Document:

EX-10.2

 Exhibit 10.2 

13,500 Units 
 Each Unit
consisting of 
 One Share of Preferred Stock and 

A Warrant to Purchase up to 1,923.0771 Shares of Common Stock 

Cytori Therapeutics, Inc. 

PLACEMENT AGENCY AGREEMENT 

October 8, 2014 
 ROTH CAPITAL PARTNERS, LLC 

As Representative of the several 
 Placement Agents set forth in
Schedule D hereto 
 c/o Roth Capital Partners, LLC 

888 San Clemente Drive 
 Newport Beach, CA 92660 

Dear Sirs: 
 1. INTRODUCTION. Cytori Therapeutics, Inc.,
a Delaware corporation (the “Company”), proposes to issue and sell to the purchasers, pursuant to the terms and conditions of this Placement Agency Agreement (this “Agreement”) and the Securities Purchase Agreement
in the form of Exhibit A attached hereto (the “Securities Purchase Agreement”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), up
to an aggregate of 13,500 units (the “Units”), each Unit consisting of (i) one share (the “Shares”) of authorized but unissued Series A 3.6% Convertible Preferred Stock, par value $0.001 per share (the
“Preferred Stock”) of the Company, which shares of Preferred Stock shall be convertible into shares of common stock, par value $0.001 per share, of the Company (the “Common Stock”) and (ii) a warrant (the
“Warrants”) to purchase up to 1,923.0771 shares of Common Stock (the “Warrant Shares”). The Units, the Shares, the shares of Common Stock underlying the Preferred Stock (the “Conversion Shares”),
the Warrants and the Warrant Shares are collectively referred to herein as the “Securities”). The Shares and the Warrants shall be immediately separable and transferable upon issuance. The terms of (i) the Preferred Stock are
set forth in the form of Certificate of Designation (the “Certificate of Designation”) to be filed with the Secretary of State of the State of Delaware and (ii) the Warrants are set forth in the form of Warrant attached as
Exhibit B hereto. The Company hereby confirms that Roth Capital Partners, LLC (“Roth”) and Maxim Group, LLC (“Maxim”, together with Roth, the “Placement Agents”) have acted as the Placement
Agents in accordance with the terms and conditions hereof. Roth is acting as the representative of the Placement Agents and in such capacity is hereinafter referred to as the “Representative.” 

 2. AGREEMENT TO ACT AS PLACEMENT AGENTS; PLACEMENT OF THE UNITS. On the basis of the
representations, warranties and agreements of the Company herein contained, and subject to the terms and conditions set forth in this Agreement: 

(a) The Company hereby authorizes the Placement Agents to act as its exclusive agents to solicit offers for the purchase of all
or part of the Units from the Company in connection with the proposed offering of the Units (the “Offering”). Until the Closing Date (as defined below) or earlier upon termination of this Agreement pursuant to Section 8,
the Company shall not, without the prior consent of the Representative, solicit or accept offers to purchase the Units otherwise than through the Placement Agents. 

(b) The Company hereby acknowledges that the Placement Agents have agreed, as agents of the Company, to use their reasonable
efforts to solicit offers to purchase the Units from the Company on the terms and subject to the conditions set forth in the Prospectus (as defined below). The Placement Agents shall use reasonable efforts to assist the Company in obtaining
performance by each Purchaser whose offer to purchase the Units has been solicited by the Placement Agents and accepted by the Company, but the Placement Agents shall not, except as otherwise provided in this Agreement, be obligated to disclose the
identity of any potential purchaser or have any liability to the Company in the event any such purchase is not consummated for any reason. Under no circumstances will the Placement Agents be obligated to underwrite or purchase any Units for its own
account and, in soliciting purchases of the Units, the Placement Agents shall act solely as the Company’s agent and not as principal. 

(c) Subject to the provisions of this Section 2, offers for the purchase of the Units may be solicited by the Placement
Agents as agents for the Company at such times and in such amounts as the Placement Agents deem advisable. The Placement Agents shall communicate to the Company, orally or in writing, each reasonable offer to purchase the Units received by them as
agents of the Company. The Company shall have the sole right to accept offers to purchase the Units and may reject any such offer, in whole or in part. The Placement Agents shall have the right, in their discretion reasonably exercised, without
notice to the Company, to reject any offer to purchase the Units received by them, in whole or in part, and any such rejection shall not be deemed a breach of this Agreement. 

(d) The Units are being sold to the Purchasers at an offering price of $1,000.00 per Unit. The purchases of the Units by the
Purchasers shall be evidenced by the execution of Securities Purchase Agreement by each of the Purchasers and the Company. 

(e) As compensation for services rendered, on the Closing Date (as defined below), the Company shall pay to the Placement
Agents by wire transfer of immediately available funds to an account or accounts designated by the Representative, an aggregate amount equal to six percent (6.0%) of the gross proceeds received by the Company (the “Placement
Fee”) from the sale of the Units on such Closing Date. The Placement Agents may retain other brokers or dealers to act as sub-agents on their behalf in connection with the Offering, the fees of which shall be paid out of the Placement Fee.

 (f) No Units which the Company has agreed to sell pursuant to this Agreement and the Securities Purchase Agreement shall
be deemed to have been purchased and paid for, or sold by the Company, until such Units shall have been delivered to the Purchaser thereof against payment by such Purchaser. If the Company shall default in its obligations to deliver the Units to a
Purchaser whose offer it has accepted, the Company shall indemnify and hold the Placement Agent harmless against any loss, claim, damage or expense arising from or as a result of such default by the Company in accordance with the procedures set
forth in Section 7(c) herein. 

  
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 3. REPRESENTATIONS AND WARRANTIES OF THE COMPANY. The Company represents and warrants to the Placement
Agents, as of the date hereof, and agrees with the Placement Agents that: 
 (a) The Company has prepared and filed in conformity with the
requirements of the Securities Act of 1933, as amended (the “Securities Act”), and published rules and regulations thereunder (the “Rules and Regulations”) adopted by the Securities and Exchange Commission (the
“Commission”) a “shelf” Registration Statement (as hereinafter defined) on Form S-3 (File No. 333-195846), which became effective as of May 22, 2014 (the “Effective Date”), including a base
prospectus relating to the Securities (the “Base Prospectus”), and such amendments and supplements thereto as may have been required up to the date of this Agreement. The term “Registration Statement” as used in
this Agreement means the registration statement (including all exhibits, financial schedules and all documents and information deemed to be a part of the Registration Statement pursuant to Rule 430B of the Rules and Regulations), as amended
and/or supplemented to the date of this Agreement, including the Base Prospectus. The Registration Statement is effective under the Securities Act and no stop order preventing or suspending the effectiveness of the Registration Statement or
suspending or preventing the use of the Prospectus has been issued by the Commission and no proceedings for that purpose have been instituted or, to the knowledge of the Company, are threatened by the Commission. The Company, if required by the
Rules and Regulations, will file the Prospectus (as defined below), with the Commission pursuant to Rule 424(b) of the Rules and Regulations. The term “Prospectus” as used in this Agreement means the Prospectus, in the form in which
it is to be filed with the Commission pursuant to Rule 424(b) of the Rules and Regulations, or, if the Prospectus is not to be filed with the Commission pursuant to Rule 424(b), the Prospectus in the form included as part of the Registration
Statement as of the Effective Date, except that if any revised prospectus or prospectus supplement shall be provided to the Placement Agents by the Company for use in connection with the Offering which differs from the Prospectus (whether or not
such revised prospectus or prospectus supplement is required to be filed by the Company pursuant to Rule 424(b) of the Rules and Regulations), the term “Prospectus” shall refer to such revised prospectus or prospectus supplement, as
the case may be, from and after the time it is first provided to the Placement Agents for such use (or in the form first made available to the Placement Agents by the Company to meet requests of prospective purchasers pursuant to Rule 173 under the
Securities Act). Any preliminary prospectus or prospectus subject to completion included in the Registration Statement or filed with the Commission pursuant to Rule 424 of the Rules and Regulations is hereafter called a “Preliminary
Prospectus.” Any reference herein to the Registration Statement, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to Item 12 of Form S-3 which
were filed under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), on or before the last to occur of the Effective Date, the date of the Preliminary Prospectus, or the date of the Prospectus, and any reference
herein to the terms “amend,” “amendment,” or “supplement” with respect to the Registration Statement, any Preliminary Prospectus or the Prospectus shall be deemed to refer to and include (i) the filing of any
document under the Exchange Act after the Effective Date, the date of such Preliminary Prospectus or the date of the Prospectus, as the case may be, which is incorporated by reference and (ii) any such document so filed. 

(b) As of the Applicable Time (as defined below) and as of the Closing Date, neither (i) any General Use Free Writing Prospectus (as
defined below) issued at or prior to the Applicable Time, and the Pricing Prospectus (as defined below) and the information included on Schedule B hereto, all considered together (collectively, the “General Disclosure
Package”), (ii) any individual Limited Use Free Writing Prospectus (as defined below), nor (iii) the bona fide electronic road show (as defined in Rule 433(h)(5) of the Rules and Regulations), if any, that has been made
available without restriction to any person, when considered together with the General Disclosure Package, included or will include, any untrue statement of a material fact or omitted or as of the Closing Date will omit, to state a material fact
necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations or warranties as to

  
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information contained in or omitted from any Issuer Free Writing Prospectus, in reliance upon, and in conformity with, written information furnished to the Company by the Representative by or on
behalf of the Placement Agents specifically for inclusion therein, which information the parties hereto agree is limited to the Placement Agents’ Information (as defined in Section 16). As used in this paragraph (b) and
elsewhere in this Agreement: 
 “Applicable Time” means 6:00 A.M., New York time, on the date of this Agreement. 

“General Use Free Writing Prospectus” means any Issuer Free Writing Prospectus that is identified on
Schedule A to this Agreement. 
 “Issuer Free Writing Prospectus” means any “issuer free writing
prospectus,” as defined in Rule 433 of the Rules and Regulations relating to the Shares in the form filed or required to be filed with the Commission or, if not required to be filed, in the form retained in the Company’s records pursuant
to Rule 433(g) of the Rules and Regulations. 
 “Limited Use Free Writing Prospectuses” means any Issuer Free Writing
Prospectus that is not a General Use Free Writing Prospectus. 
 “Pricing Prospectus” means the Preliminary
Prospectus, if any, and the Base Prospectus, each as amended and supplemented immediately prior to the Applicable Time, including any document incorporated by reference therein and any prospectus supplement deemed to be a part thereof. 

(c) No order preventing or suspending the use of any Preliminary Prospectus, any Issuer Free Writing Prospectus or the Prospectus relating to
the Offering has been issued by the Commission, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act has been instituted or threatened by the Commission, and each Preliminary Prospectus (if any), at the time of
filing thereof, conformed in all material respects to the requirements of the Securities Act and the Rules and Regulations, and did not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or
necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company makes no representations or warranties as to information contained in or omitted from
any Preliminary Prospectus, in reliance upon, and in conformity with, written information furnished to the Company by the Representative by or on behalf of the Placement Agents specifically for inclusion therein, which information the parties hereto
agree is limited to the Placement Agents’ Information (as defined in Section 16). 
 (d) At the most recent Effective Date,
at the date of this Agreement and at the Closing Date, the Registration Statement conformed and will conform in all material respects to the requirements of the Securities Act and the Rules and Regulations and did not and will not contain any untrue
statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading; the Prospectus, at the time the Prospectus was issued and at the Closing Date, conformed and
will conform in all material respects to the requirements of the Securities Act and the Rules and Regulations and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the
statements therein, in light of the circumstances under which they were made, not misleading; provided, however, that the foregoing representations and warranties in this paragraph (d) shall not apply to information contained in
or omitted from the Registration Statement or the Prospectus in reliance upon, and in conformity with, written information furnished to the Company by the Representative by or on behalf of the Placement Agents specifically for inclusion therein,
which information the parties hereto agree is limited to the Placement Agents’ Information (as defined in Section 16). 

  
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 (e) Each Issuer Free Writing Prospectus, if any, as of its issue date and at all subsequent times
through the completion of the public offer and sale of the Units or until any earlier date that the Company notified or notifies the Representative as described in Section 4(e), did not, does not and will not include any information that
conflicted, conflicts or will conflict with the information contained in the Registration Statement, Pricing Prospectus or the Prospectus, including any document incorporated by reference therein and any prospectus supplement deemed to be a part
thereof that has not been superseded or modified, or includes an untrue statement of a material fact or omitted or would omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light
of the circumstances under which they were made, not misleading. The foregoing sentence does not apply to statements in or omissions from any Issuer Free Writing Prospectus in reliance upon, and in conformity with, written information furnished to
the Company by the Representative by or on behalf of the Placement Agents specifically for inclusion therein, which information the parties hereto agree is limited to the Placement Agents’ Information (as defined in Section 16).

 (f) The documents incorporated by reference in the Prospectus, when they became effective or were filed with the Commission, as the case
may be, conformed in all material respects to the requirements of the Securities Act or the Exchange Act, as applicable, and the rules and regulations of the Commission thereunder and none of such documents contained any untrue statement of a
material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading; and any further documents so filed and
incorporated by reference in the Prospectus, when such documents become effective or are filed with the Commission, as the case may be, will conform in all material respects to the requirements of the Securities Act or the Exchange Act, as
applicable, and the rules and regulations of the Commission thereunder and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in
light of the circumstances under which they were made, not misleading. 
 (g) At the Effective Date, and at the date hereof, the Company was
not and currently is not an “ineligible issuer” in connection with the Offering pursuant to Rule 405 under the Securities Act. The Company has not, directly or indirectly, distributed and will not distribute any offering material in
connection with the Offering other than any Preliminary Prospectus, the Prospectus and other materials, if any, permitted under the Securities Act and consistent with Section 4(b) below. The Company will file with the Commission all
Issuer Free Writing Prospectuses (other than a “road show,” as described in Rule 433(d)(8) of the Rules and Regulations), if any, in the time and manner required under Rules 163(b)(2) and 433(d) of the Rules and Regulations. 

(h) The Company and each of its subsidiaries (as defined in Section 14) have been duly organized and are validly existing as
corporations or other legal entities in good standing (or the foreign equivalent thereof) under the laws of their respective jurisdictions of organization. The Company and each of its subsidiaries are duly qualified to do business and are in good
standing as foreign corporations or other legal entities in each jurisdiction in which their respective ownership or lease of property or the conduct of their respective businesses requires such qualification and have all power and authority
(corporate or other) necessary to own or hold their respective properties and to conduct the businesses in which they are engaged, except where the failure to so qualify or have such power or authority would not (i) have, singly or in the
aggregate, a material adverse effect on the condition (financial or otherwise), results of operations, business or prospects of the Company and its subsidiaries taken as a whole, or (ii) impair in any material respect the ability of the Company
to perform its obligations under this Agreement or to consummate any transactions contemplated by this Agreement, the General Disclosure Package or the Prospectus (any such effect as described in clauses (i) or (ii), a “Material Adverse
Effect”). The Company owns or controls, directly or indirectly, the following corporations, partnerships, limited partnerships, limited liability companies, associations or other entities: 

  
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(i) Cytori Therapeutics KK, a company organized under the laws of Japan; (ii) Cytori Italia Srl, a company organized under the laws of Italy; (iii) Cytori GmbH, a company organized
under the laws of Switzerland; (iv) Cytori India Medical Private Limited, a company organized under the laws of India; and (v) Olympus-Cytori, Inc., a Delaware corporation. 

(i) The Company has the corporate power and authority to enter into this Agreement and the Securities Purchase Agreement, and to perform and
to discharge its obligations hereunder and thereunder; and this Agreement and each of the Securities Purchase Agreement has been duly authorized, executed and delivered by the Company, and constitutes a valid and binding obligation of the Company
enforceable in accordance with its terms, except as enforceability may be limited by applicable bankruptcy, insolvency, reorganization, moratorium or similar laws affecting creditors’ rights generally and except as enforceability may be subject
to general principles of equity (regardless of whether such enforceability is considered in a proceeding in equity or at law) now or hereafter in effect. 

(j) The Shares to be issued and sold by the Company to the Purchasers hereunder and under the Securities Purchase Agreement have been duly
authorized and, when issued, will be validly issued, fully paid and nonassessable, will be issued in compliance with all applicable securities laws, and will be free of preemptive or similar rights and will conform to the description of the capital
stock of the Company contained in the Registration Statement, the General Disclosure Package and the Prospectus. The Warrant and the Conversion Shares, when issued, paid for and delivered upon due exercise of the Warrants and the conversion of the
Shares, will be duly authorized and validly issued, fully paid and nonassessable, will be issued in compliance with all applicable securities laws, and will be free of preemptive or similar rights. The Warrant Shares and the Conversion Shares have
been reserved for issuance. The Securities, when issued, will conform in all material respects to the descriptions thereof set forth in the Registration Statement, the General Disclosure Package and the Prospectus. 

(k) The Company has an authorized capitalization as set forth in the Pricing Prospectus, and all of the issued shares of capital stock of the
Company have been duly and validly authorized and issued, are fully paid and non-assessable, have been issued in compliance with federal and state securities laws, and conform to the description thereof contained in the General Disclosure Package
and the Prospectus. As of September 30, 2014, there were 83,574,164 shares of Common Stock issued and outstanding and no shares of Preferred Stock, par value $0.001 per share, of the Company issued and outstanding and 18,786,684 shares of
Common Stock were issuable upon the exercise of all options, warrants and convertible securities and the vesting of restricted stock awards outstanding as of such date. Since such date, the Company has not issued any securities, other than Common
Stock of the Company issued pursuant to the exercise of stock options previously outstanding under the Company’s stock plans or the issuance of options or restricted Common Stock under the Company’s stock plans or as described in the
General Disclosure Package and the Prospectus. All of the stock options, warrants and other rights to purchase or exchange any securities for shares of the Company’s capital stock have been duly authorized and validly issued, and were issued in
compliance with U.S. federal and state securities laws. None of the outstanding shares of Common Stock was issued in violation of any preemptive rights, rights of first refusal or other similar rights to subscribe for or purchase securities of the
Company. The description of the Company’s stock option, stock bonus and other stock plans or arrangements, and the stock options or other rights granted thereunder, as described in the General Disclosure Package and the Prospectus, accurately
and fairly present the information required to be shown with respect to such plans, arrangements, stock options and rights. 
 (l) All the
outstanding shares of capital stock or other equity interests of each subsidiary of the Company have been duly authorized and validly issued, are fully paid and nonassessable and, except to the extent set forth in the General Disclosure Package or
the Prospectus, are owned by the Company directly or indirectly through one or more wholly-owned subsidiaries, free and clear of any claim, lien, encumbrance, security interest, restriction upon voting or transfer or any other claim of any third
party. 

  
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 (m) The execution, delivery and performance of this Agreement, the Warrants and the Securities
Purchase Agreement and the consummation of the transactions herein contemplated will not (with or without notice or lapse of time or both) (i) conflict with or result in a breach or violation of any of the terms or provisions of, constitute a
default or Debt Repayment Triggering Event (as defined below) under, give rise to any right of termination or other right or the cancellation or acceleration of any right or obligation or loss of a benefit under, or give rise to the creation or
imposition of any lien, encumbrance, security interest, claim or charge upon any property or assets of the Company or any subsidiary pursuant to, any indenture, mortgage, deed of trust, loan agreement or other agreement or instrument to which the
Company or any of its subsidiaries is a party or by which the Company or any of its subsidiaries is bound or to which any of the property or assets of the Company or any of its subsidiaries is subject, (ii) result in any violation of the
provisions of the charter or by-laws (or analogous governing instruments, as applicable) of the Company or any of its subsidiaries or (iii) result in any violation of any law, statute, rule, regulation, judgment, order or decree of any court or
governmental agency or body, domestic or foreign, having jurisdiction over the Company or any of its subsidiaries or any of their properties or assets, except, with respect to clauses (i) and (iii) of this paragraph such as would not,
singly or in the aggregate, have a Material Adverse Effect. A “Debt Repayment Triggering Event” means any event or condition that gives, or with the giving of notice or lapse of time would give the holder of any note, debenture or
other evidence of indebtedness (or any person acting on such holder’s behalf) the right to require the repurchase, redemption or repayment of all or a portion of such indebtedness by the Company or any of its subsidiaries. 

