vienna (after the change of corporate form “HOOKIPA Biotech AG”)
		

		
			 
		

		
			(the “Company”)
		

		
			 
		

		
			and
		

		
			 
		

		
			2.Daniel D. Pinschewer, 17 chemin de Planta, 1223 Cologny
		

		
			 
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			Preamble
		

		
			 
		

		
			WHEREAS
		

		
			 
		

			
	
			
				 A.
			

			
	
			
			The Company is active in the biotechnological / pharmaceutical industry;

		
			 
		

			
	
			
				 B.
			

			
	
			
			The Company intends to hire the Consultant to perform certain consultancy services as defined in Section 1 below.

		
			 
		

			
	
			
				 C.
			

			
	
			
			The Consultant will have access to confidential and proprietary information, trade secrets, inventions and know-how, including confidential information relating to the business or interests of the Company and of persons and entities with whom the Company may have commercial, technical or scientific relationships, in particular information relating to the Company’s research and development programs and technology platforms;

		
			 
		

			
	
			
				 D.
			

			
	
			
			The Parties desire to further specify the terms and conditions of the Consultant’s functions, in particular his rights and obligations towards the Company;

		
			 
		

		
			NOW, THEREFORE, THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

		
			1.Services
		

		
			 
		

		
			The Consultant agrees to perform the consultancy services agreed in the Schedules of Work attached hereto as Exhibit A (the “Services”), within the Consulting Service Term of this Agreement, as stipulated in Section 15. For the purposes of this Agreement, the expected level of effort for provision of consultancy services will be 20% of his time on average (i.e. one day/8 hours per week in average) while the Consultant is not bound to any fixed working hours and is free to choose his place of work. Each Schedule of Work defines the scope of the Services and other details (delivery schedule, etc.) for a separate project. The Company may at any time in liaison with the Consultant decide to assign further projects to the Consultant by establishing further Schedules of Work, it being understood that the terms and conditions of this Agreement will apply to such additional Services. The Company agrees that the Consultant shall have reasonable access to the Company’s representatives as necessary and on a timely manner to perform the Services as per this Agreement.
		

		
			 
		

		
			2.Payment for Services
		

		
			 
		

		
			As consideration for the performance of the Services defined in the Schedules of Work (Exhibit A), the Company agrees to pay the Consultant, as follows
		

		
			 
		

			
	
			
				 2.1
			

			
	
			
			Fees. Fees for services provided within the Consulting Service Term of this Agreement, as stipulated in Section 15, will be a lump sum of EUR 50,000.—(Fifty thousand euros), VAT (“Umsatzsteuer”), if applicable, included. Such lump sum shall be paid by the Company to Consultant in 4 installments (EUR 12,500.—each installment) on the last day of March 2012, June 2012, September 2012 and December 2012, upon receiving an invoice and work report from the Consultant.

		
			
		

		
			

		 

		

			1

		

		

			
	
			
				 2.2
			

			
	
			
			Reimbursable Expenses. In addition to the payments outlined in Section 2.1 of this Agreement, the Company will reimburse Consultant for all reasonable travel costs incurred while traveling to and from the Consultant’s place of business and the location specified by the Company. These costs include airfare, train, lodging, food, rental automobile, taxis, parking, other ground transportation. In addition, Company will reimburse Consultant for all reasonable costs associated with the services provided to the Company at his place of business and when traveling, proportionate to the level of effort specified in Section 1 (one day/8 hours per week in average), including telephone, fax, and internet charges, postage and courier charges, and office supplies. Receipts for these expenses will be attached to invoices submitted to the Company for reimbursement.

		
			 
		

		
			3.Payment Terms
		

		
			 
		

		
			The Consultant shall send quarterly invoices for the Services rendered and for reimbursable expenses in accordance with this Agreement. The Company agrees that all invoiced fees and expenses payable under this Agreement shall be paid to the Consultant within thirty (30) business days of receipt of said invoice. Payments shall be made in Euros by wire transfer to the Consultant’s designated bank account.
		

		
			 
		

		
			All taxes and fees relating to amounts payable under this Agreement shall be deducted and transferred by Consultant to the competent authority.
		

		
			 
		

		
			4.Reporting
		

		
			 
		

		
			The Consultant shall give to the Company such information regarding the performance and results of the Services as required by the Company. He is not obliged to comply with any instructions of the Company. The Company shall, however, be entitled to more closely specify the scope of work of the Consultant and to suspend or terminate the Consultant services for one or more projects.
		

		
			 
		

		
			5.Subcontractors
		

		
			 
		

		
			The Consultant may, in providing the Services to the Company, engage the services of professionals (e.g., subcontractors and associates). At least one week prior to such engagement, the Consultant shall notify the Company in writing and shall abstain from the engagement in case that the Company objects to the engagement due to substantive concerns against the person of the professional.
		

		
			 
		

		
			6.Work equipment, use of premises
		

		
			 
		

		
			The Consultant will use his own work equipment when providing the Services to the Company.
		

		
			 
		

		
			The Consultant will not use Company facilities as his place of business, except for occasional meetings.
		

		
			 
		

		
			7.Confidentiality
		

		
			 
		

		
			“Information” shall mean all confidential information relating to the Company, including without limitation its products, business, operations, ideas, formulas, compositions, generally, including without limitation financial, technical, medical, biological, legal and commercial information, know-how, manufacturing and production processes, techniques, research and development information and trade secrets relating to the Company which may be disclosed to the Consultant for the purpose of providing the Services. The failure to identify the information as being confidential shall not relieve the Consultant from the obligations of confidentiality with respect to such information.
		

		
			 
		

		
			The Consultant hereby undertakes to keep the Information confidential and to use the Information solely for the purposes of providing the Services and not to disclose or reveal the Information to any third party, following the receipt of the Information.
		