(n) Except for the registration of the Securities under the Securities Act and such consents, approvals, authorizations, registrations or
qualifications as may be required under the Exchange Act and applicable state or foreign securities laws, by the Financial Industry Regulatory Authority (“FINRA”) or by the NASDAQ Global Market (“NASDAQ GM”) in
connection with the Offering, no consent, approval, authorization or order of, or filing, qualification or registration with, any court or governmental agency or body, foreign or domestic, which has not been made, obtained or taken and is not in
full force and effect, is required for the execution, delivery and performance of this Agreement and the Securities Purchase Agreement by the Company, the offer or sale of the Units, the issuance of the Warrant and Conversion Shares upon due
exercise of the Warrants and conversion of the Shares in accordance with their terms, or the consummation of the transactions contemplated hereby or thereby. 

(o) KPMG LLP, which has certified certain financial statements and related schedules included or incorporated by reference in the Registration
Statement, the General Disclosure Package and the Prospectus, is an independent registered public accounting firm as required by the Securities Act and the Rules and Regulations and the Public Company Accounting Oversight Board (United States) (the
“PCAOB”). Except as pre-approved in accordance with the requirements set forth in Section 10A of the Exchange Act, KPMG LLP has not been engaged by the Company to perform any “prohibited activities” (as defined in
Section 10A of the Exchange Act). 
 (p) The financial statements, together with the related notes and schedules, included or
incorporated by reference in the General Disclosure Package, the Prospectus and in the Registration Statement present fairly, in all material respects, the financial position and the results of operations and changes in financial position,
stockholders’ equity and cash flows of the Company and its consolidated subsidiaries and other consolidated entities at the respective dates or for the respective periods therein specified. Such statements and related notes and schedules have
been prepared in accordance with generally accepted accounting principles in the United States (“GAAP”) applied on a consistent basis throughout the periods involved except as may be set forth in the related notes included or
incorporated 

  
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by reference in the General Disclosure Package. The financial statements, together with the related notes and schedules, included or incorporated by reference in the General Disclosure Package
and the Prospectus comply in all material respects with the Securities Act, the Exchange Act, and the Rules and Regulations and the rules and regulations under the Exchange Act. No other financial statements or supporting schedules or exhibits are
required by the Securities Act or the Rules and Regulations to be described, or included or incorporated by reference in the Registration Statement, the General Disclosure Package or the Prospectus. There is no pro forma or as adjusted financial
information which is required to be included in the Registration Statement, the General Disclosure Package, or and the Prospectus or a document incorporated by reference therein in accordance with the Securities Act and the Rules and Regulations
which has not been included or incorporated as so required. 
 (q) Neither the Company nor any of its subsidiaries has sustained, since the
date of the latest audited financial statements included or incorporated by reference in the General Disclosure Package, any material loss or interference with its business from fire, explosion, flood or other calamity, whether or not covered by
insurance, or from any labor dispute or court or governmental action, order or decree, otherwise than as set forth or contemplated in the General Disclosure Package; and, since such date, there has not been any material change in the capital stock
or long-term debt of the Company other than pursuant to any employee benefit plans or similar plans as set forth in the General Disclosure Package or incorporated by reference therein or any material adverse changes, or any development involving a
prospective material adverse change, in or affecting the business, assets, general affairs, management, financial position, prospects, stockholders’ equity or results of operations of the Company and its subsidiaries taken as a whole, otherwise
than as set forth or contemplated in the General Disclosure Package. 
 (r) Except as set forth in the General Disclosure Package, there is
no legal or governmental action, suit, claim or proceeding pending to which the Company or any of its subsidiaries is a party or of which any property or assets of the Company or any of its subsidiaries is the subject which is required to be
described in the Registration Statement, the General Disclosure Package or the Prospectus or a document incorporated by reference therein and is not described therein, or which, singly or in the aggregate, if determined adversely to the Company or
any of its subsidiaries, could have a Material Adverse Effect or prevent the consummation of the transactions contemplated hereby; and to the Company’s knowledge, except as set forth in the General Disclosure Package, no such proceedings are
threatened or contemplated by governmental authorities or threatened by others. 
 (s) Neither the Company nor any of its subsidiaries is in
(i) violation of its charter or by-laws (or analogous governing instrument, as applicable), (ii) default in any respect, and no event has occurred which, with notice or lapse of time or both, would constitute such a default, in the due
performance or observance of any term, covenant, obligation, agreement or condition contained in any indenture, mortgage, deed of trust, loan or credit agreement, other evidence of indebtedness, or any license, lease, contract or other agreement or
instrument to which it is a party or by which the Company or its subsidiaries are bound or to which any of its property or assets is subject or (iii) violation in any respect of any statute, law, ordinance, governmental rule, regulation,
ordinance, or court order, decree or judgment to which it or its property or assets may be subject except, (x) in the case of clauses (ii) and (iii) of this paragraph (s), for any violations, defaults or events which would
not, singly or in the aggregate, have a Material Adverse Effect, and (y) in the case of clause (ii) of this paragraph (s), for any violations, defaults or events described in the General Disclosure Package and the Prospectus. 

(t) The Company and each of its subsidiaries own or possess all approvals, licenses, certificates, clearances, consents, exemptions, marks,
notifications, orders, authorizations and permits issued by, and have made all declarations and filings with, the appropriate local, state, federal or foreign regulatory agencies or bodies, including, without limitation, the Food and Drug
Administration (the 

  
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“FDA”) and any agency of any foreign government and any other foreign regulatory authority exercising authority comparable to that of the FDA (including any non-governmental
entity whose approval or authorization is required under foreign law comparable to that administered by the FDA), which are necessary for the ownership of their respective properties or the conduct of their respective businesses as described in the
General Disclosure Package and the Prospectus (collectively, the “Governmental Permits”) and is in compliance with the terms and conditions of all such Governmental Permits, except where any failures to possess, comply or make the
same would not, singly or in the aggregate, have a Material Adverse Effect. All such Governmental Permits are valid and in full force and effect except where the validity or failure to be in full force and effect would not, singly or in the
aggregate, have a Material Adverse Effect. All such Governmental Permits are free and clear of any restriction or condition that are in addition to, or materially different from those normally applicable to similar licenses, certificates,
authorizations and permits. Neither the Company nor any of its subsidiaries has received any notice of any revocation or modification of, any such Governmental Permit, which, individually or in the aggregate, if the subject of an unfavorable
decision, ruling or finding, would have a Material Adverse Effect. 
 (u) Each Investigational New Drug application (“IND”)
or Investigational Device Exemption application (“IDE”) submitted by the Company to the FDA or similar application submitted by the Company to foreign regulatory bodies, and related documents and information, (1) has been
submitted and maintained in material compliance with applicable statutes, rules and regulations administered or promulgated by the FDA or other regulatory body, (2) the studies, tests and preclinical and clinical trials conducted by or on
behalf of the Company that are described in the General Disclosure Package or the Prospectus were, and if still pending, are being conducted in all material respects in accordance with experimental protocols, procedures and controls pursuant to,
where applicable, accepted professional and scientific standards for products or product candidates comparable to those being developed by the Company; and the drug substances or devices used in the clinical trials have been manufactured under
current Good Manufacturing Practices, and (3) the Company uses commercially reasonable efforts to review, from time to time, the progress and results of the studies, tests and preclinical and clinical trials except where the failure to be in
compliance would not result in a Material Adverse Effect. To the Company’s knowledge, the descriptions of the results of such studies, tests and preclinical and clinical trials in the General Disclosure Package are accurate and complete in all
material respects. The Company has not received any notices or correspondence from the FDA or any foreign, state or local governmental body exercising comparable authority requiring the termination, suspension or material modification of any
studies, tests or preclinical or clinical trials conducted by or on behalf of the Company except as described in the General Disclosure Package. 

(v) Neither the Company nor any of its subsidiaries is or, after giving effect to the Offering and the application of the proceeds thereof as
described in the General Disclosure Package and the Prospectus, will be required to register as an “investment company” within the meaning of the Investment Company Act of 1940, as amended, and the rules and regulations of the Commission
thereunder. 
 (w) Neither the Company, its subsidiaries nor, to the Company’s knowledge, any of the Company’s or its
subsidiaries’ officers, directors or affiliates has taken or will take, directly or indirectly, any action designed or intended to stabilize or manipulate the price of any security of the Company, or which caused or resulted in, or which could
in the future reasonably be expected to cause or result in, stabilization or manipulation of the price of any security of the Company. 

(x) The Company and each of its subsidiaries owns or possesses the right to use all patents, trademarks, trademark registrations, service
marks, service mark registrations, trade names, copyrights, licenses, inventions, software, databases, know-how, Internet domain names, trade secrets and 

  
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other unpatented and/or unpatentable proprietary or confidential information, systems or procedures, and other intellectual property (collectively, “Intellectual Property”)
necessary to carry on their respective businesses as currently conducted, and as proposed to be conducted and described in the General Disclosure Package and the Prospectus, and the Company is not aware of any claim to the contrary or any challenge
by any other person to the rights of the Company and its subsidiaries with respect to the foregoing except for those that could not have a Material Adverse Effect. The Intellectual Property licenses described in the General Disclosure Package and
the Prospectus are valid, binding upon, and enforceable by or against the parties thereto in accordance with their terms. The Company and each of its subsidiaries has complied in all material respects with, and is not in breach nor has received any
asserted or threatened claim of breach of, any Intellectual Property license, and the Company has no knowledge of any breach or anticipated breach by any other person to any Intellectual Property license. The Company’s and each of its
subsidiaries’ businesses as now conducted and as proposed to be conducted do not and will not infringe or conflict with any valid and enforceable patents, trademarks, service marks, trade names, copyrights, trade secrets, licenses or other
Intellectual Property or franchise right of any person. No claim has been made against the Company or any of its subsidiaries alleging the infringement by the Company or any of its subsidiaries of any patent, trademark, service mark, trade name,
copyright, trade secret, license in or other intellectual property right or franchise right of any person except as could not reasonably be expected to have a Material Adverse Effect. The Company and each of its subsidiaries has taken all reasonable
steps to protect, maintain and safeguard its rights in all Intellectual Property, including the execution of appropriate nondisclosure and confidentiality agreements. The consummation of the transactions contemplated by this Agreement will not
result in the loss or impairment of or payment of any additional amounts with respect to, nor require the consent of any other person in respect of, the Company’s or any of its subsidiaries’ right to own, use, or hold for use any of the
Intellectual Property as owned, used or held for use in the conduct of the businesses as currently conducted. The Company and each of its subsidiaries has at all times materially complied, and is in compliance with, all applicable laws relating to
privacy, data protection, and the collection and use of personal information collected, used, or held for use by the Company and any of its subsidiaries in the conduct of the Company’s and its subsidiaries businesses except as could not
reasonably be expected to have a Material Adverse Effect. No claims have been asserted or to the knowledge of the Company, threatened against the Company or any of its subsidiaries alleging a violation of any person’s privacy or personal
information or data rights and the consummation of the transactions contemplated hereby will not breach or otherwise cause any violation of any law related to privacy, data protection, or the collection and use of personal information collected,
used, or held for use by the Company or any of its subsidiaries in the conduct of the Company’s or any of its subsidiaries’ businesses. The Company and each of its subsidiaries takes reasonable measures to ensure that such information is
protected against unauthorized access, use, modification, or other misuse. 
 (y) The Company and each of its subsidiaries have good, valid
and marketable title in fee simple to, or have valid rights to lease or otherwise use, all items of real or personal property which are material to the business of the Company and its subsidiaries taken as a whole, in each case free and clear of all
liens, encumbrances, security interests, claims and defects that do not, singly or in the aggregate, materially affect the value of such property and do not interfere with the use made and proposed to be made of such property by the Company or any
of its subsidiaries except for those liens, encumbrances, security interests, claims and defects that would not have a Material Adverse Effect; and all of the leases and subleases material to the business of the Company and its subsidiaries,
considered as one enterprise, and under which the Company or any of its subsidiaries holds properties described in the General Disclosure Package and the Prospectus, are in full force and effect, and neither the Company nor any subsidiary has
received any notice of any material claim of any sort that has been asserted by anyone adverse to the rights of the Company or any subsidiary under any of the leases or subleases mentioned above, or affecting or questioning the rights of the Company
or such subsidiary to the continued possession of the leased or subleased premises under any such lease or sublease. 

  
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 (z) No labor disturbance by the employees of the Company or any of the Company’s
subsidiaries exists or, to the Company’s knowledge, is threatened or imminent, and the Company is not aware of any existing or imminent labor disturbance by the employees of any of its or its subsidiaries’ principal suppliers,
manufacturers, customers or contractors, that could reasonably be expected, singly or in the aggregate, to have a Material Adverse Effect. The Company is not aware that any key employee or significant group of employees of the Company or any of the
Company’s subsidiaries plans to terminate employment with the Company or any of the Company’s subsidiaries, except as described in the General Disclosure Package and the Prospectus. 

(aa) No “prohibited transaction” (as defined in Section 406 of the Employee Retirement Income Security Act of 1974, as amended,
including the regulations and published interpretations thereunder (“ERISA”), or Section 4975 of the Internal Revenue Code of 1986, as amended from time to time (the “Code”)) or “accumulated funding
deficiency” (as defined in Section 302 of ERISA) or any of the events set forth in Section 4043(b) of ERISA (other than events with respect to which the thirty (30)-day notice requirement under Section 4043 of ERISA has been
waived) has occurred or could reasonably be expected to occur with respect to any employee benefit plan of the Company or any of its subsidiaries which could, singly or in the aggregate, have a Material Adverse Effect. Each employee benefit plan of
the Company or any of its subsidiaries is in compliance in all material respects with applicable law, including ERISA and the Code. The Company and its subsidiaries have not incurred and could not reasonably be expected to incur liability under
Title IV of ERISA with respect to the termination of, or withdrawal from, any pension plan (as defined in ERISA). Each pension plan for which the Company or any of its subsidiaries would have any liability that is intended to be qualified under
Section 401(a) of the Code is so qualified, and nothing has occurred, whether by action or by failure to act, which could, singly or in the aggregate, cause the loss of such qualification. 

(bb) The Company and its subsidiaries are in compliance with all foreign, federal, state and local rules, laws and regulations relating to the
use, treatment, storage and disposal of hazardous or toxic substances or waste and protection of health and safety or the environment which are applicable to their businesses (“Environmental Laws”), except where the failure to
comply would not, singly or in the aggregate, have a Material Adverse Effect. There has been no storage, generation, transportation, handling, treatment, disposal, discharge, emission, or other release of any kind of toxic or other wastes or other
hazardous substances by, due to, or caused by the Company or any of its subsidiaries (or, to the Company’s knowledge, any other entity for whose acts or omissions the Company or any of its subsidiaries is or may otherwise be liable) upon any of
the property now or previously owned or leased by the Company or any of its subsidiaries, or upon any other property, in violation of any law, statute, ordinance, rule, regulation, order, judgment, decree or permit or which would, under any law,
statute, ordinance, rule (including rule of common law), regulation, order, judgment, decree or permit, give rise to any liability, except for any violation or liability which would not have, singly or in the aggregate with all such violations and
liabilities, a Material Adverse Effect; and there has been no disposal, discharge, emission or other release of any kind onto such property or into the environment surrounding such property of any toxic or other wastes or other hazardous substances
with respect to which the Company has knowledge, except for any such disposal, discharge, emission, or other release of any kind which would not have, singly or in the aggregate with all such discharges and other releases, a Material Adverse Effect.
In the ordinary course of business, the Company and its subsidiaries conduct periodic reviews of the effect of Environmental Laws on their business and assets, in the course of which they identify and evaluate associated costs and liabilities
(including, without limitation, any capital or operating expenditures required for clean-up, closure of properties or compliance with Environmental Laws or Governmental Permits issued thereunder, any related constraints on operating activities and
any potential liabilities to third parties). On the basis of such reviews, the Company and its subsidiaries have reasonably concluded that such associated costs and liabilities would not have, singly or in the aggregate, a Material Adverse Effect.

  
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 (cc) The Company and its subsidiaries are in compliance in all respects with all applicable
provisions of the Occupational Safety and Health Act of 1970, as amended, including all applicable regulations thereunder, except for such noncompliance as would not, singly or in the aggregate, have a Material Adverse Effect. 

(dd) The Company and its subsidiaries, each (i) has timely filed all necessary federal, state, local and foreign tax returns (or timely
filed applicable extensions therefor) that have been required to be filed, and all such returns were true, complete and correct, (ii) has paid all federal, state, local and foreign taxes, assessments, governmental or other charges that are due
and payable for which it is liable, including, without limitation, all sales and use taxes and all taxes which the Company or any of its subsidiaries is obligated to withhold from amounts owing to employees, creditors and third parties, and
(iii) does not have any tax deficiency or claims outstanding or assessed or, to its knowledge, proposed against any of them, except those, in each of the cases described in clauses (i), (ii) and (iii) of this
paragraph (dd), that would not, singly or in the aggregate, have a Material Adverse Effect. The Company and its subsidiaries, each has not engaged in any transaction which is a corporate tax shelter or which could be characterized as
such by the Internal Revenue Service or any other taxing authority. The accruals and reserves on the books and records of the Company and its subsidiaries in respect of tax liabilities for any taxable period not yet finally determined are adequate
to meet any assessments and related liabilities for any such period, and since December 31, 2011 the Company and its subsidiaries each has not incurred any liability for taxes other than in the ordinary course. 

(ee) The Company and each of its subsidiaries carries, or is covered by insurance provided by nationally recognized institutions with policies
in such amounts and covering such risks as the Company considers is adequate for the conduct of their respective businesses and the value of their respective properties. The Company has no reason to believe that it and its subsidiaries will not be
able to renew their existing insurance coverage as and when such coverage expires or to obtain comparable coverage from similar insurers as may be necessary or appropriate to conduct its business as now conducted and at a cost that would not have a
Material Adverse Effect. 
 (ff) The Company and its subsidiaries each maintains a system of internal accounting and other controls
sufficient to provide reasonable assurances that (i) transactions are executed in accordance with management’s general or specific authorizations; (ii) transactions are recorded as necessary to permit preparation of financial
statements in conformity with GAAP and to maintain accountability for assets; (iii) access to assets is permitted only in accordance with management’s general or specific authorization; and (iv) the recorded accountability for assets
is compared with existing assets at reasonable intervals and appropriate action is taken with respect to any differences. Except as described in the General Disclosure Package, since the end of the Company’s most recent audited fiscal year,
there has been (A) no material weakness in the Company’s internal control over financial reporting (whether or not remediated) and (B) no change in the Company’s internal control over financial reporting that has materially
affected, or is reasonably likely to materially affect, the Company’s internal control over financial reporting. 
 (gg) The minute
books of the Company and each of its subsidiaries that would be a “significant subsidiary” within the meaning of Rule 1-02(w) of Regulation S-X under the Exchange Act (such a significant subsidiary of the Company, a
“Significant Subsidiary”) have been made available to the Placement Agents and counsel for the Placement Agents, and such books (i) contain a complete summary of all meetings and actions of the board of directors (including
each board committee) and stockholders of the Company (or analogous governing bodies and interest holders, as applicable), and each of its Significant Subsidiaries since the time of its respective incorporation or organization through the date of
the latest meeting and action, and (ii) accurately in all material respects reflect all transactions referred to in such minutes. 

  
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 (hh) There is no franchise, lease, contract, agreement or document required by the Securities Act
or by the Rules and Regulations to be described in the General Disclosure Package and in the Prospectus or a document incorporated by reference therein or to be filed as an exhibit to the Registration Statement or a document incorporated by
reference therein which is not described or filed therein as required; and all descriptions of any such franchises, leases, contracts, agreements or documents contained in the Registration Statement or in a document incorporated by reference therein
are accurate and complete descriptions of such documents in all material respects. Other than as described in the General Disclosure Package, no such franchise, lease, contract or agreement has been suspended or terminated for convenience or default
by the Company or any of its subsidiaries or any of the other parties thereto, and neither the Company nor any of its subsidiaries has received notice nor does the Company have any other knowledge of any such pending or threatened suspension or
termination, except for such pending or threatened suspensions or terminations that would not reasonably be expected to, singly or in the aggregate, have a Material Adverse Effect. 