		
			 
		

		
			Exclusions - Information shall not be deemed confidential and Consultant shall have no obligation with respect to any information which:
		

		
			 
		

		
			(i)at the time of the disclosure, is rightfully in the public domain;
		

		
			(ii)subsequently becomes available to the public other than by a breach of this Agreement;
		

		
			(iii)is rightfully in the possession of the Consultant at the time such information is disclosed by the Company, without any limitation on use or disclosure prior to its receipt from the Consultant, as shown by documents or other tangible evidence in the Consultant’s possession;
		

		
			
		

		
			

		 

		

			2

		

		

		
			(iv)has been fully received by the Consultant from a third party, who did not obtain the same from the Company, directly or indirectly;
		

		
			(v)has been independently developed by the Consultant without assistance, application or use of the Information, as evidenced by written records of the Consultant; or
		

		
			(vi)has been approved for release by a written authorization of the Company.
		

		
			 
		

		
			The Consultant undertakes to use the Information only for the purpose of providing the Services and not for any other purposes.
		

		
			 
		

		
			Following receipt of a written request from the Company, the Consultant must deliver to the Company, all tangible materials containing or embodying the Information within thirty (30) working days following the receipt of such request. The Information shall be sent by registered mail or by courier and the Consultant shall retain proof of such mailing.
		

		
			 
		

		
			The Parties acknowledge that the disclosure of the Information, without the express written consent of the Company, may cause damages to the Company. It is understood and agreed that money damages would not be a sufficient remedy for any breach of this Agreement by the Consultant and that the Company shall be entitled to seek other relief, including injunction or order of a competent court or administrative agencies and specific performance, as a remedy of such breach.
		

		
			 
		

		
			The Consultant will use the Information for the sole purpose of rendering the Services. The Information will be disclosed to the Consultant with the express understanding that neither the Consultant nor the Company will be obligated to enter into any further agreement relating to the Information.
		

		
			 
		

		
			It is understood and agreed that any and all proprietary rights, including, but not limited to, patent rights, trademarks and proprietary rights, in and to the Information disclosed to the Consultant shall be and remain in the possession of the Company and the Consultant shall have no right, title or interest in or to any of the Information.
		

		
			 
		

		
			The Article shall apply for the full term of this Agreement and for an unlimited time period after termination of this Agreement.
		

		
			 
		

		
			8.Intellectual Property
		

		
			 
		

			
	
			
				 8.1
			

			
	
			
			Definition of “Proprietary Information”. Consultant understands that the Company possesses and will possess Proprietary Information, which is important to its business. For purposes of this Agreement, “Proprietary Information” is all information, whether or not in writing or other tangible form, that was or will be developed, created, or discovered by or on behalf of the Company, or which became or will become known by, or was or is conveyed to the Company, and which has commercial value to the Company. “Proprietary Information” includes, but is not limited to, information about trade secrets, designs, methodologies, technology, know-how, processes, data, ideas, techniques, inventions (whether patentable or not), trademarks, registered designs, features and modes of operation, internal documentation, works of authorship, technical, business, financial, client, marketing, and product development plans, forecasts, the salaries and terms of compensation of employees, client and supplier lists, contacts and other information concerning the Company’s actual or anticipated products or services, business, research or development, or any information which is received in confidence by or for the Company from any other person.

		
			 
		

			
	
			
				 8.2
			

			
	
			
			Consultant’s obligations. The Consultant acknowledges that, because of the nature of the Consultant’s duties and the particular responsibilities arising as a result of such duties, the Consultant owes to the Company an obligation to further the interests of the Company.

		
			 
		

		
			The Consultant shall promptly disclose to the Company any idea or invention created or developed by the Consultant or his subcontractors and ensuing from the Services performed by the Consultant or his subcontractors during the term of this Agreement, which is actually or potentially relevant to the business of the Company.
		

		
			 
		

		
			The Consultant acknowledges that any Proprietary Information whether in existence now or coming into existence at any time in the future, on creation either during the normal course of Service or by using materials, tools or knowledge made available through Service to the Company shall vest in and be the exclusive property of the Company which the Company shall nominate and, if required to do so (whether before or after the termination of this Agreement), the Consultant will execute all instruments and do all things necessary to vest ownership in the above rights in the Company as sole beneficial owner. The Consultant may not, without the Company’s written consent, disclose, multiply, use, manufacture, bring on the market or sell, lease, deliver or otherwise trade, offer, or register the results of his Services.
		

		
			 
		

		
			
		

		
			

		 

		

			3

		

		

		
			The Consultant appoints the Company to be the Consultant’s attorney in the Consultant’s name and on the Consultant’s behalf to execute any such instrument or do any such thing necessary for the purpose of giving to the Company or its nominee the full benefit of the provisions of this clause 8. It is a condition of the Service that the Consultant executes as a deed the Power of Attorney attached as Exhibit B to this Agreement. Upon the Company’s request, the Consultant shall issue further powers of attorney to the Company within the same scope of the Power of Attorney Exhibit B, in particular if the Company requires a special Power of Attorney or a Power of Attorney with certain form requirements.
		

		
			 
		

		
			All information including, but not limited to notes, memoranda, computer discs, data sticks, software, databases, spreadsheets, files, reports, minutes, plans and records concerning the business of the Company or any of its, or their suppliers, agents, distributors, clients or customers which are received or made by the Consultant in the course of Service will be the property of the Company and must be surrendered by the Consultant to the Company at any time and in any event on the termination of Agreement.
		

		
			 
		

		
			The provisions of this clause 8 shall survive termination of this Agreement insofar as they relate to discoveries, inventions, secret processes, and improvements in procedure, trademarks, registered designs, design rights, copyright, database rights and all other intellectual property rights which were created before the termination of this Agreement.
		

		
			 
		

		
			The Company shall have the right to file applications for intellectual property rights containing the Consultant’s name. The Company will acknowledge the Consultant’s role as an inventor on patent applications, according to applicable rules of inventorship.
		

		
			 
		

		
			Insofar as rights that are mentioned above and are related to the intellectual property rights, are not vested in the Company by operation of law or based on this Agreement, the Consultant covenants that he will transfer and hereby transfers to the Company such rights provided, however, that the Company may at its sole discretion renounce such transfer or transfer back to the Consultant any such intellectual property rights at any time. If a transfer should not be possible under the applicable law, then the Consultant shall grant to the Company a perpetual, transferable, royalty-free license to use such Intellectual Property.
		

		
			 
		

		
			The Consultant acknowledges that his consultancy fees under Section 2.1 include reasonable compensation for the loss of intellectual property rights.
		

		
			 
		

		
			The Company is entitled to transfer the intellectual property rights in full or in part to any third party. Subject to mandatory applicable law, the Company and such third parties are not obliged to mention the Consultant as the author if they publish any inventions, computer programs or other works. They are free to make any modifications, translations and/or other adaptations and/or can refrain from making any publications.
		

		
			 
		

		
			With regard to intellectual property that cannot be entirely transferred to the Company, in particular intellectual property under the Austrian Copyright Act (Urheberrechtsgesetz) the Consultant shall transfer, upon the Company’s request, any and all rights that can be derived from such intellectual property rights (in particular rights to use the intellectual property / Werknutzungsrechte) to the Company.
		

		
			 
		

		
			9.Vacation
		

		
			 
		

		
			The Consultant is not entitled to any paid vacation.
		

		
			 
		

		
			10.Non-Competition and Non-Solicitation Undertaking
		

		
			 
		

		
			During the term of this Agreement and for a period of 10 years after termination hereof, the Consultant shall not act as a consultant for any competitor of the Company, that uses a recombinant arenavirus vector as a vaccine candidate. In particular, Consultant shall not directly or indirectly support the development, improvement and manufacture of any product of any competitor of the Company that uses a recombinant arenavirus vector as a vaccine candidate or support the distribution of such product. In addition, during the term of this Agreement and for a period of 3 years after termination hereof, the Consultant shall not act as a consultant for any competitor of the Company that is developing a vaccine against the Company’s targets, cytomegalovirus and/or others (to be defined).
		

		
			 
		

		
			Nothing in this Agreement shall be construed to restrict Consultant’s activity as a professor in the Department of Pathology and Immunology and the W.H.O. Collaborating Centre for Vaccine Immunology of the University of Geneva or in any other mere scientific and non-commercial activity, or his ability to enter into new agreements; provided that (a) Consultant’s new agreements in the field of vaccines shall be disclosed in advance and in writing to the Company; (b) in carrying out any such activities, Consultant shall at all times adhere to his confidentiality obligations and non-competition clauses of this Agreement; (c) the totality of such outside activities shall not affect the time committed by the Consultant to Company under this Agreement (1 days per week) unless with the prior consent of the Company; and (c) Consultant shall be bound by any confidentiality agreements pertaining to such outside activities and will not disclose confidential information of third parties to the Company.
		

		
			
		

		
			

		 

		

			4

		

		

		
			11.Approval
		

		
			 
		

		
			The Consultant declares that this Agreement has been notified to the Consultant’s employer(s) and that his employer(s) have approved of this Agreement. Should the Consultant be obliged under applicable laws and regulations or employment contracts to pay any portion of the remuneration under this Agreement to his or her employer or any other third party, the Consultant shall be solely responsible for such payments.
		

		
			 
		

		
			12.Independent Contractors
		

		
			 
		

		
			It is the express intention of the parties that Consultant is an independent contractor, and is classified by the Company as such for all tax and employee benefit purposes, and is not an employee, agent, or partner of the Company. Nothing in this Agreement shall be construed as granting to the Consultant any license or right under any patent rights or as representing any commitment by either Party to enter into any license or other agreement by implication or otherwise.
		

		
			 
		

		
			Consultant acknowledges and agrees that Consultant is obligated to report as income all compensation received by Consultant pursuant to this Agreement and that Consultant is solely responsible for all taxes, withholdings, and other similar statutory obligations including, but not limited to, self-employment tax and social security. In the event that Consultant, employs assistants or subcontractors to aid in the performance of the Services, the parties agree that such assistants or subcontractors are employed or retained solely by Consultant, and that Consultant alone is responsible for providing workers’ compensation insurance for, paying the compensation, salaries and wages of, and ensuring that all required tax withholdings are made for such assistants or subcontractors. Consultant agrees to ensure that any such assistants or subcontractors shall abide by all of the terms of this Agreement. Consultant agrees to defend, indemnify and hold the Company harmless from any and all claims made by any entity on account of an alleged failure by Consultant to satisfy any tax or withholding obligations of Consultant.
		

		
			 
		

		
			13.Entire Agreement
		

		
			 
		

		
			This Agreement and the Exhibits hereto, contain the entire Agreement between the Parties hereto with respect to the matters covered herein. No other agreements, representations, warranties, or other matters, oral or written, purportedly agreed to or represented by or on behalf of the Consultant, shall be deemed to bind the Parties hereto with respect to the subject matter hereof. The Company acknowledges that it is entering into this Agreement solely on the basis of representations contained herein. In the event of a conflict in the provisions of the Exhibits hereto and the provisions set forth in the Agreement, the provisions of the Exhibits shall prevail.
		

		
			 
		

		
			14.Applicable Law and competent jurisdiction
		

		
			 
		

		
			This Agreement is subject to Austrian law and the competent court in the First district of the City of Vienna, Austria, shall have exclusive jurisdiction for all disputes between the parties arising out of or in connection with this Agreement.
		

		
			 
		

		
			15.Term and Termination
		

		
			 
		

		
			The Agreements shall be effective from January 1st, 2012 (Effective Date) and shall remain in force for a period of One year until December 31st, 2012 (Consulting Service Term) unless earlier terminated by the Consultant in case the University of Geneva would in the future withdraw its consent to this side activity of the Consultant for the Company. The extension of this Agreement shall be subject to mutual written agreement by both Parties and the Parties shall review the services to be provided and determine whether the level of effort specified in Section 1 and the scope of work require changes to reflect the on-going needs of the Company.
		

		
			 
		

		
			This Agreement may be terminated by either Party at any time on cause (aus wichtigem Grund) with immediate effect as well as without cause upon a thirty (30) day written notice delivered to the other Party. In the event a notice of termination is issued, the Company shall promptly pay to the Consultant any monies due and owing to the Consultant in relation to any Services performed by the Consultant prior to the date of such termination and any costs associated with the termination itself and the Consultant will promptly return to the Company all tangible materials containing or embodying the Information.
		