(ii) No relationship, direct or indirect, exists between or among the Company and any of its subsidiaries on the one hand, and the directors,
officers, stockholders (or analogous interest holders), customers or suppliers of the Company or any of its subsidiaries or any of their affiliates on the other hand, which is required to be described in the General Disclosure Package and the
Prospectus or a document incorporated by reference therein and which is not so described. 
 (jj) No person or entity has the right to
require registration of shares of Common Stock or other securities of the Company or any of its subsidiaries because of the filing or effectiveness of the Registration Statement or the consummation of the Offering, except for persons and entities
who have expressly waived such right in writing or who have been given timely and proper written notice and have failed to exercise such right within the time or times required under the terms and conditions of such right. Except as described in the
General Disclosure Package, there are no persons with registration rights or similar rights to have any securities registered by the Company or any of its subsidiaries under the Securities Act. 

(kk) Neither the Company nor any of its subsidiaries owns any “margin securities” as that term is defined in Regulation U of the
Board of Governors of the Federal Reserve System (the “Federal Reserve Board”), and none of the proceeds of the sale of any of the Shares will be used, directly or indirectly, for the purpose of purchasing or carrying any margin
security, for the purpose of reducing or retiring any indebtedness which was originally incurred to purchase or carry any margin security or for any other purpose which might cause any of the Shares to be considered a “purpose credit”
within the meanings of Regulation T, U or X of the Federal Reserve Board. 
 (ll) Neither the Company nor any of its subsidiaries is a party
to any contract, agreement or understanding with any person (other than this Agreement) that would give rise to a valid claim against the Company or the Placement Agents for a brokerage commission, finder’s fee or like payment in connection
with the Offering or any transaction contemplated by this Agreement, the Registration Statement, the General Disclosure Package or the Prospectus. 

(mm) No forward-looking statement (within the meaning of Section 27A of the Securities Act and Section 21E of the Exchange Act)
contained in either the General Disclosure Package or the Prospectus has been made or reaffirmed without a reasonable basis or has been disclosed other than in good faith. 

(nn) The Company is subject to and in compliance in all material respects with the reporting requirements of Section 13 or
Section 15(d) of the Exchange Act, and has filed in a timely manner all reports required to be filed pursuant to Sections 13(a), 13(e), 14 and 15(d) of the Exchange Act 

  
 13 

 
during the preceding 12 months. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act and is listed on the NASDAQ GM, and the Company has taken no action designed to
terminate, or reasonably likely to have the effect of terminating, the registration of the Common Stock under the Exchange Act or delisting the Common Stock from the NASDAQ GM, nor has the Company received any notification that the Commission, FINRA
or NASDAQ (inclusive with the NASDAQ GM) is currently contemplating terminating such registration or listing. No consent, approval, authorization or order of, or filing, notification or registration with, the NASDAQ GM is required for the listing
and trading of the shares of Common Stock on the NASDAQ GM, except for (i) a Notification Form: Listing of Additional Shares; and (ii) a Notification Form: Change in the Number of Shares Outstanding. 

(oo) The Company is, and after giving effect to the Offering will be, in compliance in all material respects with all applicable effective
provisions of the Sarbanes-Oxley Act of 2002 and any related rules and regulations promulgated by the Commission thereunder (the “Sarbanes-Oxley Act”). 

(pp) The Company is, and after giving effect to the Offering will be, in compliance in all material respects with all applicable corporate
governance requirements set forth in the NASDAQ Marketplace Rules. 
 (qq) Neither the Company nor any of its subsidiaries nor, to the best
of the Company’s knowledge, any employee or agent of the Company or any subsidiary, has made any contribution or other payment to any official of, or candidate for, any federal, state, local or foreign office in violation of any law (including
the Foreign Corrupt Practices Act of 1977, as amended) or of the character required to be disclosed in the Registration Statement, the General Disclosure Package or the Prospectus or a document incorporated by reference therein. 

(rr) There are no transactions, arrangements or other relationships between and/or among the Company, any of its affiliates (as such term is
defined in Rule 405 of the Securities Act) and any unconsolidated entity, including, but not limited to, any structured finance, special purpose or limited purpose entity that could reasonably be expected to materially affect the Company’s or
any of its subsidiaries’ liquidity or the availability of or requirements for their capital resources required to be described in the General Disclosure Package and the Prospectus or a document incorporated by reference therein which have not
been described as required. 
 (ss) There are no outstanding loans, advances (except normal advances for business expenses in the ordinary
course of business) or guarantees or indebtedness by the Company or any of its subsidiaries to or for the benefit of any of the officers or directors of the Company, any of its subsidiaries or any of their respective family members, except as
disclosed in the Registration Statement, the General Disclosure Package and the Prospectus. 
 (tt) Any statistical, industry-related or
market-related data included or incorporated by reference in the Registration Statement, the Prospectus or the General Disclosure Package are based on or derived from sources that the Company believes to be reliable and accurate. 

(uu) The operations of the Company and its subsidiaries are and have been conducted at all times in compliance with applicable financial
recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the USA PATRIOT Act, applicable money laundering statutes of all jurisdictions and the applicable rules, related rules and
regulations thereunder (collectively, the “Money Laundering Laws”), and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Company or any of its
subsidiaries with respect to the Money Laundering Laws is pending or, to the knowledge of the Company, threatened against the Company or any of its subsidiaries. 

  
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 (vv) Neither the Company nor any of its subsidiaries nor, to the knowledge of the Company, any
director, officer, agent, employee or affiliate of the Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (“OFAC”); and
the Company will not directly or indirectly use the proceeds of the Offering, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other person or entity, which, to the Company’s knowledge
will use such proceeds for the purpose of financing the activities of any person currently subject to any U.S. sanctions administered by OFAC. 

(ww) Neither the Company nor any subsidiary nor any of their affiliates (within the meaning of FINRA’s NASD Conduct Rule 5121(f)(1))
directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA. 

(xx) At the time the Registration Statement was originally declared effective, and as of the date of this Agreement, the Company then met and
currently meets the applicable requirements for the use of Form S-3 under the Securities Act. 
 (yy) No approval of the stockholders of the
Company under the NASDAQ Marketplace Rules (including Rule 5635) is required for the Company to issue and deliver the Units. 
 Any
certificate signed by or on behalf of the Company and delivered to the Representative or to counsel for the Placement Agents shall be deemed to be a representation and warranty by the Company to the Placement Agents as to the matters covered
thereby. 
 4. FURTHER AGREEMENTS OF THE
COMPANY. The Company agrees with the Placement Agents: 
 (a) To prepare the Rule 462(b) Registration
Statement, if necessary, in a form approved by the Representative and file such Rule 462(b) Registration Statement with the Commission on the date hereof; to prepare the Prospectus in a form approved by the Representative containing information
previously omitted at the time of effectiveness of the Registration Statement in reliance on rules 430A, 430B and 430C of the Rules and Regulations and to file such Prospectus pursuant to Rule 424(b) of the Rules and Regulations not later than the
second (2nd) business day following the execution and delivery of this Agreement or, if applicable, such earlier time as may be required by Rule 430A of the Rules and Regulations; to notify
the Representative immediately of the Company’s intention to file or prepare any supplement or amendment to any Registration Statement or to the Prospectus in connection with this Offering and to make no amendment or supplement to the
Registration Statement, the General Disclosure Package or to the Prospectus to which the Representative shall reasonably object by notice to the Company after a reasonable period to review; to advise the Representative, promptly after it receives
notice thereof, of the time when any amendment to the Registration Statement has been filed or becomes effective or any supplement to the General Disclosure Package or the Prospectus or any amended Prospectus has been filed and to furnish the
Representative copies thereof; to file promptly all material required to be filed by the Company with the Commission pursuant to Rule 433(d) or 163(b)(2), as the case may be, of the Rules and Regulations; to file promptly all reports and any
definitive proxy or information statements required to be filed by the Company with the Commission pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act subsequent to the date of the Prospectus and for so long as the delivery of a
prospectus (or in lieu thereof, the notice referred to in Rule 173(a) of the Rules and Regulations) is required in connection with the Offering or sale of the Securities; to advise the Representative, promptly after it receives notice thereof, of
the issuance by the Commission of any stop order or of any order preventing or suspending the use of any Preliminary Prospectus, any Issuer Free 

  
 15 

 
Writing Prospectus or the Prospectus, of the suspension of the qualification of the Securities for offering or sale in any jurisdiction, of the initiation or threatening of any proceeding for any
such purpose, or of any request by the Commission for the amending or supplementing of the Registration Statement, the General Disclosure Package or the Prospectus or for additional information; and, in the event of the issuance of any stop order or
of any order preventing or suspending the use of any Preliminary Prospectus, any Issuer Free Writing Prospectus or the Prospectus or suspending any such qualification, and promptly to use its best efforts to obtain the withdrawal of such order. 

(b) The Company represents and agrees that, it has not made, and unless it obtains the prior consent of the Representative, it will not make,
any offer relating to the Units that would constitute a “free writing prospectus” as defined in Rule 405 of the Rules and Regulations (each, a “Permitted Free Writing Prospectus”); provided that the prior written
consent of the Representative hereto shall be deemed to have been given in respect of the Issuer Free Writing Prospectus(es) included in Schedule A hereto. The Company represents that it has treated and agrees that it will treat each
Permitted Free Writing Prospectus as an Issuer Free Writing Prospectus, comply with the requirements of Rules 164 and 433 of the Rules and Regulations applicable to any Issuer Free Writing Prospectus, including the requirements relating to timely
filing with the Commission, legending and record keeping and will not take any action that would result in the Placement Agents or the Company being required to file with the Commission pursuant to Rule 433(d) of the Rules and Regulations a free
writing prospectus prepared by or on behalf of such Placement Agent that such Placement Agent otherwise would not have been required to file thereunder. 

(c) If at any time when a Prospectus relating to the Securities is required to be delivered under the Securities Act, any event occurs or
condition exists as a result of which the Prospectus, as then amended or supplemented, would include any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the
circumstances under which they were made, not misleading, or the Registration Statement, as then amended or supplemented, would include any untrue statement of a material fact or omit to state a material fact necessary to make the statements therein
not misleading, or if for any other reason it is necessary at any time to amend or supplement any Registration Statement or the Prospectus to comply with the Securities Act or the Exchange Act, the Company will promptly notify the Representative,
and upon the Representative’ request, the Company will promptly prepare and file with the Commission, at the Company’s expense, an amendment to the Registration Statement or an amendment or supplement to the Prospectus that corrects such
statement or omission or effects such compliance and will deliver to the Placement Agents, without charge, such number of copies thereof as the Placement Agents may reasonably request. The Company consents to the use of the Prospectus or any
amendment or supplement thereto by the Placement Agents. 
 (d) If the General Disclosure Package is being used to solicit offers to buy the
Securities at a time when the Prospectus is not yet available to prospective purchasers and any event shall occur as a result of which, in the judgment of the Company or in the reasonable opinion of the Representative, it becomes necessary to amend
or supplement the General Disclosure Package in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the statements therein not conflict with the information contained or
incorporated by reference in the Registration Statement then on file and not superseded or modified, or if it is necessary at any time to amend or supplement the General Disclosure Package to comply with any law, the Company promptly will either
(i) prepare, file with the Commission (if required) and furnish to the Placement Agents and any dealers an appropriate amendment or supplement to the General Disclosure Package or (ii) prepare and file with the Commission an appropriate
filing under the Exchange Act which shall be incorporated by reference in the General Disclosure Package so that the General Disclosure Package as so amended or supplemented will not, in the light of the circumstances under which they were made, be
misleading or conflict with the Registration Statement then on file, or so that the General Disclosure Package will comply with law. 

  
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 (e) If at any time following issuance of an Issuer Free Writing Prospectus there occurred or
occurs an event or development as a result of which such Issuer Free Writing Prospectus conflicted or will conflict with the information contained in the Registration Statement, Pricing Prospectus or Prospectus, including any document incorporated
by reference therein and any prospectus supplement deemed to be a part thereof and not superseded or modified or included or would include an untrue statement of a material fact or omitted or would omit to state a material fact required to be stated
therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, the Company has promptly notified or will promptly notify the Representative so that any use of the Issuer
Free Writing Prospectus may cease until it is amended or supplemented and has promptly amended or will promptly amend or supplement, at its own expense, such Issuer Free Writing Prospectus to eliminate or correct such conflict, untrue statement or
omission. The foregoing sentence does not apply to statements in or omissions from any Issuer Free Writing Prospectus in reliance upon, and in conformity with, written information furnished to the Company by the Representative by or on behalf of the
Placement Agents specifically for inclusion therein, which information the parties hereto agree is limited to the Placement Agents’ Information (as defined in Section 16). 

(f) To the extent not available on the Commission’s EDGAR system or any successor system, to furnish promptly to the Placement Agents and
to counsel for the Placement Agents a signed copy of the Registration Statement as originally filed with the Commission, and of each amendment thereto filed with the Commission, including all consents and exhibits filed therewith. 

(g) To the extent not available on the Commission’s EDGAR system or any successor system, to deliver promptly to the Representative in
New York City such number of the following documents as the Representative shall reasonably request: (i) conformed copies of the Registration Statement as originally filed with the Commission (in each case excluding exhibits), (ii) each
Preliminary Prospectus (if any), (iii) any Issuer Free Writing Prospectus, (iv) the Prospectus (the delivery of the documents referred to in clauses (i), (ii), (iii) and (iv) of this paragraph (g) to be made not later
than 10:00 A.M., New York time, on the business day following the execution and delivery of this Agreement), (v) conformed copies of any amendment to the Registration Statement (excluding exhibits), (vi) any amendment or supplement to the
General Disclosure Package or the Prospectus (the delivery of the documents referred to in clauses (v) and (vi) of this paragraph (g) to be made not later than 10:00 A.M., New York City time, on the business day following the
date of such amendment or supplement) and (vii) any document incorporated by reference in the General Disclosure Package or the Prospectus (excluding exhibits thereto) (the delivery of the documents referred to in clause (vi) of this
paragraph (g) to be made not later than 10:00 A.M., New York City time, on the business day following the date of such document). 

(h) To make generally available to its stockholders as soon as practicable, but in any event not later than eighteen (18) months after
the effective date of each Registration Statement (as defined in Rule 158(c) of the Rules and Regulations), an earnings statement of the Company and its subsidiaries (which need not be audited) complying with Section 11(a) of the Securities Act
and the Rules and Regulations (including, at the option of the Company, Rule 158); and to furnish to its stockholders after the end of each fiscal year an annual report (including a balance sheet and statements of income, stockholders’ equity
and cash flows of the Company and its consolidated subsidiaries certified by independent public accountants) and after each of the first three fiscal quarters of each fiscal year (beginning with the first fiscal quarter after the effective date of
such Registration Statement), consolidated summary financial information of the Company and its subsidiaries for such quarter in reasonable detail. 

  
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 (i) To take promptly from time to time such actions as the Representative may reasonably request
to qualify the Units for offering and sale under the securities or blue sky laws of such jurisdictions (domestic or foreign) as the Representative may designate and to continue such qualifications in effect, and to comply with such laws, for so long
as required to permit the offer and sale of Shares in such jurisdictions; provided that the Company and its subsidiaries shall not be obligated to qualify as foreign corporations in any jurisdiction in which they are not so qualified or to
file a general consent to service of process in any jurisdiction. 
 (j) Upon request, during the period of three (3) years from the
date hereof, to the extent not available on the Commission’s EDGAR system or any successor system, to deliver to the Placement Agents, as soon as they are available (i) copies of all reports or other communications furnished to
stockholders, and (ii) copies of any reports and financial statements furnished or filed with the Commission or any national securities exchange or automatic quotation system on which the Common Stock is listed or quoted. 

(k) That the Company will not, for a period of ninety (90) days from the date of the Prospectus (the “Lock-Up Period”),
without the prior written consent of Roth, directly or indirectly offer, sell, assign, transfer, pledge, contract to sell, or otherwise dispose of, any shares of Common Stock or any securities convertible into or exercisable or exchangeable for
Common Stock, other than (i) the Company’s sale of the Units hereunder, (ii) pursuant to the Company’s director or employee benefit plans, qualified stock option plans or other employee compensation plans as such plans are in
existence on the date hereof and described in the Prospectus and the issuance of Common Stock pursuant to the valid exercises of options, warrants or rights outstanding on the date hereof (iii) pursuant to the conversion of securities or the
exercise of warrants outstanding at the date of the Prospectus and described in the General Disclosure Package or (iv) the issuance of Common Stock or any securities convertible into or exercisable or exchangeable for Common Stock in connection
with any arm’s-length, bona fide joint ventures, commercial relationships or other strategic transactions not involving any affiliates of the Company, provided that the aggregate number of shares of Common Stock so issued pursuant to this
clause (iv) shall not exceed 5% of the total outstanding shares immediately following the completion of this offering. The Company will cause each executive officer and director listed in Schedule C to furnish to the Placement
Agents, prior to the Closing Date, a letter, substantially in the form of Exhibit C hereto. The Company also agrees that during such period, the Company will not file any registration statement, preliminary prospectus or prospectus, or
any amendment or supplement thereto, under the Securities Act for any such transaction or which registers, or offers for sale, Common Stock or any securities convertible into or exercisable or exchangeable for Common Stock, except for (x) a
registration statement on Form S-8 relating to employee benefit plans and (y) any resale registration statement required by any registration rights or similar rights to have any securities registered by the Company under the Securities Act
described in the General Disclosure Package during the Lock-Up Period. The Company hereby agrees that (A) if it issues an earnings release or material news, or if a material event relating to the Company occurs, during the last seventeen
(17) days of the Lock-Up Period, or (B) if prior to the expiration of the Lock-Up Period, the Company announces that it will release earnings results during the sixteen (16)-day period beginning on
the last day of the Lock-Up Period, the restrictions imposed by this paragraph (k) or the letter shall continue to apply until the expiration of the eighteen (18)-day period beginning on the issuance of the earnings release or the
occurrence of the material news or material event. 
 (l) To the extent not available on EDGAR, to supply the Representative with copies of
all correspondence to and from, and all documents issued to and by, the Commission in connection with the registration of the Securities under the Securities Act or the Registration Statement, any Preliminary Prospectus or the Prospectus, or any
amendment or supplement thereto. 

  
 18 

 (m) Prior to the Closing Date, not to issue any press release or other communication directly or
indirectly or hold any press conference with respect to the Company, its condition, financial or otherwise, or earnings, business affairs or business prospects (except for routine oral marketing communications in the ordinary course of business and
consistent with the past practices of the Company, and of which the Representative is notified), without the prior written consent of the Representative, unless in the judgment of the Company and its counsel, and after notification to the
Representative, such press release or communication is required by law or applicable stock exchange rules. 
 (n) Until the Representative
shall have notified the Company of the completion of the Offering, that the Company will not, and will cause its affiliated purchasers (as defined in Regulation M under the Exchange Act) not to, either alone or with one or more other persons, bid
for or purchase, for any account in which it or any of its affiliated purchasers has a beneficial interest, any Securities, or attempt to induce any person to purchase any Securities; and not to, and to cause its affiliated purchasers not to, make
bids or purchases for the purpose of creating actual, or apparent, active trading in or of raising the price of the Securities. 
 (o) Not
to take any action prior to the Closing Date, which would require the Prospectus to be amended or supplemented pursuant to Section 4. 

(p) To at all times comply with all applicable provisions of the Sarbanes-Oxley Act in effect from time to time. 

(q) To apply the net proceeds from the sale of the Securities as set forth in the Registration Statement, the General Disclosure Package and
the Prospectus under the heading “Use of Proceeds.” 
 (r) To use its best efforts to assist the Placement Agents with any filings
with, and to obtain clearance from, FINRA. 
 (s) To use its best efforts to list, subject to notice of issuance, effect and maintain the
quotation and listing of the Conversion Shares and the Warrant Shares on the NASDAQ GM. 
 (t) To use its best efforts to do and perform all
things required to be done or performed under this Agreement by the Company prior to the Closing Date, and to satisfy all conditions precedent to the delivery of the Shares. 