		
			 
		

		
			16.Severability
		

		
			 
		

		
			The illegality, invalidity or unenforceability in any jurisdiction of any provision of this Agreement shall not affect the validity or enforceability of any other provision of this Agreement in that or any other jurisdiction. The Parties undertake to negotiate in good faith to replace the relevant provision by another provision reflecting as closely as possible the original intention and purpose of the Parties.
		

		
			 
		

		
			
		

		
			

		 

		

			5

		

		

		
			17.Disclaimer
		

		
			 
		

		
			Each party to this agreement hereby disclaims any and all warranties, either express or implied, including without limitation any warranties of merchantability, fitness for a particular purpose, and non-infringement. Without limiting the foregoing, Consultant hereby disclaims any and all representations pertaining to (a) the efficacy, safety, market potential and/or other characteristics or qualities of any product developed in the course of the services provided and/or (b) whether any product can be designed, developed, marketed or sold without infringing any third party intellectual property rights.
		

		
			 
		

		
			18.Indemnification
		

		
			 
		

			
	
			
				 18.1
			

			
	
			
			Indemnification by Consultant. Unless otherwise provided herein, Consultant agrees to indemnify, hold harmless, and defend the Company, its affiliates, and any of their respective directors, officers, employees, and agents (collectively, the “Company Indemnitees”) from and against any and all liability, damages, loss, cost or expense (including reasonable attorneys’ fees) (“Losses”) arising out of third party claims, actions, proceedings, or suits (“Claims”), to the extent resulting from: a breach by Consultant of an obligation set forth in this Agreement; or the willful misconduct of the Consultant or and of his employees or subcontractors. Such indemnity shall not apply if the Company fails to comply with the indemnification procedures set forth in Section 18.2 or to the extent that a Loss results from (i) breach by Company of its obligations under this Agreement; or (ii) the negligence, recklessness or willful misconduct of any Company Indemnitee.

		
			 
		

			
	
			
				 18.2
			

			
	
			
			Indemnification by Company. Unless otherwise provided herein, the Company agrees to indemnify, hold harmless, and defend Consultant and his employees, and subcontractors if any (collectively, the “Assignor Indemnitees”) from and against any and all Losses arising out of Claims, to the extent resulting from: (a) research, development, manufacture, possession, storage, transport, importation, use, sale, marketing, or distribution of products arising out of the services provided by the Consultant in the territory by Company or its affiliates or licensees; (b) breach by the Company of any obligation set forth in this Agreement; or (c) the willful misconduct of the Company, any of its affiliates, or any of their respective employees or agents. Such indemnity shall not apply if the Consultant fails to comply with the indemnification procedures set forth in Section 18.1 or to the extent that a Loss results from (i) a breach by Consultant of any obligation of this Agreement; or (ii) the negligence, recklessness or willful misconduct of the Consultant or any of his employees or subcontractors (if any)

		
			 
		

			
	
			
				 18.3
			

			
	
			
			Control of Defense. Any entity entitled to indemnification under this Article 18 shall give written notice to the indemnifying Party of any Claims that may be subject to indemnification, promptly after learning of such Claim. Within a reasonable time after receiving such notice, the indemnifying Party shall assume the defense of such Claim with counsel reasonably satisfactory to the indemnified Party. The indemnified Party shall cooperate with the indemnifying Party in such defense. The indemnified Party may, at his or its option and expense, be represented by counsel of his or its choice in any action or proceeding with respect to such Claim. The indemnifying Party shall not be liable for any litigation costs or expenses incurred by the indemnified Party without the indemnifying Party’s written consent, such consent not to be unreasonably withheld. The indemnifying Party shall not settle any such Claim if such settlement (a) does not fully and unconditionally release the indemnified Party from all liability relating thereto or (b) adversely impacts the rights granted to the indemnified Party under this Agreement, unless the indemnified Party otherwise agrees in writing.

		
			 
		

		
			19.Notices
		

		
			 
		

		
			Any notice in connection with this Agreement shall be sent by registered mail, delivery or fax as follows:
		

		
			 
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						Consultant:

				
	
					
						CEO

					
					
						 

					
					
						Daniel Pinschewer

				
	
					
						HOOKIPA Biotech GmbH

					
					
						 

					
					
						17 chemin de Planta

				
	
					
						 

					
					
						 

					
					
						1223 Cologny

				
	
					
						c/o Julius-Raab-Platz 4

					
					
						 

					
					
						Switzerland

				
	
					
						1010 Vienna

					
					
						 

					
					
						 

				

		
			 
		

		
			or to such other address or facsimile number as is notified in writing from time to time by any Party to this Agreement to the other Party hereto.
		

		
			
		

		
			

		 

		

			6

		

		

		
			20.Assignment
		

		
			 
		

		
			A Party may not assign this Agreement without the prior written consent of the other Party.
		

		
			 
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						 

				
	
					
						Hookipa Biotech GmbH

					
					
						 

					
					
						 

				
	
					
						Dr. Katherine Cohen

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						Nov 13, 2011

					
					
						 

				

		
			 
		

		
			 
		

			
					
						Consultant:

					
					
						 

					
					
						 

				
	
					
						Daniel Pinschewer

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						Nov 16th 2011

					
					
						 

				

		
			 
		

		
			
		

		
			

		 

		

			7

		

		

		
			EXHIBIT A
		

		
			 
		

		
			Schedules of Work
		

		
			 
		

		
			The Consultant will in particular report to Dr Katherine Cohen, CEO who will monitor the Services provided to the Company.
		

		
			 
		

		
			Scope of the Services:
		

		
			 
		

			
	
			
				 ·
			

			
	
			
			Provide consultancy to the development plan with respect to:

		
			 
		

			
	
			
				 ·
			

			
	
			
			Vector production strategy;

		
			 
		

			
	
			
				 ·
			

			
	
			
			Choice of target diseases / antigens.

		
			 
		

			
	
			
				 ·
			

			
	
			
			Specialized expertise on the arenavirus vector platform

		
			 
		

			
	
			
				 ·
			

			
	
			
			Consult Company’s IP strategy

		
			 
		

			
	
			
				 ·
			

			
	
			
			Provide technology advice on Company’s wetlab activities

		
			 
		

			
	
			
				 ·
			

			
	
			
			Advise company on international funding opportunities provided by organizations such as the Gates Foundation and NIH.

		
			 
		

		
			3. General Tasks:
		

		
			 
		

			
	
			
				 ·
			

			
	
			
			Supporting the Project Teams

			
	
			
				 ·
			

			
	
			
			Participate in Project Meetings/teleconferences

			
	
			
				 ·
			

			
	
			
			Undertake specific project tasks, as specified and agreed

			
	
			
				 ·
			

			
	
			
			Consulting on timelines and budgets

			
	
			
				 ·
			

			
	
			
			Serve as the Company’s scientific advisor (for example as member of SAB)

			
	
			
				 ·
			

			
	
			
			Providing consultation to manufacturing and vector design

		
			
		

		
			

		 

		

			8

		

		

		
			EXHIBIT B
		

		
			 
		

		
			POWER OF ATTORNEY
		

		
			 
		

		
			By this Power of Attorney Daniel Pinschewer, 17 chemin de Planta, 1223 Cologny, Switzerland, in accordance with the terms of my Consultancy Agreement with Hookiba Biotech GmbH (the “Company”) dated today (the “Consultancy Agreement”) HEREBY APPOINT the Company to act as my attorney with authority in my name and on my behalf:
		

		
			 
		

		
			(a)during my service or after it has terminated, to do anything and sign or execute any document and generally to use my name for the purpose of giving to the Company or its or their nominee(s) the full benefit of clauses 8; and
		

		
			 
		

		
			(b)to appoint any substitute and to delegate to that substitute all or any powers conferred by this Power of Attorney.
		

		
			 
		

		
			I declare that this Power of Attorney, having been given by me to secure my obligations under clause 8 of the Consultancy Agreement, shall be irrevocable in accordance with Section 1002 following of the Austrian Civil Code (as amended from time to time).
		

		
			 
		

		
			Hookiba Biotech GmbH (“the Company”) is released from the restrictions regarding self-contracting and also entitled to multiple representations (Doppelvertretung).
		

		
			 
		

		
			IN WITNESS whereof this Power of Attorney has been duly executed.
		

		
			EXECUTED as a deed by:
		

		
			 
		

		
			 
		

			
					
						Signature

					
					
						

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						Nov 16th 2011

					
					
						 

				

		
			 
		

		
			Witness
		

		
			 
		

			
					
						Signature

					
					
						

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Name:

					
					
						Doron Merkler

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Address:

					
					
						Route De Valleiry 28A

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						1284 Chancy CH

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Date:

					
					
						16 Nov 2011

					
					
						 

				

		
			 
		

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			9

		

		

			 

		

		

		
			AMENDMENT TO THE AGREEMENT
		

		
			 
		

		
			between
		

		
			 
		

		
			1.HOOKIPA Biotech GmbH, FN 365895g, Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria (“HOOKIPA Biotech AG”)
		

		
			 
		

		
			(the “Company”)
		

		
			 
		

		
			and
		

		
			 
		

		
			2.Daniel D. Pinschewer, 17 chemin de Planta, 1223 Cologny
		

		
			 
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			RECITALS
		

		
			 
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011, (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant.
		

		
			 
		

		
			WHEREAS, the Parties now wish to extend the Agreement in accordance with the terms and conditions of this amendment (the “Amendment”).
		

		
			 
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

			
	
			
				 1.
			

			
	
			
			The Agreement is hereby extended for one more year from January 1, 2013 to December 31, 2013 (“Extension Period”).

		
			 
		

			
	
			
				 2.
			

			
	
			
			The Consultant confirms that he has received all Fees and Reimbursable Expenses governed in Section 2 of the Agreement for January 1, 2012 to December 31, 2012. The Payment dates specified in Section 2 of the Agreement will be changed to the corresponding dates for Extension Period for the service during such period.

		
			 
		

			
	
			
				 3.
			

			
	
			
			All terms and conditions in Agreement remain in force for the Amendment.

		
			 
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						 

				
	
					
						Hookipa Biotech AG

					
					
						 

					
					
						 

				
	
					
						Dr. Katherine Cohen, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						7 Jan 2013

					
					
						 

				

		
			 
		

		
			 
		

			
					
						Consultant:

					
					
						 

					
					
						 

				
	
					
						Dr. Daniel Pinschewer

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						7 January 2013

					
					
						 

				

		
			 
		

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			1

		

		

			 

		

		

		
			AMENDMENT NO. 2 TO THE CONSULTANCY AGREEMENT
		

		
			 
		

		
			between
		

		
			 
		

		
			1.HOOKIPA Biotech AG, FN 365895g, Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria
		

		
			 
		

		
			(the “Company”)
		

		
			 
		

		
			and
		

		
			 
		

		
			2.Prof. Dr. Daniel Pinschewer, Im Zehntenfrei 21 A, 4102 Binningen, Switzerland
		

		
			 
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			RECITALS
		

		
			 
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013.
		

		
			 
		

		
			WHEREAS, the Parties now wish to extend the Agreement in accordance with the terms and conditions of this amendment (the “Amendment No. 2”).
		

		
			 
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

			
	
			
				 1.
			

			
	
			
			The Agreement is hereby extended for one year from January 1, 2014 to December 31, 2014 (the “Extension Period”).

		
			 
		

			
	
			
				 2.
			

			
	
			
			The address of the Consultant shall be amended to: Im Zehntenfrei 21A, 4102 Binningen, Switzerland

		
			 
		

			
	
			
				 3.
			

			
	
			
			The Payment dates specified in Section 2 of the Agreement will be changed to the corresponding dates for the Extension Period for the Consultant’s service during such period.