5. PAYMENT OF EXPENSES. The Company agrees to pay, or reimburse if paid by the Placement Agents, upon consummation of the
transactions contemplated hereby: (a) the costs incident to the authorization, issuance, sale, preparation and delivery of the Securities to the Placement Agents and any taxes payable in that connection; (b) the costs incident to the
registration of the Securities under the Securities Act; (c) the costs incident to the preparation, printing and distribution of the Registration Statement, the Base Prospectus, any Preliminary Prospectus, any Issuer Free Writing Prospectus,
the General Disclosure Package, the Prospectus, any amendments, supplements and exhibits thereto or any document incorporated by reference therein and the costs of printing, reproducing and distributing any transaction document by mail or other
means of communications; (d) the reasonable fees and expenses (including related fees and expenses of one counsel for the Placement Agents) incurred in connection with securing any required review by FINRA of the terms of the sale of the
Securities and any filings made with FINRA; (e) any applicable listing, quotation or other fees; (f) the reasonable fees and expenses 

  
 19 

 
(including related fees and expenses of counsel to the Placement Agents) of qualifying the Securities under the securities laws of the several jurisdictions as provided in
Section 4(i) and of preparing, printing and distributing wrappers, and “Blue Sky Memoranda,” provided that the total fees and expenses of counsel to the Placement Agents to be paid by the Company under this
Section 5(f) shall not exceed $5,000; (g) the cost of preparing and printing stock certificates, if any; (h) all fees and expenses of the registrar and transfer agent of the Conversion Shares and Warrant Shares; (i) the
fees and expenses of counsel to the Placement Agents, not to exceed $50,000; and (j) all other costs and expenses incident to the Offering or the performance of the obligations of the Company under this Agreement (including, without limitation,
the fees and expenses of the Company’s counsel and the Company’s independent accountants and the travel and other expenses incurred by Company’s personnel in connection with any “road show” including, without limitation, any
expenses advanced by the Placement Agents on the Company’s behalf (which will be promptly reimbursed)). Except as specifically provided in Sections 5, 7 and 9, the Placement Agents shall pay their own expenses. 

6. CONDITIONS TO THE OBLIGATIONS OF THE PLACEMENT AGENTS, AND THE SALE OF THE SECURITIES. The respective obligations of the Placement
Agents hereunder, and the closing of the sale of the Units, are subject to the accuracy, when made and as of the Applicable Time and on the Closing Date, of the representations and warranties of the Company contained herein, to the accuracy of the
statements of the Company made in any certificates pursuant to the provisions hereof, to the performance by the Company of its obligations hereunder, and to each of the following additional terms and conditions: 

(a) No stop order suspending the effectiveness of the Registration Statement or any part thereof, preventing or suspending the use of any Base
Prospectus, any Preliminary Prospectus, the Prospectus or any Permitted Free Writing Prospectus or any part thereof shall have been issued and no proceedings for that purpose or pursuant to Section 8A under the Securities Act shall have been
initiated or threatened by the Commission, and all requests for additional information on the part of the Commission (to be included or incorporated by reference in the Registration Statement or the Prospectus or otherwise) shall have been complied
with to the reasonable satisfaction of the Representative; the Rule 462(b) Registration Statement, if any, each Issuer Free Writing Prospectus, if any, and the Prospectus shall have been filed with the Commission within the applicable time period
prescribed for such filing by, and in compliance with, the Rules and Regulations and in accordance with Section 4(a), and the Rule 462(b) Registration Statement, if any, shall have become effective immediately upon its filing with the
Commission; and FINRA shall have raised no objection to the fairness and reasonableness of the terms of this Agreement or the transactions contemplated hereby. 

(b) The Representative shall not have discovered and disclosed to the Company on or prior to the Closing Date that the Registration Statement
or any amendment or supplement thereto contains an untrue statement of a fact which, in the opinion of counsel for the Placement Agents, is material or omits to state any fact which, in the opinion of such counsel, is material and is required to be
stated therein or is necessary to make the statements therein not misleading, or that the General Disclosure Package, any Issuer Free Writing Prospectus or the Prospectus or any amendment or supplement thereto contains an untrue statement of fact
which, in the opinion of such counsel, is material or omits to state any fact which, in the opinion of such counsel, is material and is necessary in order to make the statements, in the light of the circumstances in which they were made, not
misleading. 
 (c) All corporate proceedings and other legal matters incident to the authorization, form and validity of each of this
Agreement, the Shares, the Warrants, the Warrant Shares, the Registration Statement, the General Disclosure Package, each Issuer Free Writing Prospectus, if any, and the Prospectus and all other legal matters relating to this Agreement and the
transactions contemplated hereby shall be reasonably satisfactory in all material respects to counsel for the Placement Agents, and the Company shall have furnished to such counsel all documents and information that they may reasonably request to
enable them to pass upon such matters. 

  
 20 

 (d) The Conversion Shares and the Warrant Shares shall be qualified for listing on the NASDAQ GM
to the extent that such Conversion Shares and Warrant Shares, in aggregate, amount to 19.9% of the outstanding Common Stock of the Company as of the date of this Agreement (the “Cap Amount”) with the remainder of such Conversion
Shares and Warrant Shares to be qualified for listing on the NASDAQ GM upon stockholder approval thereof. 
 (e) The Company shall have
entered into Securities Purchase Agreement with each of the Purchasers and such agreements shall be in full force and effect. 
 (f) DLA
Piper LLP (US) shall have furnished to the Representative such counsel’s written opinion and negative assurances statement, as counsel to the Company, addressed to the Placement Agents and dated the Closing Date, in form and substance
reasonably satisfactory to the Representative. 
 (g) Kathy Mekjian, Senior Intellectual Property Counsel, shall have furnished to the
Representative, such counsel’s written opinion, with respect to intellectual property matters, addressed to the Placement Agents dated the Closing Date, in form and substance reasonably satisfactory to the Representative. 

(h) The Placement Agents shall have received from Goodwin Procter LLP, counsel for the Placement Agents, such opinion and negative assurances
statement, dated the Closing Date, with respect to such matters as the Representative may reasonably require, and the Company shall have furnished to such counsel such documents as they request for enabling them to pass upon such matters. 

(i) At the time of the execution of this Agreement, the Representative shall have received from KPMG LLP a letter, addressed to the Placement
Agents, executed and dated such date, in form and substance satisfactory to the Representative (A) confirming that they are an independent registered accounting firm with respect to the Company and its subsidiaries within the meaning of the
Securities Act and the Rules and Regulations and PCAOB and (B) stating the conclusions and findings of such firm, of the type ordinarily included in accountants’ “comfort letters” to underwriters, with respect to the financial
statements and certain financial information contained or incorporated by reference in the Registration Statement, the General Disclosure Package and the Prospectus for the years ended 2012 and 2013. 

(j) On the effective date of any post-effective amendment to any Registration Statement and on the Closing Date, the Representative shall have
received a letter (the “Bring-Down Letter”) from KPMG LLP addressed to the Placement Agents and dated the Closing Date confirming, as of the date of the Bring-Down Letter (or, with respect to matters involving changes or
developments since the respective dates as of which specified financial information is given in the General Disclosure Package and the Prospectus, as the case may be, as of a date not more than three (3) business days prior to the date of the
Bring-Down Letter), the conclusions and findings of such firm, of the type ordinarily included in accountants’ “comfort letters” to underwriters, with respect to the financial information and other matters covered by its letter
delivered to the Representative concurrently with the execution of this Agreement pursuant to paragraph (g) of this Section 6. 

(k) The Company shall have furnished to the Representative a certificate, dated the Closing Date, of its Chairman of the Board, Chief
Executive Officer or its President and its Chief Financial Officer or a Vice President of Finance, each in his capacity as an officer of the Company, 

  
 21 

 
stating that (i) since the effective date of the Registration Statement, no event has occurred which should have been set forth in a supplement or amendment to the Registration Statement,
the General Disclosure Package or the Prospectus that has not been so set forth therein, (ii) to the best of their knowledge after reasonable investigation, as of the Closing Date, the representations and warranties of the Company in this
Agreement are true and correct, and the Company has complied with all agreements and satisfied all conditions on its part to be performed or satisfied hereunder at or prior to the Closing Date, and (iii) there has not been, subsequent to the
date of the most recent audited financial statements included or incorporated by reference in the General Disclosure Package, any material adverse change in the financial position or results of operations of the Company and its subsidiaries or any
change or development that, singly or in the aggregate, would involve a material adverse change or a prospective material adverse change, in or affecting the condition (financial or otherwise), results of operations, business, assets or prospects of
the Company and its subsidiaries taken as a whole, except as set forth in the Prospectus. 
 (l) Since the date of the latest audited
financial statements included in the General Disclosure Package or incorporated by reference in the General Disclosure Package as of the date hereof, (i) neither the Company nor any of its subsidiaries shall have sustained any loss or
interference with its business from fire, explosion, flood or other calamity, whether or not covered by insurance, or from any labor dispute or court or governmental action, order or decree, otherwise than as set forth in the General Disclosure
Package, and (ii) there shall not have been any change in the capital stock or short-term or long-term debt of the Company or any of its subsidiaries, or any change, or any development involving a prospective change, in or affecting the
business, general affairs, management, financial position, stockholders’ equity or results of operations of the Company and its subsidiaries otherwise than as set forth in the General Disclosure Package or as a result of the exercise of
securities in connection with any benefit plan or similar plan, the effect of which, in any such case described in clause (i) or (ii) of this paragraph (l), is, in the judgment of the Representative, so material and adverse as
to make it impracticable or inadvisable to proceed with the sale or delivery of the Securities on the terms and in the manner contemplated in the General Disclosure Package. 

(m) No action shall have been taken and no law, statute, rule, regulation or order shall have been enacted, adopted or issued by any
governmental agency or body which would prevent the issuance or sale of the Securities or materially and adversely affect or potentially materially and adversely affect the business or operations of the Company or its subsidiaries and no injunction,
restraining order or order of any other nature by any federal or state court of competent jurisdiction shall have been issued which would prevent the issuance or sale of the Securities or materially and adversely affect or potentially materially and
adversely affect the business or operations of the Company or its subsidiaries. 
 (n) Subsequent to the execution and delivery of this
Agreement there shall not have occurred any of the following: (i) trading in securities generally on the New York Stock Exchange, NASDAQ GM or the NYSE MKT or in the over-the-counter market, or trading in any securities of the Company on any
exchange or in the over-the-counter market, shall have been suspended or materially limited, or minimum or maximum prices or maximum range for prices shall have been established on any such exchange or such market by the Commission, by such exchange
or market or by any other regulatory body or governmental authority having jurisdiction, (ii) a banking moratorium shall have been declared by Federal or state authorities or a material disruption has occurred in commercial banking or
securities settlement or clearance services in the United States, (iii) the United States shall have become engaged in hostilities, or the subject of an act of terrorism, or there shall have been an outbreak of or escalation in hostilities
involving the United States, or there shall have been a declaration of a national emergency or war by the United States or (iv) a material adverse change in general economic, political or financial conditions (or the effect of international
conditions on the financial markets in the United States shall be such) as to make it, in the judgment of the Representative, impracticable or inadvisable to proceed with the sale or delivery of the Units on the terms and in the manner contemplated
in the General Disclosure Package and the Prospectus. 

  
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 (o) The Company shall have filed a Notification: Listing of Additional Shares with the NASDAQ GM
for the Shares, the Conversion Shares and the Warrant Shares and shall have received no objection thereto from the NASDAQ GM. 
 (p) The
Representative shall have received the written agreements, substantially in the form of Exhibit C hereto, of the executive officers and directors of the Company listed in Schedule C to this Agreement. 

(q) To use its reasonable best efforts to list the Conversion Shares and the Warrant Shares on the NASDAQ GM, including obtaining stockholder
approval necessary therefor. 
 (r) The Company shall have filed the Certificate of Designation with the Secretary of State of the State of
Delaware. 
 (s) Prior to the Closing Date, the Company shall have furnished to the Representative such further information, good standing
certificates of the Company, opinions, certificates (including a Secretary’s Certificate), letters or such other documents as the Representative shall have reasonably requested. 

All opinions, letters, evidence and certificates mentioned above or elsewhere in this Agreement shall be deemed to be in compliance with the
provisions hereof only if they are in form and substance reasonably satisfactory to counsel for the Placement Agents. 
 7.
INDEMNIFICATION AND CONTRIBUTION. 
 (a) The Company shall indemnify and hold harmless each Placement Agent, each of its affiliates
and each of its and their respective directors, officers, members, employees, representative and agents and its affiliates, and each of its and their respective directors, officers, members, employees, representative and agents and each person, if
any, who controls the Placement Agents within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act) and each person, if any, who controls such Placement Agent within the meaning of Section 15 of the
Securities Act of or Section 20 of the Exchange Act (collectively, the “Placement Agent Indemnified Parties,” and each a “Placement Agent Indemnified Party”) against any loss, claim, damage, expense or
liability whatsoever (or any action, investigation or proceeding in respect thereof), joint or several, to which such Placement Agent Indemnified Party may become subject, under the Securities Act or otherwise, insofar as such loss, claim, damage,
expense, liability, action, investigation or proceeding arises out of or is based upon (A) any untrue statement or alleged untrue statement of a material fact contained in any Preliminary Prospectus, any Issuer Free Writing Prospectus, any
“issuer information” filed or required to be filed pursuant to Rule 433(d) of the Rules and Regulations, any Registration Statement or the Prospectus, or in any amendment or supplement thereto or document incorporated by reference therein,
or (B) the omission or alleged omission to state in any Preliminary Prospectus, any Issuer Free Writing Prospectus, any “issuer information” filed or required to be filed pursuant to Rule 433(d) of the Rules and Regulations, any
Registration Statement or the Prospectus, or in any amendment or supplement thereto or document incorporated by reference therein, a material fact required to be stated therein or necessary to make the statements therein not misleading, and shall
reimburse the Placement Agent Indemnified Party promptly upon demand for any legal fees or other expenses reasonably incurred by that Placement Agent Indemnified Party in connection with investigating, or preparing to defend, or defending against,
settling, compromising or appearing as a third party witness in respect of, or otherwise incurred in connection 

  
 23 

 
with, any such loss, claim, damage, expense, liability, action, investigation or proceeding, as such fees and expenses are incurred; provided, however, that the Company shall not be liable
in any such case to the extent that any such loss, claim, damage, expense or liability arises out of or is based upon an untrue statement or alleged untrue statement in, or omission or alleged omission from any Preliminary Prospectus, any
Registration Statement or the Prospectus, or any such amendment or supplement thereto, or any Issuer Free Writing Prospectus made in reliance upon and in conformity with written information furnished to the Company by the Representative by or on
behalf of the Placement Agents specifically for use therein, which information the parties hereto agree is limited to the Placement Agents’ Information (as defined in Section 16). This indemnity agreement is not exclusive and will
be in addition to any liability which the Company might otherwise have and shall not limit any rights or remedies which may otherwise be available at law or in equity to each Placement Agent Indemnified Party. 

(b) Each Placement Agent, severally and not jointly, shall indemnify and hold harmless the Company and its directors, its officers who signed
the Registration Statement and each person, if any, who controls the Company within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act (collectively, the “Company Indemnified Parties,” and
each a “Company Indemnified Party”) against any loss, claim, damage, expense or liability whatsoever (or any action, investigation or proceeding in respect thereof), joint or several, to which such Company Indemnified Party may
become subject, under the Securities Act or otherwise, insofar as such loss, claim, damage, expense, liability, action, investigation or proceeding arises out of or is based upon (i) any untrue statement or alleged untrue statement of a
material fact contained in any Preliminary Prospectus, any Issuer Free Writing Prospectus, any “issuer information” filed or required to be filed pursuant to Rule 433(d) of the Rules and Regulations, any Registration Statement or the
Prospectus, or in any amendment or supplement thereto, or (ii) the omission or alleged omission to state in any Preliminary Prospectus, any Issuer Free Writing Prospectus, any “issuer information” filed or required to be filed
pursuant to Rule 433(d) of the Rules and Regulations, any Registration Statement or the Prospectus, or in any amendment or supplement thereto, a material fact required to be stated therein or necessary to make the statements therein not misleading,
but in each case only to the extent that the untrue statement or alleged untrue statement or omission or alleged omission was made in reliance upon and in conformity with written information furnished to the Company by the Representative by or on
behalf of any Placement Agent specifically for use therein, which information the parties hereto agree is limited to the Placement Agents’ Information as defined in Section 16, and shall reimburse the Company Indemnified Party for
any legal or other expenses reasonably incurred by such party in connection with investigating or preparing to defend or defending against or appearing as third party witness in connection with any such loss, claim, damage, liability, action,
investigation or proceeding, as such fees and expenses are incurred. This indemnity agreement is not exclusive and will be in addition to any liability which such Placement Agent might otherwise have and shall not limit any rights or remedies which
may otherwise be available at law or in equity to each Company Indemnified Party. Notwithstanding the provisions of this Section 7(b), in no event shall any indemnity by any Placement Agent under this Section 7(b) exceed the
total discount and commission received by such Placement Agent in connection with the Offering. 
 (c) Promptly after receipt by an
indemnified party under this Section 7 of notice of the commencement of any action, the indemnified party shall, if a claim in respect thereof is to be made against an indemnifying party under this Section 7, notify such
indemnifying party in writing of the commencement of that action; provided, however, that the failure to notify the indemnifying party shall not relieve it from any liability which it may have under this Section 7 except to the
extent it has been materially prejudiced by such failure; and, provided, further, that the failure to notify an indemnifying party shall not relieve it from any liability which it may have to an indemnified party otherwise than under this
Section 7. If any such action shall be brought against an indemnified party, and it shall notify the indemnifying party thereof, the indemnifying party shall be entitled to participate therein and, to the extent that it wishes, jointly
with any other similarly notified indemnifying party, to assume the defense 

  
 24 

 
of such action with counsel reasonably satisfactory to the indemnified party (which counsel shall not, except with the written consent of the indemnified party, be counsel to the indemnifying
party). After notice from the indemnifying party to the indemnified party of its election to assume the defense of such action, except as provided herein, the indemnifying party shall not be liable to the indemnified party under
Section 7 for any legal or other expenses subsequently incurred by the indemnified party in connection with the defense of such action other than reasonable costs of investigation; provided, however, that any indemnified party
shall have the right to employ separate counsel in any such action and to participate in the defense of such action but the fees and expenses of such counsel (other than reasonable costs of investigation) shall be at the expense of such indemnified
party unless (i) the employment thereof has been specifically authorized in writing by the Company in the case of a claim for indemnification under Section 7(a) or the Placement Agents in the case of a claim for indemnification
under Section 7(b), (ii) such indemnified party shall have been advised by its counsel that there may be one or more legal defenses available to it which are different from or additional to those available to the indemnifying party,
or (iii) the indemnifying party has failed to assume the defense of such action and employ counsel reasonably satisfactory to the indemnified party within a reasonable period of time after notice of the commencement of the action or the
indemnifying party does not diligently defend the action after assumption of the defense, in which case, if such indemnified party notifies the indemnifying party in writing that it elects to employ separate counsel at the expense of the
indemnifying party, the indemnifying party shall not have the right to assume the defense of (or, in the case of a failure to diligently defend the action after assumption of the defense, to continue to defend) such action on behalf of such
indemnified party and the indemnifying party shall be responsible for legal or other expenses subsequently incurred by such indemnified party in connection with the defense of such action; provided, however, that the indemnifying party shall
not, in connection with any one such action or separate but substantially similar or related actions in the same jurisdiction arising out of the same general allegations or circumstances, be liable for the reasonable fees and expenses of more than
one separate firm of attorneys at any time for all such indemnified parties (in addition to any local counsel), which firm shall be designated in writing by Roth if the indemnified parties under this Section 7 consist of any Placement
Agent Indemnified Party or by the Company if the indemnified parties under this Section 7 consist of any Company Indemnified Parties. Subject to this Section 7 (c), the amount payable by an indemnifying party under
Section 7 shall include, but not be limited to, (x) reasonable legal fees and expenses of counsel to the indemnified party and any other expenses in investigating, or preparing to defend or defending against, or appearing as a third
party witness in respect of, or otherwise incurred in connection with, any action, investigation, proceeding or claim, and (y) all amounts paid in settlement of any of the foregoing. No indemnifying party shall, without the prior written
consent of the indemnified parties, settle or compromise or consent to the entry of judgment with respect to any pending or threatened action or any claim whatsoever, in respect of which indemnification or contribution could be sought under this
Section 7 (whether or not the indemnified parties are actual or potential parties thereto), unless such settlement, compromise or consent (I) includes an unconditional release of each indemnified party in form and substance
reasonably satisfactory to such indemnified party from all liability arising out of such action or claim and (II) does not include a statement as to or an admission of fault, culpability or a failure to act by or on behalf of any indemnified
party. Subject to the provisions of the following sentence, no indemnifying party shall be liable for settlement of any pending or threatened action or any claim whatsoever that is effected without its written consent (which consent shall not be
unreasonably withheld or delayed), but if settled with its written consent, if its consent has been unreasonably withheld or delayed or if there be a judgment for the plaintiff in any such matter, the indemnifying party agrees to indemnify and hold
harmless any indemnified party from and against any loss or liability by reason of such settlement or judgment. In addition, if at any time an indemnified party shall have requested that an indemnifying party reimburse the indemnified party for fees
and expenses of counsel, such indemnifying party agrees that it shall be liable for any settlement of the nature contemplated herein effected without its written consent if (A) such settlement is entered into more than forty-five (45) days
after receipt by such indemnifying party of the request for reimbursement, (B) such indemnifying party shall have received 