		
			 
		

			
	
			
				 4.
			

			
	
			
			In Section 10 of the Agreement the words “Department of Pathology and Immunology and the W.H.O. Collaborating Centre for Vaccine Immunology of the University of Geneva” shall be deleted and replaced by “Department of Biomedicine of the University of Basel.” All other texts in Section 10 remain unchanged.

		
			 
		

			
	
			
				 5.
			

			
	
			
			The first sentence of Section 11 of the Agreement (“Approval”) shall be amended to read: “The Consultant declares that this Agreement is notified to the Consultant’s employer, the University of Basel, in accordance with the latter institutions regulations.”

		
			 
		

			
	
			
				 6.
			

			
	
			
			All other terms and conditions in the Agreement remain in force for the Amendment No. 2.

		
			 
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						Consultant:

				
	
					
						Hookipa Biotech AG

					
					
						Prof. Dr. Daniel Pinschewer

				
	
					
						Dr. Katherine Cohen, CEO

					
					
						 

				
	
					
						 

					
					
						 

				
	
					
						Signature 

					
					
						

					
					
						 

					
					
						Signature

					
					
						

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						Date 

					
					
						Dec 13, 2013

					
					
						 

					
					
						Date 

					
					
						Dec.16th 2013

					
					
						 

				

		
			 
		

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			1

		

		

			 

		

		

		
			AMENDMENT NO. 3 TO THE CONSULTANCY AGREEMENT
		

		
			 
		

		
			between
		

		
			 
		

		
			1.HOOKIPA Biotech AG, FN 365895g, Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria
		

		
			 
		

		
			(the “Company”)
		

		
			 
		

		
			and
		

		
			 
		

		
			2.Prof. Dr. Daniel Pinschewer, Im Zehntenfrei 21A, 4102 Binningen, Switzerland
		

		
			 
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			RECITALS
		

		
			 
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013 and a further amendment (the “Amendment No. 2”) on December 13th, 2013 and December 16th, 2013, respectively.
		

		
			 
		

		
			WHEREAS, the Parties now wish to extend the Agreement, as amended, in accordance with the terms and conditions of this amendment (the “Amendment No. 3”).
		

		
			 
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

			
	
			
				 1.
			

			
	
			
			The Agreement, as amended, is hereby extended for one year from January 1, 2015 to December 31, 2015 (the “Extension Period”).

		
			 
		

			
	
			
				 2.
			

			
	
			
			The Payment dates specified in Section 2 of the Agreement, as amended, will be changed to the corresponding dates for the Extension Period for the Consultant’s service during such period.

		
			 
		

			
	
			
				 3.
			

			
	
			
			All other terms and conditions in the Agreement, as amended, remain in force for the Amendment No. 3.

		
			 
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						Consultant:

				
	
					
						Hookipa Biotech AG

					
					
						 

					
					
						Prof. Dr. Daniel Pinschewer

				
	
					
						Dr. Katherine Cohen, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

					
					
						Signature

					
					
						

				
	
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						December 18, 2014

					
					
						 

					
					
						Date

					
					
						December 15th 2014

				

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			1

		

		

			 

		

		

		
			AMENDMENT NO. 4 TO THE CONSULTANCY AGREEMENT
		

		
			 
		

		
			between
		

		
			 
		

		
			1.HOOKIPA Biotech AG, FN 365895g, Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria
		

		
			 
		

		
			(the “Company”)
		

		
			 
		

		
			and
		

		
			 
		

		
			2.Prof. Dr. Daniel Pinschewer, Im Zehntenfrei 21A, 4102 Binningen, Switzerland
		

		
			 
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			RECITALS
		

		
			 
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013, a further amendment (the “Amendment No. 2”) on December 13, 2013 and December 16, 2013. and a further amendment (the “Amendment No. 3”) on December 15, 2014 and December 18, 2014, respectively.
		

		
			 
		

		
			WHEREAS, the Parties now wish to extend the Agreement, as amended, in accordance with the terms and conditions of this amendment (the “Amendment No. 4”).
		

		
			 
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

			
	
			
				 1.
			

			
	
			
			The Agreement, as amended, is hereby extended for one year from January 1, 2016 to December 31, 2016 (the “Extension Period”).

		
			 
		

			
	
			
				 2.
			

			
	
			
			The Payment dates specified in Section 2 of the Agreement, as amended, will be changed to the corresponding dates for the Extension Period for the Consultant’s service during such period.

		
			 
		

			
	
			
				 3.
			

			
	
			
			All other terms and conditions in the Agreement, as amended, remain in force for the Amendment No. 4.

		
			 
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						Consultant:

				
	
					
						Hookipa Biotech AG

					
					
						 

					
					
						Prof. Dr. Daniel Pinschewer

				
	
					
						Dr. Katherine Cohen, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

					
					
						Signature

					
					
						

				
	
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						Feb 25, 2016

					
					
						 

					
					
						Date

					
					
						Feb 24th 2016

				

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			1

		

		

			 

		

		

		
			AMENDMENT NO. 5 TO THE CONSULTANCY AGREEMENT
		

		
			 
		

		
			between
		

		
			 
		

		
			1.HOOKIPA Biotech AG, EN 365895g, Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria
		

		
			 
		

		
			(the “Company”)
		

		
			 
		

		
			and
		

		
			 
		

		
			2.Prof. Dr. Daniel Pinschewer, Im Zehntenfrei 5, 4102 Binningen, Switzerland
		

		
			 
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			RECITALS
		

		
			 
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013, a further amendment (the “Amendment No. 2”) on December 13, 2013 and December 16, 2013, a further amendment (the “Amendment No. 3”) on December 15, 2014 and December 18, 2014, and a further amendment (the “Amendment No. 4”) on February 24, 2016 and February 25, 2016, respectively.
		

		
			 
		

		
			WHEREAS, the Parties now wish to extend the Agreement, as amended, in accordance with the terms and conditions of this amendment (the “Amendment No. 5”).
		

		
			 
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

			
	
			
				 1.
			

			
	
			
			The Agreement, as amended, is hereby extended for one year from January 1, 2017 to December 31, 2017 (the “Extension Period”).