  
 25 

 
notice of the terms of such settlement at least thirty (30) days prior to such settlement being entered into and (C) such indemnifying party shall not have reimbursed such indemnified
party in accordance with such request prior to the date of such settlement. 
 (d) If the indemnification provided for in this
Section 7 is unavailable or insufficient to hold harmless an indemnified party under Section 7(a) or Section 7(b), then each indemnifying party shall, in lieu of indemnifying such indemnified party, contribute to
the amount paid, payable or otherwise incurred by such indemnified party as a result of such loss, claim, damage, expense or liability (or any action, investigation or proceeding in respect thereof), as incurred, (i) in such proportion as shall
be appropriate to reflect the relative benefits received by the Company on the one hand and each of the Placement Agents on the other hand from the Offering, or (ii) if the allocation provided by clause (i) of this Section 7(d)
is not permitted by applicable law, in such proportion as is appropriate to reflect not only the relative benefits referred to in clause (i) of this Section 7(d) but also the relative fault of the Company on the one hand and the
Placement Agents on the other with respect to the statements, omissions, acts or failures to act which resulted in such loss, claim, damage, expense or liability (or any action, investigation or proceeding in respect thereof) as well as any other
relevant equitable considerations. The relative benefits received by the Company on the one hand and the Placement Agents on the other with respect to the Offering shall be deemed to be in the same proportion as the total net proceeds from the
Offering under this Agreement (before deducting expenses) received by the Company bear to the total placement agent commission received by the Placement Agents in connection with the Offering, in each case as set forth in the table on the cover page
of the Prospectus. The relative fault of the Company on the one hand and the Placement Agents on the other shall be determined by reference to, among other things, whether the untrue or alleged untrue statement of a material fact or the omission or
alleged omission to state a material fact relates to information supplied by the Company on the one hand or the Placement Agents on the other, the intent of the parties and their relative knowledge, access to information and opportunity to correct
or prevent such untrue statement, omission, act or failure to act; provided that the parties hereto agree that the written information furnished to the Company by the Representative by or on behalf of any Placement Agent for use in any
Preliminary Prospectus, any Registration Statement or the Prospectus, or in any amendment or supplement thereto, consists solely of the Placement Agents’ Information as defined in Section 16. The Company and the Placement Agents
agree that it would not be just and equitable if contributions pursuant to this Section 7(d) were to be determined by pro rata allocation or by any other method of allocation that does not take into account the equitable considerations
referred to herein. The amount paid or payable by an indemnified party as a result of the loss, claim, damage, expense, liability, action, investigation or proceeding referred to above in this Section 7(d) shall be deemed to include, for
purposes of this Section 7(d), any legal or other expenses reasonably incurred by such indemnified party in connection with investigating, preparing to defend or defending against or appearing as a third party witness in respect of, or
otherwise incurred in connection with, any such loss, claim, damage, expense, liability, action, investigation or proceeding. Notwithstanding the provisions of this Section 7(d), no Placement Agent shall be required to contribute any
amount in excess of the total discount and commission received by such Placement Agent in connection with the Offering, less the amount of any damages which such Placement Agent has otherwise paid or become liable to pay by reason of any untrue or
alleged untrue statement, omission or alleged omission, act or alleged act or failure to act or alleged failure to act. No person guilty of fraudulent misrepresentation (within the meaning of Section 11(f) of the Securities Act) shall be
entitled to contribution from any person who was not guilty of such fraudulent misrepresentation. 
 8. TERMINATION. The obligations
of the Placement Agents hereunder may be terminated by the Representative, in its absolute discretion by notice given to the Company prior to delivery of and payment for the Securities if, prior to that time, any of the events described in
Sections 6(l), 6(m), or 6(n) have occurred or the Purchasers shall decline to purchase the Units for any reason permitted under this Agreement or the Securities Purchase Agreement. 

  
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 9. REIMBURSEMENT OF PLACEMENT AGENTS’ EXPENSES. Notwithstanding anything to the
contrary in this Agreement, if (a) this Agreement shall have been terminated pursuant to Section 8, (b) the Company shall fail to tender the Units for delivery to the Purchasers for any reason not permitted under this
Agreement, (c) the Purchasers shall decline to purchase the Units for any reason permitted under this Agreement or (d) the sale of the Units is not consummated because any condition to the obligations of the Placement Agents set forth
herein is not satisfied or because of the refusal, inability or failure on the part of the Company to perform any agreement herein or to satisfy any condition or to comply with the provisions hereof, then, in addition to the payment of out-of-pocket
expenses in accordance with Section 5, the Company shall reimburse the Placement Agents for the fees and expenses of the Placement Agents’ counsel and for such other accountable out-of-pocket expenses as shall have been reasonably
incurred by them in connection with this Agreement and the proposed purchase of the Shares, and upon demand the Company shall pay the full amount thereof to the Representative on behalf of the Placement Agents. 

10. ABSENCE OF FIDUCIARY RELATIONSHIP. The Company acknowledges and agrees that: 

(a) Each Placement Agent’s responsibility to the Company is solely contractual in nature, each Placement Agent has been retained solely
to act as an Placement Agent in connection with the Offering and no fiduciary, advisory or agency relationship between the Company and such Placement Agent has been created in respect of any of the transactions contemplated by this Agreement,
irrespective of whether Roth or Maxim has advised or is advising the Company on other matters; 
 (b) the price of the units set forth in
this Agreement was established by the Company following discussions and arms-length negotiations with the Representative, and the Company is capable of evaluating and understanding, and understands and accepts, the terms, risks and conditions of the
transactions contemplated by this Agreement; 
 (c) it has been advised that Roth and Maxim, and each of their affiliates, are engaged in a
broad range of transactions which may involve interests that differ from those of the Company and that the Placement Agents have no obligation to disclose such interests and transactions to the Company by virtue of any fiduciary, advisory or agency
relationship; and 
 (d) it waives, to the fullest extent permitted by law, any claims it may have against the Placement Agents for breach
of fiduciary duty or alleged breach of fiduciary duty and agrees that the Placement Agents shall have no liability (whether direct or indirect) to the Company in respect of such a fiduciary duty claim or to any person asserting a fiduciary duty
claim on behalf of or in right of the Company, including stockholders, employees or creditors of the Company. 
 11. SUCCESSORS; PERSONS
ENTITLED TO BENEFIT OF AGREEMENT. This Agreement shall inure to the benefit of and be binding upon the several Placement Agents, the Company, and their respective successors and assigns. Notwithstanding the foregoing, the determination as to
whether any condition in Section 6 hereof shall have been satisfied, and the waiver of any condition in Section 6 hereof, may be made by the Representative in its sole discretion, and any such determination or waiver shall be
binding on each of the Placement Agents and shall not require the consent of any Placement Agent. Nothing expressed or mentioned in this Agreement is intended or shall be construed to give any person, other than the persons mentioned in the
preceding sentences, any legal or equitable right, remedy or claim under or in respect of this Agreement, or any provisions herein contained, this Agreement and all conditions and provisions hereof being intended to be and being for the sole and
exclusive benefit of such persons and for the benefit of no other person; except that the representations, warranties, covenants, agreements and indemnities of the Company contained in this Agreement shall

  
 27 

 
also be for the benefit of the Placement Agent Indemnified Parties and the several indemnities of the Placement Agents shall be for the benefit of the Company Indemnified Parties. It is
understood that each Placement Agent’s responsibility to the Company is solely contractual in nature and the Placement Agents do not owe the Company, or any other party, any fiduciary duty as a result of this Agreement. 

12. SURVIVAL OF INDEMNITIES, REPRESENTATIONS, WARRANTIES, ETC. The respective indemnities, covenants, agreements, representations,
warranties and other statements of the Company and the several Placement Agents, as set forth in this Agreement or made by them respectively, pursuant to this Agreement, shall remain in full force and effect, regardless of any investigation made by
or on behalf of any Placement Agent, the Company or any person controlling any of them and shall survive delivery of and payment for the Securities. Notwithstanding any termination of this Agreement, including without limitation any termination
pursuant to Section 8, the indemnity and contribution and reimbursement agreements contained in Sections 7 and 9 and the covenants, representations, warranties set forth in this Agreement shall not terminate and shall
remain in full force and effect at all times. 
 13. NOTICES. All statements, requests, notices and agreements hereunder shall be in
writing, and: 
 (a) if to the Representative, shall be delivered or sent by mail, facsimile transmission or email to Roth Capital Partners,
LLC, 888 San Clemente Drive, Newport Beach, California 92660, Attention: Legal Department, Fax: (949) 720-7247; and 
 (b) if to the
Company, shall be delivered or sent by mail, facsimile transmission or email to: Cytori Therapeutics, Inc., Attention: Tiago Girao, CFO, Fax: (858) 450-4335; with a copy to DLA Piper LLP, Attention: Jeff Baglio, Esq., Fax:
(858) 638-5058; 
 provided, however, that any notice to the Placement Agents pursuant to Section 7 shall be delivered or sent by
mail or facsimile transmission to the Representative c/o Roth Capital Partners, LLC at the address set forth above in this Section 13. Any such statements, requests, notices or agreements shall take effect at the time of receipt thereof,
except that any such statement, request, notice or agreement delivered or sent by email shall take effect at the time of confirmation of receipt thereof by the recipient thereof. 

14. DEFINITION OF CERTAIN TERMS. For purposes of this Agreement, (a) “business day” means any day on which the
New York Stock Exchange, Inc. is open for trading, (b) “knowledge” means the knowledge of the directors and officers of the Company after reasonable inquiry and (c) “subsidiary” has the meaning set forth
in Rule 405 of the Rules and Regulations. 
 15. GOVERNING LAW, AGENT FOR SERVICE AND JURISDICTION. This Agreement shall be governed
by and construed in accordance with the laws of the State of New York, including without limitation Section 5-1401 of the New York General Obligations Law. No legal proceeding may be commenced, prosecuted or continued in any court other than
the courts of the State of New York located in the City and County of New York or in the United States District Court for the Southern District of New York, which courts shall have jurisdiction over the adjudication of such matters, and the Company
and the Placement Agents each hereby consent to the jurisdiction of such courts and personal service with respect thereto. The Company and the Placement Agents each hereby waive all right to trial by jury in any legal proceeding (whether based upon
contract, tort or otherwise) in any way arising out of or relating to this Agreement. The Company agrees that a final judgment in any such legal proceeding brought in any such court shall be conclusive and binding upon the Company and the Placement
Agents and may be enforced in any other courts in the jurisdiction of which the Company is or may be subject, by suit upon such judgment. 

  
 28 

 16. PLACEMENT AGENTS’ INFORMATION. The parties hereto acknowledge and agree that, for
all purposes of this Agreement, the “Placement Agents’ Information” consists solely of the following information in the Prospectus: (i) the Placement Agents’ names and titles as set forth on the front cover page; and
(ii) the statements concerning the Placement Agents contained in the first paragraph concerning the terms of the Offering and in the twelfth and thirteenth paragraphs concerning stabilization by the Placement Agents, in each case under the
heading “Plan of Distribution.” 
 17. PARTIAL UNENFORCEABILITY. The invalidity or unenforceability of any section,
paragraph, clause or provision of this Agreement shall not affect the validity or enforceability of any other section, paragraph, clause or provision hereof. If any section, paragraph, clause or provision of this Agreement is for any reason
determined to be invalid or unenforceable, there shall be deemed to be made such minor changes (and only such minor changes) as are necessary to make it valid and enforceable. 

18. GENERAL. This Agreement constitutes the entire agreement of the parties to this Agreement and supersedes all prior written or oral
and all contemporaneous oral agreements, understandings and negotiations with respect to the subject matter hereof. In this Agreement, the masculine, feminine and neuter genders and the singular and the plural include one another. The section
headings in this Agreement are for the convenience of the parties only and will not affect the construction or interpretation of this Agreement. This Agreement may be amended or modified, and the observance of any term of this Agreement may be
waived, only by a writing signed by the Company and the Representative. 
 19. RESEARCH ANALYST INDEPENDENCE. The Company
acknowledges that each Placement Agent’s research analysts and research departments are required to be independent from its investment banking division and are subject to certain regulations and internal policies, and that such Placement
Agent’s research analysts may hold views and make statements or investment recommendations and/or publish research reports with respect to the Company and/or the Offering that differ from the views of their investment banking division. The
Company hereby waives and releases, to the fullest extent permitted by law, any claims that the Company may have against either Placement Agent with respect to any conflict of interest that may arise from the fact that the views expressed by its
independent research analysts and research departments may be different from or inconsistent with the views or advice communicated to the Company by such Placement Agent’s investment banking division. The Company acknowledges that each
Placement Agent is a full service securities firm and as such from time to time, subject to applicable securities laws, rules and regulations, may effect transactions for its own account or the account of its customers and hold long or short
positions in debt or equity securities of the Company; provided, however, that nothing in this Section 19 shall relieve either Placement Agent of any responsibility or liability it may otherwise bear in connection with activities in
violation of applicable securities laws, rules or regulations. 
 20. EFFECTIVENESS. This Agreement shall become effective upon the
execution and delivery hereof by the parties hereto. 
 21. COUNTERPARTS. This Agreement may be signed in any number of counterparts,
each of which shall be an original, with the same effect as if the signatures thereto and hereto were upon the same instrument and such signatures may be delivered by facsimile. 

  
 29 

 If the foregoing is in accordance with your understanding of the agreement between the Company
and the Placement Agents, kindly indicate your acceptance in the space provided for that purpose below. 
  

					
	Very truly yours,
	
	CYTORI THERAPEUTICS, INC.
		
	By:	 	 /s/ Marc H. Hedrick

		 	Name:	 	Marc H. Hedrick
			
		 	Title:	 	President and Chief Executive Officer

  

					
	 Confirmed as of the date first

above mentioned, on behalf of
 themselves and the Placement
Agents
 named in Schedule D hereto:

	
	ROTH CAPITAL PARTNERS, LLC
		
	By:	 	 /s/ Michael Margolis, R. Ph.

		 	Name:	 	Michael Margolis, R. Ph.
			
		 	Title:	 	Managing Director

  
 30 

 SCHEDULE A 

General Use Free Writing Prospectuses 

None. 

 SCHEDULE B 

Pricing Information 
 Number of Shares of
Preferred Stock to be Issued: 13,500 
 Number of Shares of Common Stock Issuable Upon Exercise of All Warrants: 25,961,541 

Number of Shares of Common Stock Issuable Upon Exercise of each Warrant: 1,923.0771 

Offering Price: $1,000.00 per unit 
 Conversion Price: $0.52 per
share 
 Warrant Exercise Price: $0.5771 per share 

 SCHEDULE C 

List of Directors, Officers subject to Section 4 

Directors 
  

					
		 	Lloyd H. Dean	  	Director
		 	Christopher J. Calhoun	  	Director
		 	Richard J. Hawkins	  	Director
		 	Paul W. Hawran	  	Director
		 	Marc H. Hedrick, MD	  	President & CEO and Director
		 	E. Carmack Holmes, MD	  	Director
		 	David M. Rickey	  	Chairman of the Board of Directors
		 	 Tommy G. Thompson
 Gary A. Lyons
	  	 Director
 Director

 Executive Officers 
  

					
		 	Marc H. Hedrick, MD	  	President & CEO
		 	Tiago Girao	  	Chief Financial Officer
		 	 Seijiro N. Shirahama
 Steven Kesten,
M.D.
	  	 President, Asia Pacific
 Chief Medical
Officer

 SCHEDULE D 

 

					
	 PLACEMENT AGENT
	  	NUMBER OF UNITS PLACED	 
		
	 ROTH CAPITAL PARTNERS, LLC
	  	 	11,475	  
	 MAXIM GROUP, LLC
	  	 	2,025	  
		  	  
	  
	 
	 TOTAL:
	  	 	13,500	  
		  	  
	  
	 

 EXHIBIT A 

Form of Securities Purchase Agreement 

 EXHIBIT B 

Form of Warrant 

 EXHIBIT C 

Form of Lock Up Agreement 

October [—], 2014 

Roth Capital Partners, LLC 
 As Representative of the several
Placement Agents 
 c/o Roth Capital Partners, LLC 

888 San Clemente Drive 
 Newport Beach, CA 92660 

Re:    Cytori Therapeutics, Inc. Offering of Common Stock 

Dear Sirs: 
 In order to induce Roth Capital
Partners, LLC (“Roth”) and the other Placement Agents set forth in that certain placement agency agreement with Cytori Therapeutics, Inc., a Delaware corporation (the “Company”), with respect to the public offering
(the “Offering”) of shares of the Company’s Common Stock, par value $0.001 per share (“Common Stock”) and warrants to purchase shares of Common Stock, the undersigned hereby agrees that for a period of ninety
(90) days following the date of the final prospectus supplement filed by the Company with the Securities and Exchange Commission in connection with the Offering (the “Lock-up Period”), the undersigned will not, without the
prior written consent of Roth, directly or indirectly, (i) offer, sell, assign, transfer, pledge, contract to sell, or otherwise dispose of, or announce the intention to otherwise dispose of, any shares of Common Stock or any securities
convertible into or exercisable or exchangeable for Common Stock (including, without limitation, shares of Common Stock or any such securities which may be deemed to be beneficially owned by the undersigned in accordance with the rules and
regulations promulgated under the Securities Act of 1933, as the same may be amended or supplemented from time to time (such shares or securities, the “Beneficially Owned Shares”)), (ii) enter into any swap, hedge or other
agreement or arrangement that transfers in whole or in part, the economic risk of ownership of any Beneficially Owned Shares, Common Stock or securities convertible into or exercisable or exchangeable for Common Stock, or (iii) engage in any
short selling of any Beneficially Owned Shares, Common Stock or securities convertible into or exercisable or exchangeable for Common Stock, in each case other than (a) transfers of Beneficially Owned Shares, Common Stock or securities
convertible into or exercisable or exchangeable for Common Stock (i) as a bona fide gift or gifts, (ii) to any trust for the direct or indirect benefit of the undersigned or the immediate family of the undersigned or (iii) by will or
intestacy to the undersigned’s legal representative, heir or legatee; and (b) pursuant to any contract, instruction or plan complying with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, that has been entered into by the
undersigned prior to the date of this agreement; provided that in the case of any transfer or distribution pursuant to clause (a), each donee or distributee or transferee shall execute and deliver to Roth a lock-up letter for the balance of the
Lock-up Period in the form of this paragraph. 
 No provision in this agreement shall be deemed to restrict or prohibit the exercise or
exchange by the undersigned of any option or warrant to acquire shares of Common Stock, or any other security exchangeable or exercisable for, or convertible into, Common Stock, provided that the undersigned does not transfer the Common Stock
acquired on such exercise or exchange during the lock up period, unless otherwise permitted pursuant to the terms of this agreement. 

 If (i) the Company issues an earnings release or material news or a material event relating
to the Company occurs during the last seventeen (17) days of the Lock-up Period, or (ii) prior to the expiration of the Lock-up Period, the Company announces that it will release earnings results during the sixteen (16)-day period
beginning on the last day of the Lock-up Period, the restrictions imposed by this Agreement shall continue to apply until the expiration of the eighteen (18)-day period beginning on the issuance of the earnings release or the occurrence of the
material news or material event, unless Roth waives such extension 
 Anything contained herein to the contrary notwithstanding, any person
to whom shares of Common Stock, securities convertible into or exercisable or exchangeable for Common Stock or Beneficially Owned Shares are transferred from the undersigned shall be bound by the terms of this Agreement. 