		
			 
		

			
	
			
				 2.
			

			
	
			
			The Payment dates specified in Section 2 of the Agreement, as amended, will be changed to the corresponding dates for the Extension Period for the Consultant’s service during such period.

		
			 
		

			
	
			
				 3.
			

			
	
			
			All other terms and conditions in the Agreement, as amended, remain in force for this Amendment No. 5.

		
			 
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						Consultant:

				
	
					
						Hookipa Biotech AG

					
					
						 

					
					
						Prof. Dr. Daniel Pinschewer

				
	
					
						Jörn Aldag, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

					
					
						Signature

					
					
						

				
	
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						Date

					
					
						7.12.16

					
					
						 

					
					
						Date

					
					
						7.12.2016

				

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			1

		

		

			 

		

		

		
			AMENDMENT NO. 6 TO THE CONSULTANCY AGREEMENT
		

		
			 
		

		
			between
		

		
			 
		

		
			1.HOOKIPA Biotech AG, FN 365895g, Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria
		

		
			 
		

		
			(the “Company”)
		

		
			 
		

		
			and
		

		
			 
		

		
			2.Prof. Dr. Daniel Pinschewer, Im Zehntenfrei 5, 4102 Binningen, Switzerland
		

		
			 
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			RECITALS
		

		
			 
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013, a further amendment (the “Amendment No. 2”) on December 13, 2013 and December 16, 2013, a further amendment (the “Amendment No. 3”) on December 15, 2014 and December 18, 2014, a further amendment (the “Amendment No. 4”) on February 24, 2016 and February 25, 2016, and a further amendment (the “Amendment No. 5”) on December 7, 2016, respectively.
		

		
			 
		

		
			WHEREAS, the Parties now wish to extend the Agreement, as amended, in accordance with the terms and conditions of this amendment (the “Amendment No. 6”).
		

		
			 
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

			
	
			
				 1.
			

			
	
			
			The Agreement, as amended, is hereby extended for one year from January 1, 2017 to December 31, 2017 (the “Extension Period”).

		
			 
		

			
	
			
				 2.
			

			
	
			
			Section 2 of the Agreement shall be amended such that the fees for the Services provided within the Extension Period defined above, will be a lump sum of EUR 60,000 (sixty thousand euros), VAT, if applicable, included. Such lump sum shall be paid by the Company to Consultant in 4 installments (EUR 15,000 each installment) on the last day of March 2017, June 2017, September 2017 and December 2017, upon receiving an invoice and work report from the Consultant.

		
			 
		

			
	
			
				 3.
			

			
	
			
			The Schedules of Work as defined in Exhibit A of the Agreement, shall be changed so that the Consultant shall now report to Jörn Aldag, CEO of the Company. General tasks defined in Exhibit A of the Agreement, shall be amended to also include the « representation of the Company, including presentation of Company technologies, in meetings with investors and/or potential business partners of Company ».

		
			 
		

			
	
			
				 4.
			

			
	
			
			In consideration of the amended Schedules of Work as defined above the parties agree that the Consultant shall hold the title of CSO (Chief Scientific Officer) of the Company when representing the Company in meetings with third parties.

		
			 
		

			
	
			
				 5.
			

			
	
			
			The Consultant shall further be granted 6375 stock options of the Company, subject to the terms and conditions of the Company’s stock option plan 2016.

		
			 
		

			
	
			
				 6.
			

			
	
			
			All other terms and conditions in the Agreement, as amended, remain in force for this Amendment No. 6.

		
			 
		

		
			
		

		
			

		 

		

			1

		

		

			 

		

		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						Consultant:

				
	
					
						Hookipa Biotech AG

					
					
						 

					
					
						Prof. Dr. Daniel Pinschewer

				
	
					
						Jörn Aldag, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

					
					
						Signature

					
					
						

				
	
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						December 14, 2016

					
					
						 

					
					
						Date

					
					
						16.Dec.2016

				

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			2

		

		

			 

		

		

		
			AMENDMENT NO. 7  TO THE CONSULTANCY AGREEMENT
		

		
			 
		

		
			between
		

		
			 
		

		
			1.HOOKIPA Biotech AG, FN 365895g, Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria
		

		
			(the “Company”)
		

		
			and
		

		
			 
		

		
			2.Prof. Dr. Daniel Pinschewer, Im Zehntenfrei 5, 4102 Binningen, Switzerland
		

		
			(the “Consultant”)
		

		
			 
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			 
		

		
			RECITALS
		

		
			 
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013, a further amendment (the “Amendment No. 2”) on December 13, 2013 and December 16, 2013, a further amendment (the “Amendment No. 3”) on December 15, 2014 and December 18, 2014, a further amendment (the “Amendment No. 4”) on February 24, 2016 and February 25, 2016, a further amendment (the “Amendment No. 5”) on December 7, 2016, and a further amendment (the “Amendment No. 6”) on December 14, 2016 and December 16, 2016, respectively.
		

		
			 
		

		
			WHEREAS, the Parties now wish to extend the Agreement, as amended, in accordance with the terms and conditions of this amendment (the “Amendment No. 7”).
		

		
			 
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

		
			 
		

			
	
			
				 1.
			

			
	
			
			The Agreement, as amended, is hereby extended for one year from January 1, 2018 to December 31, 2018 (the “Extension Period”).

		
			 
		

			
	
			
				 2.
			

			
	
			
			The Payment dates specified in Section 2 of the Agreement, as amended, will be changed to the corresponding dates for the Extension Period for the Consultant’s service during such period.

		
			 
		

			
	
			
				 3.
			

			
	
			
			All other terms and conditions in the Agreement, as amended, remain in force for this Amendment No. 7.

		
			 
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement.
		