In addition, the undersigned hereby waives, from the date hereof until the expiration of the Lock-up Period, any and all rights, if any, to
request or demand registration pursuant to the Securities Act of 1933, as amended, of any shares of Common Stock or securities convertible into or exercisable or exchangeable for Common Stock that are registered in the name of the undersigned or
that are Beneficially Owned Shares. In order to enable the aforesaid covenants to be enforced, the undersigned hereby authorizes the Company, and any duly appointed transfer agent for the registration or transfer of the shares of Common Stock,
securities convertible into or exercisable or exchangeable for Common Stock or Beneficially Owned Shares, to decline to make any transfer of securities if such transfer would constitute a violation or breach of this letter agreement. 

The undersigned understands that, if (i) the Placement Agency Agreement does not become effective, (ii) the Placement Agency
Agreement (other than the provisions thereof which survive termination) shall terminate or be terminated prior to payment for and delivery of the Common Stock to be sold thereunder, (iii) the Company notifies Roth in writing that it will not be
proceeding with the Offering prior to the execution of the Placement Agency Agreement, or (iv) a closing of the Offering has not yet occurred as of October 31, 2014, the undersigned shall be released from all obligations under this letter
agreement. 
  

			
	[Signatory]
		
	By:	 	
		
	Name:	 	
		
	Title:EX-10.1

 Exhibit 10.1 

EXECUTION COPY 
 FIFTH
AMENDMENT TO OFFICE LEASE 
 THIS FIFTH AMENDMENT TO OFFICE LEASE (“Fifth Amendment”) is executed this 14th day of July, 2014, to be effective as of the “Fifth Amendment Effective Date” (hereinafter defined), by and between Hines VAV III Energy Way LLC, a Delaware limited liability
company (“Landlord”) and Pier 1 Services Company, a Delaware statutory trust (“Tenant”). 
 WITNESSETH:

 WHEREAS, Chesapeake Plaza, L.L.C., an Oklahoma limited liability company (“Original Landlord”) and Tenant entered into
that certain Office Lease dated effective June 9, 2008 (the “Original Lease”) for certain space (the “Premises”) in the office building currently known as Chesapeake Plaza located at 100 Energy Way, Fort Worth,
Tarrant County, Texas (the “Building”); and 
 WHEREAS, the Original Lease has been amended by (i) that certain First
Amendment to Office Lease dated June 20, 2008 (the “First Amendment”); that certain Second Amendment to Office Lease dated July 1, 2011 (the “Second Amendment”); (iii) that certain Third Amendment to
Office Lease dated January 28, 2013 (the “Third Amendment”) and (iv) that certain Fourth Amendment to Office Lease dated May 1, 2013 (the “Fourth Amendment”; the Original Lease, as so amended, the
“Lease”); 
 WHEREAS, the Premises currently contains 313,391 Rentable Square Feet, located in the Lobby, on the mezzanine
and on the 5th, 6th, 7th, 8th, 9th, 10th, 11th, 12th, 14th, 15th and 16th floors of the Building; 
 WHEREAS, effective as of the Fifth
Amendment Effective Date, Landlord has succeeded to all of Original Landlord’s right, title and interest in and to the Building and as landlord under the Lease; and 

WHEREAS, the parties hereto have now agreed to further modify the Lease in certain respects on the terms and conditions as set forth herein.

 NOW, THEREFORE, in consideration of the foregoing recitals and the mutual covenants herein set forth, and for such other good and
valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereby agree to amend the Lease as follows: 
 1.
Defined Terms. All initially capitalized terms used but not defined herein will have the same meanings as ascribed to them in the Lease. 
 2.
Extension of Term. The Term of the Lease is hereby extended through and including 11:59 p.m. on June 30, 2027, for all purposes under the Lease. Accordingly, as of the Fifth Amendment Effective Date, all references to the length of the
Term and/or the Expiration Date shall be modified accordingly. The parties hereby acknowledge that the foregoing extension of the Term constitutes the exercise of the Option to Extend set forth in Section 5 of the Third Amendment and
Section 9 of the Fourth Amendment. 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	1	 	

	3.	Expansion of Premises. 

  

	 	3.1	Subject to Section 3.2, effective as of the dates set forth below, the Premises will be expanded, as follows: 

  

	 	3.1.1	Effective as of the Fifth Amendment Effective Date, the Premises is hereby expanded to include (i) the entire 17th floor of the Building, which is comprised of a total of 26,507 Rentable Square Feet, (ii) the
entire 18th floor of the Building, which is comprised of a total of 22,930 Rentable Square Feet and (iii) the security control room on the Lobby, which is comprised of a total of 1,380 Rentable Square Feet and is depicted on Exhibit A
attached hereto (the “Floor 17-18 and Lobby Expansion Space”). Accordingly, as of the Fifth Amendment Effective Date, all references in the Lease to the Rentable Square Footage of the Premises shall for all purposes under the Lease
be deemed to be 363,209 Rentable Square Feet, and Tenant’s Pro Rata Share shall be adjusted accordingly in accordance with the formula set forth in Section 1.E. of the Original Lease. In addition, as of the Fifth Amendment Effective Date,
Exhibit A-1 attached to the Lease is hereby deleted in its entirety and replaced with Exhibit A-1 attached hereto. 

  

	 	3.1.2	Effective as of March 1, 2015 (the “Floor 19 Expansion Date”), the Premises is hereby expanded to include the entire 19th floor of the Building, which is comprised of a total of 22,414 Rentable
Square Feet (the “Floor 19 Expansion Space”). Accordingly, as of the Floor 19 Expansion Date, all references in the Lease to the Rentable Square Footage of the Premises shall for all purposes under the Lease be deemed to be 385,623
Rentable Square Feet, and Tenant’s Pro Rata Share shall be adjusted accordingly in accordance with the formula set forth in Section 1.E. of the Original Lease. 

 

	 	3.1.3	Effective as of March 1, 2017 (the “Floor 20 Expansion Date”), the Premises is hereby expanded to include the entire 20th floor of the Building, which is comprised of a total of 22,414 Rentable
Square Feet (the “Floor 20 Expansion Space”; and together with the Floor 17-18 and Lobby Expansion Space and the Floor 19 Expansion Space, the “Fifth Amendment Expansion Space”). Accordingly, as of the Floor 20
Expansion Date, all references in the Lease to the Rentable Square Footage of the Premises shall for all purposes under the Lease be deemed to be 408,037 Rentable Square Feet, and Tenant’s Pro Rata Share shall be adjusted accordingly in
accordance with the formula set forth in Section 1.E. of the Original Lease. 

  

	 	3.2	 Tenant acknowledges that, prior to the Fifth Amendment Effective Date, the Fifth Amendment Expansion Space has been leased to another tenant and that
such tenant is obligated to surrender such space to Landlord prior to the applicable delivery dates set forth above. Tenant agrees that Landlord shall not be liable for failure to give possession of any Fifth Amendment Expansion Space on the
applicable delivery date set forth above by reason of any holding over or retention of possession by such tenant or its subtenants, nor shall such failure impair the validity of the Lease or if

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	2	 	

	 	
this Fifth Amendment. However, Landlord agrees to use reasonable diligence to deliver possession of the Fifth Amendment Expansion Space in accordance with Section 3.1 above. In addition, in
no event shall Landlord, without Tenant’s prior written approval, consent to any holding over by such tenant in any of the Fifth Amendment Expansion Space beyond the applicable delivery date set forth above. In the event Landlord fails to
deliver any Fifth Amendment Expansion Space to Tenant on the applicable date set forth above, then the term of the Lease (and, for the avoidance of doubt, Tenant’s obligation to pay Rent) as to such Fifth Amendment Expansion Space shall
commence on the date that Landlord actually delivers such space to Tenant (and the monthly Base Rent amounts set forth in Section 5 below shall be deemed adjusted accordingly). 

 

	 	3.3	The term of the Lease as to the Floor 17-18 and Lobby Expansion Space, the Floor 19 Expansion Space, and the Floor 20 Expansion Space shall commence on the applicable date set forth above and shall be coterminous with
the Term of the Lease (as extended herein) as to the remainder of the Premises. Except as expressly provided herein to the contrary, the Fifth Amendment Expansion Space shall be leased by Tenant upon and subject to all of the terms and provisions of
the Lease, as amended hereby, including the obligation to pay Rent in accordance with Section 4 of the Lease. 

  

	 	3.4	 The Fifth Amendment Expansion Space shall be delivered to Tenant on the applicable date set forth above in broom-clean condition, with the Building
systems and the restrooms located in such Fifth Amendment Expansion Space in good repair and working order, and with the restrooms in a condition as of the applicable date of delivery in compliance with the requirements of the ADA in effect as of
such delivery date, and otherwise in its then-existing “AS-IS”, “WHERE-IS” condition and configuration, subject to the remaining provisions of this paragraph. Landlord shall make any repairs in accordance with Section 9.B.
of the Lease to the Building systems or restrooms located within such Fifth Amendment Expansion Space as may be required to obtain a Certificate of Occupancy from the City; provided, however, Landlord shall not be obligated to make any repairs that
are required as a result of any changes, alterations or improvements to such Fifth Amendment Expansion Space to be constructed by Tenant after the Fifth Amendment Effective Date. By occupying the Floor 17-18 and Lobby Expansion Space on the Fifth
Amendment Effective Date, the Floor 19 Expansion Space on the Floor 19 Expansion Date and the Floor 20 Expansion Space on the Floor 20 Expansion Date, Tenant shall be deemed to have accepted such Fifth Amendment Expansion Space in its existing
“AS-IS”, “WHERE-IS” condition and configuration and TENANT HEREBY AGREES THAT AS OF THE APPLICABLE DELIVERY DATE SET FORTH ABOVE, SUCH FIFTH AMENDMENT EXPANSION SPACE IS OR WILL BE IN GOOD ORDER AND SATISFACTORY CONDITION AND
THAT THERE ARE NO REPRESENTATIONS OR WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, BY LANDLORD REGARDING SUCH FIFTH AMENDMENT EXPANSION SPACE. Without limiting the foregoing, Landlord shall have no obligation to provide any improvements, additions or
alterations within the Fifth Amendment Expansion Space, nor provide any credits or allowances therefor (but, 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	3	 	

	 	
for the avoidance of doubt, the provisions of this paragraph shall not limit Landlord’s obligations under Section 12 below). Landlord expressly disclaims any and all warranties of any
nature, express or implied, in fact or by law with respect to the Fifth Amendment Expansion Space, including without limitation, the implied warranties of habitability, suitability, merchantability and fitness for any particular purpose.

 4. Surrender of Certain Lobby Space. Effective as of the Fifth Amendment Effective Date, the Premises shall be reduced by, and the
Lease shall be terminated as to, a portion of the space leased by Tenant in the Lobby comprising 999 Rentable Square Feet as shown on Exhibit B attached hereto (the “Lobby Reduction Space”). From and after the Fifth Amendment
Effective Date, Tenant shall no longer have any rights (including the right of possession) in the Lobby Reduction Space, and Landlord and Tenant shall be released of all further obligations, covenants and agreements accruing under the Lease with
respect to such Lobby Reduction Space from and after the Fifth Amendment Effective Date. Notwithstanding the foregoing, in no event shall Tenant be released from (x) any of its obligations, covenants and agreements relating to the Lobby
Reduction Space which accrue under the Lease prior to the Fifth Amendment Effective Date or (y) any other provisions of the Lease which by their terms survive the termination or expiration of the Lease. Tenant shall vacate the Lobby Reduction
Space and surrender the same to Landlord on the Fifth Amendment Effective Date in broom clean condition, with all of Tenant’s personal property removed therefrom and otherwise in the condition required under the Lease. 

5. Increased Base Rent. Commencing on the dates set forth below and continuing for each calendar month thereafter throughout the remainder of the Term,
the annual rental rate per Rentable Square Foot of the Premises (the “Base Rate”), and accordingly Tenant’s monthly Base Rent as set forth in Section 1.D of the Lease, is hereby amended and restated to provide as follows:

  

									
	 Period
	  	Annual Rate Per
Square Foot	 	  	Monthly
Base Rent	 
	 Fifth Amendment Effective Date through February 28, 2015
	  	$	25.00	  	  	$	756,685.42	  
	 March 1, 2015 (i.e., the Floor 19 Expansion Date) through June 30, 2015
	  	$	25.00	  	  	$	803,381.25	  
	 July 1, 2015 through February 28, 2017
	  	$	26.75	  	  	$	859,617.94	  
	 March 1, 2017 (i.e., the Floor 20 Expansion Date) through June 30, 2018
	  	$	26.75	  	  	$	909,582.48	  
	 July 1, 2018 through June 30, 2022
	  	$	27.60	  	  	$	938,485.10	  
	 July 1, 2022 through June 30, 2024
	  	$	30.00	  	  	$	1,020,092.50	  
	 July 1, 2024 through June 30, 2027
	  	$	32.50	  	  	$	1,105,100.21	  

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	4	 	

 6. Renewal Option. Tenant shall have the option to renew the Term of the Lease in accordance with and
subject to the terms and conditions set forth in Exhibit C attached hereto and made a part hereof for all purposes. 
 7. Right of Negotiation on
Future Building. Landlord hereby grants to Tenant the Future Development Refusal Right set forth in Exhibit D attached hereto. 
 8.
Alterations. Effective as of the Fifth Amendment Effective Date, the following sentences of Section 9.C.(2) of the Original Lease (as amended by Section 9 of the Second Amendment) shall be deleted in their entirety: 

“For any Alterations the cost of which exceeds $10,000, Tenant shall pay to Landlord (within 30 days after receipt of an invoice from
Landlord) a fee for Landlord’s oversight and coordination thereof. If Tenant employs a third-party project manager to oversee and coordinate the construction, and if that manager is found by Landlord, before construction of the Alterations
begins, to be reasonably acceptable, then the amount of the fee payable to Landlord is equal to 3.5% of the cost of such Alterations in excess of $10,000; otherwise, the amount of the fee payable to Landlord is equal to 5% of the cost of such
Alterations in excess of $10,000.” 
 All Alterations constructed in the Premises shall be constructed in accordance with the Lease (including
Section 9.C, as amended above). Without limiting Landlord’s approval rights or Tenant’s obligations under Section 9.C.(2) of the Original Lease, Tenant acknowledges that Landlord is not obligated to provide construction
management or supervision services for Tenant with respect to the construction of any Tenant Alterations within the Premises. However, if requested by Tenant, Landlord will act (or to cause its property manager to act) as Tenant’s construction
manager with respect to any Alterations constructed by Tenant within the Premises costing in excess of $10,000, subject to agreement by Landlord and Tenant on a construction management fee to be paid by Tenant therefor (not to exceed three and
one-half percent (3.5%) of the cost of such Alterations) and execution of a separate written agreement for such services in form and substance agreed by Landlord and Tenant. 

 

	9.	Name of Building. 

  

	 	9.1	Sections 7 and 8 of the Third Amendment are hereby deleted in their entirety and shall be of no further force and effect. 

  

	 	9.2	For so long as the Naming Conditions (hereinafter defined) are satisfied, Tenant shall have the right (a) from time to time, to designate the name of the Building as “Pier 1 Imports Building” or other
similar name reasonably acceptable to Landlord that includes the name of Tenant or any Affiliate of Tenant and (b) to change the Building’s address to “100 Pier 1 Place”; provided that (i) at any time there shall be only one
(1) designated Building name and (ii) all costs, if any, associated with any such renaming of the Building or change in the Building address shall be paid by 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	5	 	

	 	  	Tenant. The parties acknowledge that, as of the date of execution of this Fifth Amendment, Tenant designates “Pier 1 Imports Building” as the name of the Building. 

 

	 	9.3	After the Fifth Amendment Effective Date, provided the Naming Conditions are satisfied, Tenant shall have the right, at Tenant’s sole cost and expense, to modify the existing Building identification signage and
flags as provided in Exhibit E attached hereto to reflect the name of the Building designated by Tenant pursuant to Section 9.2. In addition, provided the Naming Conditions are satisfied, Tenant shall have the right, from time to time
and at Tenant’s sole cost and expense, to modify any other Building identification signage and any flags on the Property that identify the Building (including any new such signage or flags installed by Landlord after the Fifth Amendment
Effective Date) to reflect the name of the Building as designated by Tenant pursuant to Section 9.2, subject to Landlord’s prior approval of the size, configuration, location, design and appearance of any such modified signage or flag,
such approval not to be unreasonably withheld. 

  

	 	9.4	Notwithstanding anything to the contrary set forth in the Lease, Tenant shall have the rights to designate the name of the Building and to modify Building signage to reflect such name only if and for as long as the
following conditions (the “Naming Conditions”) are satisfied: (a) Tenant leases and occupies at least seventy-five percent (75%) of the Rentable Square Footage of the Building, and (b) no Monetary Default and no
default described in Section 18.D by Tenant has occurred under the Lease. For purposes of this Section 9.4, Tenant shall not be deemed to be occupying the applicable portion of the Premises unless such occupancy is by Tenant or an
Affiliate of Tenant. In the event Tenant at any time fails to satisfy the Naming Conditions, the rights of Tenant described in Sections 9.2 and 9.3 above shall lapse permanently, and Tenant shall have no right to reinstate such rights, even if
Tenant subsequently satisfies the Naming Conditions; and Landlord shall thereafter have the right to rename the Building or to grant such rights to other tenants of the Building. If Landlord elects to move, remove or modify any sign (or the Building
name) based on the lapsing of Tenant’s rights, Tenant shall pay the costs and expenses incurred by Landlord in connection with such removal or modification. 

10. Parking. Landlord and Tenant acknowledge that, prior to the Fifth Amendment Effective Date, Original Landlord designated approximately fifty
(50) parking spaces in the Parking Facilities as reserved spaces for use by Original Landlord’s fleet of vehicles (the “Fleet Spaces”) pursuant to Paragraph 1 of Exhibit C to the Original Lease. Landlord and Tenant agree
that, notwithstanding anything to the contrary set forth in Exhibit C to the Original Lease, as of the Fifth Amendment Effective Date, the number of Fleet Spaces shall be reduced to six (6) reserved parking spaces, with the remaining forty-four
(44) spaces previously designated as Fleet Spaces to be converted to unreserved spaces reasonably promptly after the Fifth Amendment Effective Date. Such six (6) remaining Fleet Spaces shall be for the use of Chesapeake Operating, Inc. and
its Affiliates and shall be in a location designated by Landlord within the area identified on Exhibit C-1 to the Original Lease. Effective as of the Floor 20 Expansion Date, Exhibit C to the Original Lease shall be amended to delete the second
sentence of Section 1 in its entirety, and Exhibit C-1 to the Original Lease shall be deleted in its entirety, and reasonably promptly after the Floor 20 Expansion Date, Landlord shall convert such six (6) Fleet Spaces to unreserved
spaces. 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	6	 	

 11. Cafeteria. During the Term, Landlord shall continue to provide a cafeteria in the Building in
accordance with Section 7.A.(11) (as amended by Section 8 of the Second Amendment and Section 6 of the Third Amendment). Landlord and Tenant agree that amounts paid by Landlord to the cafeteria service provider in a given year (the
“Cafeteria Costs”), up to the Annual Cafeteria Cost Cap (hereinafter defined), shall be borne by Landlord and shall not be included in Operating Expenses. If the Cafeteria Costs for a given year exceed the Annual Cafeteria Cost Cap,
then Tenant shall pay the amount of such excess, not to exceed an amount equal to Twenty Thousand Dollars ($20,000) for such year, upon demand as additional Rent, and Landlord shall bear (and shall not include in Operating Expenses) all Cafeteria
Costs incurred in such year in excess of such $20,000 cap. As used herein, the term “Annual Cafeteria Cost Cap” shall mean, as of the date hereof, an amount equal to Seventy-Five Thousand Dollars ($75,000), which amount shall be
increased by two percent (2%) on each anniversary of the Fifth Amendment Effective Date. In addition, for purposes of this Section 11 only, a “year” shall be deemed to be each one-year period commencing on the Fifth Amendment
Effective Date or on any anniversary thereof occurring during the Term. If the Term terminates or expires on any day other than the last day of any such year, then the obligations of Landlord and Tenant hereunder shall be appropriately prorated on a
daily basis. 
 12. Furniture. Landlord hereby conveys to Tenant all of Landlord’s right, title and interest in and to the furniture listed on
Exhibit F attached hereto to the extent such furniture remains in the Floor 17-18 and Lobby Expansion Space, the Floor 19 Expansion Space and the Floor 20 Expansion Space on the applicable delivery date. Such furniture is hereby conveyed to
Tenant on the applicable delivery date for the Fifth Amendment Expansion Space in which such furniture is located in its then-current AS-IS, WHERE-IS condition, WITHOUT ANY REPRESENTATIONS OR WARRANTIES OF WHATSOEVER NATURE, EXPRESS, IMPLIED OR
STATUTORY, IT BEING THE INTENT OF TENANT AND LANDLORD TO EXPRESSLY NEGATE AND EXCLUDE ALL WARRANTIES WHATSOEVER, INCLUDING THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR ANY PARTICULAR PURPOSE. 

 

	13.	Insurance. 

  

	 	13.1	Clause (1) of the first sentence of Section 14.A. shall be deleted in its entirety and the following shall be substituted therefor: 

“(1) commercial general liability insurance, including contractual liability, applicable to Tenant’s business activities and the
Property, providing, on an occurrence basis, a per occurrence limit of no less than $1,000,000” 
 The second sentence of
Section 14.A shall be deleted in its entirety and the following shall be substituted therefor: 
 “All commercial general
liability, commercial business automobile liability and umbrella liability insurance policies shall name Landlord (or any successor), Landlord’s property manager, and Landlord’s Mortgagee (if any) as “additional insureds”.”

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	7	 	

 The following sentence in Section 14.A shall be deleted in its entirety and shall be of no
further force and effect: 
 “All policies of Tenant’s Insurance shall contain endorsements that the insurer(s) shall give
Landlord and the Property Manager at least 30 days’ advance written notice of any change, cancellation, termination or lapse of insurance.” 
  

	 	13.2	Section 14.B. shall be deleted in its entirety and the following shall be substituted therefor: 

“B. Landlord’s Insurance. Landlord shall maintain: (1) commercial general or excess liability
insurance, including contractual liability, applicable to the Property which provides, a limit for bodily injury or property damage of $25,000,000 (coverage in excess of $1,000,000 may be provided by way of an umbrella/excess liability policy); and
(2) causes of loss-special form (formerly “all risk”) property insurance on the Building in the amount of the replacement cost thereof, as reasonably estimated by Landlord. The foregoing insurance and any other insurance carried by
Landlord may be effected by a policy or policies of blanket insurance and shall be under Landlord’s sole control. Landlord shall provide Tenant with a certificate of insurance evidencing Landlord’s Insurance from time to time as reasonably
requested by Tenant. All commercial general liability and umbrella policies shall name Tenant (or any successor of Tenant) as “additional insured”. Landlord shall provide Tenant with a certificate of insurance and all required endorsements
evidencing Landlord’s insurance prior to the Commencement Date and upon renewals on or before the expiration of the insurance coverage. The limits of Landlord’s insurance shall not limit Landlord’s liability under this Lease, but
Landlord’s liability under this Lease is limited pursuant to the provisions of Section 20.” 
 14. Janitorial Service. The first sentence
of Section 7.A.(4) of the Lease shall be deleted in its entirety and the following shall be substituted therefor: 
 “Janitorial
service five days per week (excluding Holidays), in accordance with the specifications set forth on Exhibit G attached hereto.” 
 Exhibit G
attached hereto is hereby inserted as a new Exhibit G to the Lease. 
 15. Critical Systems. To Tenant’s knowledge, the Critical Systems and
Equipment are in good working order and condition as of the Fifth Amendment Effective Date. 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	8	 	

 16. Access Control. The first two sentences of Section 7.A.(7) of the Lease shall be deleted in its
entirety and the following shall be substituted therefor: 
 “Maintain and manage access control for the Building and the Parking
Facilities (as such term is defined in Exhibit C attached hereto) consistent with the access controls implemented by landlords of Comparable Buildings as an Operating Expense, including at a minimum, (a) providing and maintaining a
multi-function card-key building access system to the Premises and Parking Facilities and throughout the Building (including the stairwells) and (b) providing at least three access guards on the Property from 7 A.M. to midnight on Business Days
and two access guards on the Property at all other times on a twenty-four (24) hours per day, seven (7) days per week basis; provided, however, that (i) the cost of the third access guard from 6 P.M. to midnight on Business Days shall
be paid by Tenant and (ii) Tenant may at any time upon thirty (30) days’ prior written notice to Landlord, elect to discontinue the requirement for a third access guard from 6 P.M. to midnight on Business Days or, after discontinuing
such requirement, elect to again require such third access guard during such period. NOTWITHSTANDING ANYTHING IN THE LEASE TO THE CONTRARY, LANDLORD SHALL HAVE NO RESPONSIBILITY TO PREVENT, AND SHALL NOT BE LIABLE FOR LIABILITY OR LOSS TO TENANT,
ITS AGENTS, CONTRACTORS, EMPLOYEES, INVITEES, LICENSEES, OR VISITORS ARISING OUT OF LOSSES DUE TO THEFT, BURGLARY OR DAMAGE OR INJURY TO PERSONS OR PROPERTY CAUSED BY UNAUTHORIZED PERSONS GAINING ACCESS TO THE PROPERTY OR THE PREMISES, AND TENANT
HEREBY RELEASES LANDLORD FROM ALL LIABILITY RELATING THERETO, REGARDLESS OF WHETHER SUCH LOSSES ARE CAUSED IN WHOLE OR IN PART BY THE NEGLIGENCE (BUT NOT GROSS NEGLIGENCE OR WILLFUL MISCONDUCT) OF LANDLORD, PROVIDED LANDLORD ACTUALLY SELECTED AND
ENGAGED AN ACCESS GUARD CONTRACTOR, HAS INSTALLED ACCESS CONTROLS FOR THE BUILDING, AND HAS EXERCISED REASONABLE CARE IN THE SELECTION AND OVERSIGHT OF SAID CONTRACTOR AND IN THE SELECTION AND MAINTENANCE OF SUCH ACCESS CONTROLS. SUBJECT TO
LANDLORD’S COMPLIANCE WITH ITS OBLIGATIONS IN THE PROVISO TO THE PRECEDING SENTENCE, IT IS THE EXPRESS INTENT OF LANDLORD AND TENANT THAT LANDLORD BE RELEASED FROM THE CONSEQUENCES OF LANDLORD’S OWN NEGLIGENCE (BUT NOT GROSS NEGLIGENCE OR
WILLFUL MISCONDUCT) FOR CLAIMS DESCRIBED IN THIS PARAGRAPH. Landlord shall not withhold consent to Tenant installing such access systems within the 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	9	 	

 
Premises as may be required for Tenant to comply with Payment Card Industry Data Security Standards, such systems to be installed by Tenant at its sole cost (including, if applicable, the cost of
rerouting any Building systems necessary to accommodate such access systems), provided (a) such systems (i) do not materially adversely affect any Building systems, including the Building access control and life safety systems, and
(ii) are installed in accordance with all applicable Laws and in accordance with the requirements set forth in Section 9.C.(2) of the Lease (as amended) and (b) Tenant provides Landlord with access cards or other reasonable means of
accessing that portion of the Premises subject to such access systems.” 
  

	17.	Program Grants. 

  

	 	17.1	Pursuant to the Partial Assignment, Tenant assigned to Original Landlord, and Original Landlord assumed, an undivided interest in the obligations of Tenant under the EDA, including the obligations to comply with the
commitments set forth in Section 5.2 and 5.3 of the EDA. Original Landlord subsequently transferred and conveyed to Landlord all rights of Original Landlord and all obligations of Original Landlord, if any, under the EDA. Tenant acknowledges
that Landlord does not use the Building as a Corporate Office (as such term is defined in the EDA) and that, therefore, grants may be available under the EDA only if Tenant complies with the applicable terms and provisions of the EDA.
Notwithstanding anything in the Lease or the Partial Assignment to the contrary, Tenant agrees that (i) Landlord shall not be obligated to comply with any obligations of Tenant under the EDA, including any obligations that would otherwise
require Landlord to meet any specific employment or other commitments or to engage Certified M/WBEs (as defined in the EDA) to perform services with respect to the Building; and (ii) in no event shall Landlord be deemed to be in default under
the Lease or otherwise liable to Tenant or any Affiliate of Tenant if, for any reason (other than Landlord’s failure to pay to the City the real estate taxes payable by Landlord with respect to the Building), the City fails to remit all or any
of the grants provided for in the EDA. The foregoing shall not be deemed to release Landlord from the obligation to comply with the terms and provisions of the Lease, including, without limitation, Landlord’s obligations under Section 4.J.
of the Lease. 

  

	 	17.2	The following two sentences of Section 4.J.(3): 

 “After the expiration or earlier
termination of this Lease, Landlord shall make application to the City for all of the program grants allowed under the EDA. Tenant agrees to deliver to Landlord prior to January 15 of the following calendar year all information Landlord
reasonably requests in order to prepare such application for the calendar year immediately preceding the expiration or termination of this Lease. Tenant, at no cost to Landlord, shall have the right to 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	10	 	

 approve the application prior to submission to the City, but such approval shall not be
unreasonably withheld, conditioned or delayed.” 
 are hereby deleted in their entirety and the following shall be substituted therefor:

 “After the expiration or earlier termination of this Lease, Tenant may make application to the City for all of the program grants
allowed under the EDA with respect to the calendar year in which this Lease expires or terminates. Landlord agrees to deliver to Tenant prior to January 15 of the following calendar year all information Tenant reasonably requests in order to
prepare such application. Landlord, at no cost to Tenant, shall have the right to approve such application prior to submission to the City, but such approval shall not be unreasonably withheld, conditioned or delayed.” 

 

	18.	Notice Addresses. 

  

	 	18.1	Section 1.M. of the Lease shall be amended to delete the notice addresses for Landlord set forth therein and to insert in lieu thereof the following addresses: 

Hines VAV Energy Way LLC 
 c/o
Hines Interests Limited Partnership 
 2200 Ross Avenue, Suite 4200W 

Dallas, TX 75201 
 Attention:
Heath Johnson 
 Facsimile No.: (214) 777-5308 

With copies to: 
 Hines US Office
Value Added Venture III LLC 
 c/o Hines Interests Limited Partnership 

499 Park Avenue, 12th Floor 
 New
York, NY 10022 
 Attention: Dave Congdon and Beth Demba 

Facsimile No.: (212) 230-2276 

and 
 Hines Legal Department 

Attn: Corporate Counsel 
 2800
Post Oak Blvd. 
 Suite 4800 

Houston, Texas 77056 
 Facsimile:
(713) 966-2636 
  

	 	18.2	Section 1.M. of the Lease is hereby amended to delete the following sentence in its entirety: 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	11	 	

 “Rent (defined in Section 4.A) is payable to the order of Chesapeake Plaza, L.L.C. by
electronic transfer to Bank of Oklahoma, ABA# I 03900036 for further credit to Chesapeake Energy Corporation, Account# 814109493, Reference: Pier 1 Services Company /Pier 1 Place.” 

Tenant acknowledges that, contemporaneously with the execution and delivery of this Fifth Amendment, Landlord has provided Tenant with written
notice setting forth instructions for the payment of Rent. 
 19. Use of First Floor Lobby Common Area. The second sentence of Section 31.O
shall be deleted in its entirety and the following shall be substituted therefor: 
 “Any Special Event shall not be more than five
(5) consecutive days in duration and Tenant is limited to 6 Special Events per calendar year during the Term (unless Landlord agrees to allow additional Special Events, such agreement not to be unreasonably withheld).” 

20. Periodic Sale Events. Provided Tenant is not in default under the Lease beyond applicable notice and cure periods, Tenant shall have the right, not
more frequently than once per calendar quarter, upon at least forty eight (48) hours’ prior written notice to Landlord, to utilize a portion of the cafeteria in the Building designated by Landlord free of charge for the purpose of selling
Pier 1 Imports samples of furniture and other items of home decor (“Samples”) to Tenant’s employees at the Building. Any such Sale Event shall not continue for more than three (3) consecutive business days in duration
without Landlord’s prior approval, in its sole discretion. The Sale Event shall be conducted at Tenant’s sole cost and expense and in accordance with all applicable Law, and Tenant shall be solely responsible for the security and storage
of any Samples. 
 21. HVAC. Notwithstanding anything to the contrary set forth in the Lease, during any period during the Term that Tenant leases
and occupies at least 408,037 Rentable Square Feet, Tenant shall not be obligated to pay to Landlord Hourly HVAC Charges pursuant to Section 7.A.(2) of the Original Lease for HVAC service requested by Tenant after Normal Business Hours, but
Tenant shall be obligated to pay its Pro Rata Share of the actual cost of such HVAC service, which amount shall be included in, and shall be paid in accordance with, Section 4.H of the Original Lease (notwithstanding anything to the contrary
set forth in such section). 
 22. No Broker. Except for the commission payable to Jones Lang LaSalle (“Tenant’s Broker”) and
to Peloton Real Estate Partners, LLC (“Landlord’s Broker”), which commissions shall be payable by Landlord pursuant to a separate written agreement between Tenant’s Broker and Landlord and Landlord’s Broker and
Landlord, respectively, Landlord and Tenant each hereby represent and warrant to the other that no commission is due and payable to any broker or other leasing agent in connection with this Fifth Amendment (other than Tenant’s Broker and
Landlord’s Broker) as a result of its own dealings with any such broker or leasing agent, and Landlord and Tenant hereby agree to indemnify and hold each other harmless from and against all loss, damage, cost and expense (including reasonable
attorneys’ fees) suffered by the other party as a result of a breach of the foregoing representation and warranty. 

  

					
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SERVICES COMPANY)
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	 	12	 	

 23. Entire Agreement; Supercession. This Fifth Amendment shall become effective only upon its full
execution and delivery by Landlord and Tenant. This Fifth Amendment contains the parties’ entire agreement regarding the subject matter covered herein, and supersedes all prior correspondence, negotiations, and agreements, if any, whether oral
or written, between the parties concerning such subject matter. There are no contemporaneous oral agreements, and there are no representations or warranties between the parties not contained in this Fifth Amendment. In all respects, except as
specifically amended hereby, the terms and conditions of the Lease remain in full force and effect and unabated and the Lease, as amended by this Fifth Amendment, shall be binding upon and shall inure to the benefit of the parties hereto, their
successors and permitted assigns. 
 24. Multiple Counterparts. The parties may execute this Fifth Amendment in counterparts, each of which shall
constitute an original and all of which, when taken together, shall constitute one and the same instrument. To facilitate execution of this Fifth Amendment, the parties may execute and exchange, by telephone facsimile or electronic mail PDF,
counterparts of the signature pages. 
 25. Joinder and Approval by Guarantor. By its execution below, Guarantor hereby acknowledges the terms and
conditions of this Fifth Amendment and consents to and approves of the modifications set forth herein, including but not limited to the extension of the Term, the expansion and reduction of the Premises and the increase in Base Rent and resultant
obligations under the Lease and hereby affirms that all of the terms and conditions in the Guaranty are hereby extended to include the Lease as amended by this Fifth Amendment. 

26. Landlord Defaults. Landlord and Tenant acknowledge that Tenant delivered to Original Landlord a letter, dated April 24, 2014, alleging that
Original Landlord had defaulted in the performance of certain obligations under the Lease, including obligations that impacted certain Critical Systems and Equipment. Tenant represents and certifies to Landlord that all material defaults alleged by
Tenant in such letter, including defaults in the provision of services and building maintenance, have been cured or resolved by Original Landlord. Tenant agrees that Landlord shall not be in default of, or otherwise liable to Tenant under, the Lease
from and after the Fifth Amendment Effective Date as a result of any default by Original Landlord prior to the Fifth Amendment Effective Date alleged in such letter, including the failure of Original Landlord to perform the scheduled maintenance and
testing of the Critical Systems and Equipment and to provide the records and logs thereof to Tenant; provided, however, for the avoidance of doubt, the foregoing shall not relieve Landlord from the obligation to comply with its obligations under the
Lease from and after the Fifth Amendment Effective Date, including the repair and maintenance obligations of Landlord set forth in the Lease. 
 27.
Fifth Amendment Effective Date. As used herein, the “Fifth Amendment Effective Date” shall be the date of the closing of the acquisition of the Building and Property by Landlord. In the event that the Fifth Amendment
Effective Date has not occurred by August 15, 2014, then this Fifth Amendment shall automatically be null and void and of no further force and effect. 

(Signature Pages Follow) 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	13	 	

 SIGNATURE PAGE TO 

FIFTH AMENDMENT TO OFFICE LEASE 

IN WITNESS WHEREOF, Landlord, Tenant and Guarantor have executed this Fifth Amendment as of the Fifth Amendment Effective Date hereof. 

 

											
	LANDLORD:
	
	HINES VAV III ENERGY WAY LLC,
	a Delaware limited liability company
		
	By:	 	Hines US Office Value Added Venture III LLC,
		 	a Delaware limited liability company
			
		 	By:	 	Hines US VAV III MM LLC,
		 		 	a Delaware limited liability company,
		 		 	its managing member
				
		 		 	By:	 	Hines Interests Limited Partnership,
		 		 		 	a Delaware limited partnership,
		 		 		 	its managing member
					
		 		 		 	By:	 	Hines Holdings, Inc.,
		 		 		 		 	a Texas corporation,
		 		 		 		 	its general partner
						
		 		 		 		 	By:	 	 /s/ David J. Congdon

		 		 		 		 	Name:	 	David J. Congdon
		 		 		 		 	Title:	 	Senior Managing Director

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
	 		 	

 SIGNATURE PAGE TO 

FIFTH AMENDMENT TO OFFICE LEASE 

IN WITNESS WHEREOF, Landlord, Tenant and Guarantor have executed this Fifth Amendment as of the Fifth Amendment Effective Date hereof. 

 

					
	TENANT:
	
	 PIER 1 SERVICES COMPANY,
 a
Delaware statutory trust

		
	By:	 	 Pier 1 Holdings, Inc.,
 a
Delaware corporation,
 its managing trustee

		
	By:	 	 /s/ Alexander W. Smith

	Name:	 	Alexander W. Smith
	Title:	 	President and CEO

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
	 		 	

 SIGNATURE PAGE TO 

FIFTH AMENDMENT TO OFFICE LEASE 

IN WITNESS WHEREOF, Landlord, Tenant and Guarantor have executed this Fifth Amendment as of the Fifth Amendment Effective Date hereof. 