		
			 
		

			
					
						Company:

					
					
						 

					
					
						Consultant:

				
	
					
						Hookipa Biotech AG

					
					
						 

					
					
						Prof. Dr. Daniel Pinschewer

				
	
					
						Jörn Aldag, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature

					
					
						

					
					
						 

					
					
						Signature

					
					
						

				
	
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						Date:

					
					
						4-Dec-2017

					
					
						 

					
					
						Date

					
					
						4.12.2017

				

		
			 
		

		
			

		 

		

			1

		

		

			 

		

		

		
			AMENDMENT NO. 8 TO THE CONSULTANCY AGREEMENT
		

		
			between
		

		
			1.HOOKIPA Biotech GmbH  (previously HOOKIPA Biotech AG), Helmut-Qualtinger-Gasse 2, 1030 Vienna, Austria
		

		
			(the “Company”) and
		

		
			2.Prof. Dr. Daniel Pioschewer,  Im Zehntenfrei 5, 4102 Binningen, Switzerland
		

		
			(the “Consultant”)
		

		
			(each of them being also designated as a “Party” and together the ("Parties")
		

		
			RECITALS
		

		
			WHEREAS,  the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013, a further amendment (the “Amendment No. 2”) on December 13, 2013 and December 16, 2013, a further amendment (the “Amendment No. 3”) on December 15, 2014 and December 18, 2014, a further amendment (the “Amendment No. 4”) on February 24, 2016 and February 25, 2016, a further amendment (the “Amendment No. 5”) on December 7, 2016, a further amendment (the “Amendment No. 6”) on December 14, 2016 and December 16, 2016, respectively, and a further amendment on December 17, 2017 (“Amendment No. 7”).
		

		
			WHEREAS,  the Parties now wish to extend and amend the Agreement, as amended, in accordance with the terms and conditions of this amendment (the “Amendment No. 8”).
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

			
	
			
				 1.
			

			
	
			
			The definition of Company in the Agreement shall be amended to “Hookipa Biotech GmbH, FN 491551 w”.

			
	
			
				 2.
			

			
	
			
			The Agreement, as amended, is hereby extended for one year from January 1, 2019 to December 31, 2019 (the “Extension Period”).

			
	
			
				 3.
			

			
	
			
			Section 2 of the Agreement shall be amended such that the fees for the Services provided within the Extension Period defined above will be;

		
			a.a lump sum of EUR 64,000 (sixty four thousand Euros), VAT, if applicable, included. Such lump sum shall be paid by the Company to Consultant in 4 installments (EUR 16,000 each installment) on the last day of March 2019, June 2019, September 2019 and December 2019, upon receiving an invoice and work report from the Consultant; and
		

		
			b.a discretionary bonus in the amount of 40% of the gross cash payment in accordance with the Company’s bonus policy and based solely on the achievement of Company goals.
		

		
			4.All other terms and conditions in the Agreement, as amended, remain in force for this Amendment No. 8.
		

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement
		

			
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						Company:

					
					
						 

					
					
						Consultant:

				
	
					
						Hookipa Biotech GmbH

					
					
						 

					
					
						Prof. Dr. Daniel Pinschewer

				
	
					
						Jörn Aldag, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Signature:

					
					
						/s/ Jörn Aldag

					
					
						 

					
					
						Signature:

					
					
						/s/ Daniel Pinschewer

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						Date:

					
					
						December 21, 2018

					
					
						 

					
					
						Date:

					
					
						December 21, 2018

				

		
			 
		

		
			 
		

		
			

		 

		

			1

		

		

			 

		

		

		
			AMENDMENT NO. 9 TO THE CONSULTANCY AGREEMENT
		

		
			between
		

			
	
			
				 1.
			

			
	
			
			HOOKIPA Biotech GmbH (previously HOOKIPA Biotech AG), Helmut-Qualtinger Gasse 2, 1030 Vienna, Austria

		
			(the “Company”) and
		

			
	
			
				 2.
			

			
	
			
			Prof. Dr. Daniel Pinschewer, Im Zehntenfrei 5, 4102 Binningen, Switzerland

		
			(the “Consultant”)
		

		
			(each of them being also designated as a “Party” and together the “Parties”)
		

		
			RECITALS
		

		
			WHEREAS, the Parties entered into a Consultancy Agreement signed by the Company on November 13, 2011 and by the Consultant on November 16, 2011 (the “Agreement”) whereby the Company hired Daniel Pinschewer as Consultant. The Parties signed an amendment (the “Amendment No. 1”) to the Agreement on January 7, 2013, a further amendment (the “Amendment  No. 2”) on December 13, 2013 and December 16, 2013, a further amendment (the”Amendment  No. 3”) on December 15, 2014 and December 18, 2014, a further amendment (the”Amendment No. 4”) on February 24, 2016 and February 25, 2016, a further amendment (the “Amendment No. 5”) on December 7, 2016, a further amendment (the “Amendment No. 6”) on December  14, 2016 and  December  16, 2016, a further  amendment  (“Amendment  No. 7”) on December 17, 2017 and a further amendment (“Amendment No. 8”) on December 21, 2018.
		

		
			WHEREAS, the Parties now wish to extend and amend the Agreement, as amended, in accordance with the terms and conditions of this amendment (the “Amendment No. 9”).
		

		
			NOW THEREFORE THE PARTIES HEREBY AGREE AS FOLLOWS:
		

			
	
			
				 1.
			

			
	
			
			The Agreement, as amended, is hereby extended from January 1, 2020 to the day the Company files its Annual Report on Form 10‐K for the fiscal year ended December 31, 2019 (the “Extension Period”).

			
	
			
				 2.
			

			
	
			
			All other terms and conditions in the Agreement, as amended, remain in force for this Amendment No. 9.

		
			IN WITNESS WHEREOF, the Parties hereto have signed this Agreement
		

			
					
						 

					
					
						 

					
					
						 

				
	
					
						Company:

					
					
						    

					
					
						 

				
	
					
						Hookipa Biotech GmbH

					
					
						 

					
					
						Daniel Pinschewer

				
	
					
						Joern Aldag, CEO

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						/s/ Daniel Pinschewer

				
	
					
						/s/ Joern Aldag

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						December 30, 2019

				
	
					
						December 30, 2019

					
					
						 

					
					
						 

				

		
			 
		

		
			 
		

		 

		

			1

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