 

			
	GUARANTOR:
	
	PIER 1 IMPORTS, INC.,
	a Delaware corporation
		
	By:	 	 /s/ Alexander W. Smith

	Name:	 	Alexander W. Smith
	Title:	 	President and CEO

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
	 		 	

 EXHIBIT “A” 

LOBBY EXPANSION SPACE 

[See Attached] 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	A-1	 	

  
 

 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	A-1	 	

 EXHIBIT A-1 
  

															
	CHART OF RENTABLE SQUARE FOOTAGE ON EACH FLOOR AND COMMON AREAS
						
		  		  	Total Gross Area	  	460,614	  		  	
		  		  	Less Vertical Penetration	  	50,637	  		  	
		  		  	Total Rentable	  	409,977	  		  	
		  		  	Common Area	  	63,615	  		  	
		  		  	Total Useable	  	346,362	  		  	
		  		  	Total Rentable	  	409,977	  		  	
		  		  	Ratio of Common Area to Useable	  	0.18367	  		  	

  

																			
	SQUARE FOOTAGE BREAKDOWN	  
	 FLOOR
	  	 	  	TOTAL
RENTABLE	 	  	USEABLE	 	  	COMMON
AREA
CHARGE	 	  	RENTABLE
AREA*	 
	 Terrace
	  		  	 	42,847	  	  	 	795	  	  	 	146	  	  	 	941	  
	 Lobby
	  		  	 	26,969	  	  			
		  	Pier 1 Mail Room	  				  	 	3,396	  	  	 	623	  	  	 	4,019	  
		  	Property Management Office	  				  	 	844	  	  	 	155	  	  	 	999	  
		  	Security Control Room	  				  	 	1,166	  	  	 	214	  	  	 	1,380	  
	 Mezz
	  		  	 	13,153	  	  	 	13,153	  	  	 	2,416	  	  	 	15,568	  
	 5
	  		  	 	22,329	  	  	 	22,329	  	  	 	4,101	  	  	 	26,430	  
	 6
	  		  	 	22,329	  	  	 	22,329	  	  	 	4,101	  	  	 	26,430	  
	 7
	  		  	 	22,329	  	  	 	22,329	  	  	 	4,101	  	  	 	26,430	  

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	A-1-1	 	

																			
	 8
	  		  	 	22,329	  	  	 	22,329	  	  	 	4,101	  	  	 	26,430	  
	 9
	  		  	 	22,610	  	  	 	22,610	  	  	 	4,153	  	  	 	26,763	  
	 10
	  		  	 	22,610	  	  	 	22,610	  	  	 	4,153	  	  	 	26,763	  
	 11
	  		  	 	22,610	  	  	 	22,610	  	  	 	4,153	  	  	 	26,763	  
	 12
	  		  	 	22,610	  	  	 	22,610	  	  	 	4,153	  	  	 	26,763	  
	 14
	  		  	 	22,610	  	  	 	22,610	  	  	 	4,153	  	  	 	26,763	  
	 15
	  		  	 	22,610	  	  	 	22,610	  	  	 	4,153	  	  	 	26,763	  
	 16
	  		  	 	22,394	  	  	 	22,394	  	  	 	4,113	  	  	 	26,507	  
	 17
	  		  	 	22,394	  	  	 	22,394	  	  	 	4,113	  	  	 	26,507	  
	 18
	  		  	 	19,372	  	  	 	19,372	  	  	 	3,558	  	  	 	22,930	  
	 19
	  		  	 	18,936	  	  	 	18,936	  	  	 	3,478	  	  	 	22,414	  
	 20
	  		  	 	18,936	  	  	 	18,936	  	  	 	3,478	  	  	 	22,414	  
		  		  	 	409,977	  	  	 	346,362	  	  	 	63,615	  	  	 	409,977	  
			
		  		  	 	*Square footage used to calculate rent expense	  

  

					
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 EXHIBIT “B” 

LOBBY REDUCTION SPACE 

[See Attached] 

  

					
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 Active 16013260.14
	 	B-1	 	

 

 

  

					
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 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	C-2	 	

 EXHIBIT “C” 

RENEWAL OPTION 
 1.
Subject to the terms and provisions of this Exhibit C, Tenant is hereby granted the right and option (the “Fifth Amendment Renewal Option”) to extend the Term of this Lease for one (1) renewal period of five
(5) years (the “Fifth Amendment Renewal Term”), which option shall be exercised by delivery of written notice to Landlord given no more than twelve (12) months and no later than six (6) months prior to the Expiration
Date, provided that at the time of such notice and at the commencement of such Fifth Amendment Renewal Term, (i) Tenant remains in occupancy of at least eighty percent (80%) of the Premises, and (ii) no uncured event of default by
Tenant exists under the Lease. If Tenant fails to give written notice of exercise of the Fifth Amendment Renewal Option within the time period specified above, the Fifth Amendment Renewal Option shall be deemed waived and of no further force and
effect and this Lease shall terminate upon the then-scheduled Expiration Date. If Tenant timely exercises the Fifth Amendment Renewal Option, the extension of the Term for the Fifth Amendment Renewal Term shall apply to the entirety of the Premises,
and all of the terms, covenants and conditions provided in this Lease (as the same may have been amended) shall continue to apply during the Fifth Amendment Renewal Term, except that (a) the Base Rent during the Fifth Amendment Renewal Term
shall be calculated at the then-prevailing Market Base Rental Rate (as defined and determined below) for the Premises; provided, however, in no event shall the Base Rent during the Fifth Amendment Renewal Term be less than the Base Rent in effect
under this Lease immediately prior to the commencement of the Fifth Amendment Renewal Term; (b) the Premises shall be provided in their then existing “AS-IS”, “WHERE-IS” condition and configuration at the time the Fifth
Amendment Renewal Term commences, without any representation or warranty by Landlord whatsoever, express or implied, including, without limitation, the implied warranties of habitability, suitability, merchantability and fitness for any particular
purposes, and without any obligation on the part of Landlord to furnish, install or modify any leasehold improvements or to provide any allowance or credit therefor; (c) Tenant shall have no option to renew the Lease beyond the expiration of
the Fifth Amendment Renewal Term; and (d) any terms, covenants and conditions that are expressly or by their nature inapplicable to the Fifth Amendment Renewal Term shall be deemed void and of no further force and effect. Tenant’s exercise
of the Fifth Amendment Renewal Option shall be irrevocable, except as specifically provided below. Notwithstanding anything to the contrary contained in the Lease, Tenant shall not have the right to assign the Fifth Amendment Renewal Option to any
subtenant or assignee, other than an assignee of Tenant’s interest under the Lease that is an Affiliate of Tenant (an “Affiliate Assignee”), and no subtenant or assignee other than an Affiliate Assignee may exercise such
option. 
 2. As used herein, the term “Market Base Rental Rate” means the annual rate per Rentable Square Foot that a
willing tenant would pay and a willing landlord would accept in arm’s length, bona fide negotiations for the Premises at the commencement of the Fifth Amendment Renewal Term, as determined by Landlord taking into account comparable lease
transactions (i.e., new leases, renewals, and expansions) made in the Building, if any, and the rental rate then being charged in downtown Fort Worth, Texas for space comparable to the Premises (taking into consideration use, location and/or floor
level within the applicable building, definition of usable area, leasehold improvements provided (i.e. whether or not the space is delivered on an “as-is” 

  

					
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basis), quality, age, location and condition thereof and of the applicable building, rental concessions [such as abatements or lease assumptions] and allowances, if any, then being provided in
the market area, and the time the particular rate under consideration became effective, the additional rent and other amounts then payable by Tenant under this Lease, whether or not any brokerage commissions are payable, parking rentals or
concessions, creditworthiness of Tenant, term of lease, area of leased premises, and whether the lease is gross or net). Bona fide written offers to lease space in the Building, including the Premises, made to Landlord by third parties (at
arm’s-length) that are reflected in a letter of intent or term sheet executed by Landlord and the prospective tenant may be used as an indication of Market Base Rental Rate. 

3. Within thirty (30) days after receipt of Tenant’s notice of exercise of the Fifth Amendment Renewal Option, Landlord will notify
Tenant in writing of its determination of the Market Base Rental Rate for the Premises for the Fifth Amendment Renewal Term (“Landlord’s Determination”). 

4. Tenant shall have a period of twenty (20) days following receipt of Landlord’s Determination to either (i) accept
Landlord’s Determination and confirm Tenant’s exercise of the Fifth Amendment Renewal Option; (ii) withdraw its exercise of the Fifth Amendment Renewal Option by written notice to Landlord, in which event the Fifth Amendment Renewal
Option shall be terminated and of no further force and effect and this Lease shall terminate upon the expiration of the then current Term; or (iii) deliver to Landlord Tenant’s determination of the Market Base Rental Rate
(“Tenant’s Determination”). If Tenant fails to withdraw its exercise of the Fifth Amendment Renewal Option, then Tenant’s exercise of the Fifth Amendment Renewal Option shall be irrevocable and the Market Base Rental Rate
shall be determined as provided below. If Tenant timely delivers Tenant’s Determination, then Landlord and Tenant shall thereafter attempt to agree upon the Market Base Rental Rate for a period of twenty (20) days following the date
Landlord receives the Tenant’s Determination (the “Negotiation Period”), which agreement shall be deemed to have been made only if set forth in a writing signed by Landlord and Tenant. If Landlord and Tenant fail to agree upon
the Market Base Rental Rate by the expiration of such Negotiation Period, then within five (5) business days after the expiration of the Negotiation Period, Landlord and Tenant shall convene a meeting at the Building and during such meeting
each shall provide to the other its respective final determination of Market Base Rental Rate (respectively, the “Landlord’s Final Determination” and the “Tenant’s Final Determination”). If Landlord fails
(i) to attend such meeting or (ii) to timely deliver to Tenant Landlord’s Final Determination, Landlord shall be deemed to have accepted Tenant’s Determination. If Tenant fails (i) to attend such meeting or (ii) to
timely deliver to Landlord Tenant’s Final Determination, Tenant shall be deemed to have accepted Landlord’s Determination. If Tenant attends such meeting and delivers Tenant’s Final Determination, then within five (5) business
days after such meeting, Tenant shall, by the delivery of written notice, either (i) accept Landlord’s Final Determination, or (ii) elect to have the Market Base Rental Rate determined in accordance with the arbitration procedures set
forth in Section 5 below. If Tenant fails to timely deliver written notice of such election by the end of such five (5) business day period, Tenant shall be deemed to have elected to accept Landlord’s Determination. 

5. If Tenant timely elects to implement the procedures set forth in this paragraph, then within five (5) Business Days after implementing
these arbitration provisions, Landlord and Tenant shall each appoint a commercial real estate broker, licensed in Texas active in the leasing of Class A office buildings in the Central Business District of Fort Worth, Texas, for a period of not
less than 

  

					
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five (5) years prior to the date of his or her appointment (each a “Qualified Broker”), and provide written notice to the other party specifying the name and address of the
Qualified Broker so chosen. No Qualified Broker may be a former or current employee of Landlord or Tenant or an individual who has represented either Landlord or Tenant in connection with this Lease. Each such Qualified Broker shall meet and confer
with the other within five (5) days after the second such Qualified Broker is appointed, and shall together appoint a third Qualified Broker whose name and address shall be given to Landlord and Tenant. If the two Qualified Brokers cannot agree
on the third Qualified Broker within five (5) days of their initial meeting, then either party, by written notice to the other, may request such appointment by the American Arbitration Association. The three Qualified Brokers shall meet to
determine the Market Base Rental Rate within ten (10) days after the third Qualified Broker is appointed. The Qualified Brokers shall, by majority vote, select either Landlord’s Final Determination or Tenant’s Final Determination,
whichever determination the Qualified Brokers decide most closely resembles the Market Base Rental Rate at the time of such determination. In no event shall the Qualified Brokers have authority to make an independent determination of Market Base
Rental Rate or the authority to select any Market Base Rental Rate other than either Landlord’s Final Determination or Tenant’s Final Determination. Upon final determination of the Market Base Rental Rate, Tenant and Landlord shall execute
a written agreement or acknowledgement confirming such Market Base Rental Rate. Landlord and Tenant shall each bear all costs and expenses incurred in connection with their own Qualified Brokers, and Landlord and Tenant shall each pay fifty percent
(50%) of the fees incurred in connection with the third Qualified Broker. In the event of the failure, refusal or inability of any selected broker to act, a new broker shall be appointed in his or her stead by whichever of Landlord or Tenant
had selected such broker who fails, refuses or is unable to act. The determination of the Market Base Rental Rate pursuant to this process shall be conclusive and binding on Landlord and Tenant. None of the broker shall have the power to amend or
modify the provisions hereof. The parties recognize, however, that performance of the foregoing provisions is, in part, dependent upon broker and others who are not a party hereto. If such brokers have been timely appointed by the parties hereto but
thereafter fail to perform their obligations in accordance with the provisions hereof, no such failure shall constitute a breach hereof by either party hereto nor a waiver of Tenant’s renewal or preferential rights and options. 

  

					
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 Active 16013260.14
	 	C-3	 	

 EXHIBIT “D” 

FUTURE DEVELOPMENT RIGHT OF NEGOTIATION 

1. Subject to the terms and provisions of this Exhibit D, Tenant is hereby granted a first right of negotiation (the “Right of
Negotiation”) to enter into negotiations for the lease of space to be contained in any future office building (other than the Building) that Landlord elects to build on the Property (the “Future Building”). The Right of
First Negotiation shall expire and terminate on the earliest to occur of the following: (a) Tenant fails to lease and occupy at least 80% of the Rentable Square Footage of the Building; or (b) the date that is three (3) years prior to
the then-scheduled expiration of the Term (unless Tenant agrees in writing to exercise the Renewal Option or otherwise renew and extend the Term of the Lease); or (c) the date the Lease is terminated (the period from the Fifth Amendment
Effective Date through the expiration of the Right of Negotiation being referred to herein as the “First Negotiation Period”). Notwithstanding anything herein to the contrary, Tenant expressly acknowledges and agrees that Landlord
shall have no obligation to develop a Future Building on the Property. For purposes of this Exhibit D, Tenant shall not be deemed to be occupying the applicable portion of the Premises unless such occupancy is by Tenant or an Affiliate of Tenant.

 2. If at any time during the First Negotiation Period, Landlord desires to build a Future Building or to propose to develop (or respond to a request for
proposal to develop) a build-to-suit Future Building (a “BTS Future Building”) for another tenant (the “BTS Tenant”), Landlord will provide written notice (the “Negotiation Notice”) to Tenant
generally stating the approximate proposed size of the building and other material economic terms for the lease of space therein (the “Lease Terms”), including, without limitation, basic rent structure, term, and projected
commencement date. Tenant shall notify Landlord in writing (an “Election Notice”) whether Tenant elects to lease a portion or all of the proposed development on the terms set forth by Landlord (provided that, as to any such election
in the case of a BTS Future Building, Tenant must elect to lease not less than the amount of space to be leased by the BTS Tenant, as set forth in Landlord’s proposal to the BTS Tenant) within thirty (30) days after Landlord delivers the
Negotiation Notice. If Tenant timely delivers the Election Notice, then Landlord and Tenant will thereafter endeavor, in good faith and with due diligence, to agree upon and thereafter execute a lease of space in such Future Building consistent with
the Future Building Lease Terms (and, in the case of a BTS Future Building, covering not less than the amount of space to be leased by the BTS Tenant), with such changes thereto as Landlord and Tenant may agree, and containing such other terms and
conditions as Landlord and Tenant may each require, each acting in their sole discretion. Notwithstanding anything to the contrary contained in this Exhibit D, Tenant hereby acknowledges and agrees that any failure by Landlord and Tenant to
reach agreement on any such lease shall not constitute a default by Landlord or Tenant under this Lease. For the avoidance of doubt, Landlord shall have the right to negotiate with prospective tenants with respect to the lease of space in a BTS
Future Building (including by submitting or responding to requests for proposal) prior to delivery of a Negotiation Notice and during the pendency of proceedings under this Paragraph 2. 

3. If Tenant fails to deliver the Election Notice within the thirty (30)-day period specified above, or if after delivery of the Election
Notice, Landlord and Tenant fail to agree upon a 

  

					
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lease for such space within forty-five (45) days following Landlord’s receipt of the Election Notice, in each case time being of the essence, then Tenant shall be deemed to have elected
not to enter into a lease for space in a Future Building, and Landlord shall thereafter be free to lease all or any portion of a Future Building without restriction pursuant to this Exhibit D, except that, if Landlord fails to commence
construction of a Future Building within thirty (30) months of the Negotiation Notice, then Landlord will again be required to deliver a Negotiation Notice with respect to any Future Building proposed to be developed by Landlord on the
Property. 
 4. Notwithstanding the foregoing, Landlord shall not be obligated to deliver a Negotiation Notice, and Tenant shall not have
the right to deliver an Election Notice, if an uncured Monetary Default and/or default described in Section 18.D of the Original Lease then-exists under the Lease. In addition, if, at any time at or after delivery by Landlord of the Negotiation
Notice and prior to the full and final execution of a Future Building Lease, the First Negotiation Period expires pursuant to Paragraph 1 above, Landlord may, at its sole option, elect to terminate Tenant’s exercise of the Right of Negotiation,
in which event Tenant shall be deemed to have elected not to lease space in the Future Building, the Right of Negotiation shall expire and terminate, and Landlord shall be free to develop and lease all or any portion of a Future Building without
restriction pursuant to Exhibit D. 
 5. Notwithstanding anything to the contrary contained in the Lease, Tenant shall not have the right to assign
the Future Development Refusal Right to any subtenant or assignee other than an Affiliate Assignee, and no subtenant or assignee other than an Affiliate Assignee may exercise such option. 

6. Landlord and Tenant shall execute a memorandum or other instrument in recordable form and otherwise reasonably acceptable to each party acknowledging the
Right of Negotiation set forth in this Exhibit D, and the same shall be recorded by Landlord in the Official Public Records of Real Property of Tarrant County, Texas. Upon the expiration of the First Negotiation Period, Tenant shall, upon demand,
execute and deliver to Landlord a release or other similar instrument in recordable form and otherwise reasonably acceptable to Landlord and Tenant acknowledging the termination of the Right of First Negotiation. 

  

					
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 EXHIBIT “E” 

BUILDING SIGNAGE 
 [See
Attached] 

  

					
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SERVICES COMPANY)
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	 	E-1	 	

  
 

 

  

					
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	 	E-2	 	

  
 

 

  

					
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	 	E-3	 	

  
 

 

  

					
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	 	E-4	 	

  
 

 

  

					
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	 	E-5	 	

 EXHIBIT “F” 

FURNITURE 
 FURNITURE—FLOORS 17-20

  

																					
	 Item
	  	17th	 	  	18th	 	  	19th	 	  	20th	 	  	Total
Quantity	 
	 Desks
	  	 	49	  	  	 	37	  	  	 	36	  	  	 	24	  	  	 	146	  
	 Task Chairs
	  	 	124	  	  	 	58	  	  	 	64	  	  	 	39	  	  	 	285	  
	 Guest Chairs
	  	 	111	  	  	 	77	  	  	 	71	  	  	 	77	  	  	 	336	  
	 Book Shelves
	  	 	52	  	  	 	37	  	  	 	32	  	  	 	21	  	  	 	142	  
	 Guest Tables
	  	 	4	  	  	 	4	  	  	 	5	  	  	 	11	  	  	 	24	  
	 Training Tables
	  	 	19	  	  	 	40	  	  	 	6	  	  	 	0	  	  	 	65	  
	 Conference Table
	  	 	1	  	  	 	0	  	  	 	1	  	  	 	3	  	  	 	5	  
	 Training Chairs
	  	 	12	  	  	 	199	  	  	 	0	  	  	 	0	  	  	 	211	  
	 Conference Chairs
	  	 	56	  	  	 	0	  	  	 	34	  	  	 	32	  	  	 	122	  
	 Cubicles
	  	 	55	  	  	 	30	  	  	 	46	  	  	 	26	  	  	 	157	  
	 Refrigerators
	  	 	1	  	  	 	2	  	  	 	1	  	  	 	1	  	  	 	5	  
	 Microwaves
	  	 	1	  	  	 	2	  	  	 	1	  	  	 	1	  	  	 	5	  
	 TV
	  	 	0	  	  	 	0	  	  	 	1	  	  	 	4	  	  	 	5	  
	 Couch
	  	 	0	  	  	 	0	  	  	 	0	  	  	 	1	  	  	 	1	  
	 Chairs
	  	 	0	  	  	 	0	  	  	 	0	  	  	 	2	  	  	 	2	  

 MISCELLANEOUS FURNITURE 
  

			
	 Type
	  	Quantity
	 18th Floor:

	 20002 – Trophy Case
	  	1
	 20th Floor:

	 20076 – 3 door Armoire
	  	1

 APPLIANCES - FLOORS 17-20 
  

			
	 Item
	  	Quantity
	 17th Floor:

	 17004-Whirlpool Fridge GR2 SHK XMS01
	  	1
	 17004-Whirlpool Micro
	  	1
	 17004-Folleit Ice Maker
	  	1
	 18th Floor:

	 18004-Whirlpool Fridge GR2 SHK XMS01
	  	1
	 18004-Folleit Ice Maker
	  	2
	 18004-Whirlpool Microwave
	  	2

  

					
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	 	F-1	 	

			
	 Item
	  	Quantity
	 18068-Whirlpool Fridge WRT 571 SMY MOO
	  	1
	 19th Floor:

	 Break Room-Whirlpool Gold Refrigerator GR2SHKXM501
	  	1
	 Break Room- Follett Symphony Series Ice Maker
	  	1
	 20th Floor:

	 20005-Whirlpool Gold Refrigerator GR23HKXM501
	  	1

 TELEVISIONS 
  

			
	 Type
	  	Quantity
	 19th Floor:

	 19002- Panasonic 50” Plasma TV TY-TP50P10S
	  	1
	 20th Floor:

	 20003- AMX MVP-TDS Projector and Shade control
	  	1
	 20046-Panasonic 65” Plasma TV TH-65PF11UK
	  	1
	 20079- 2 Toshiba TV/VCR/DVD Model No: MW20FP1
	  	1
	 20079- 1 Toshiba TV/VCR/DVD Model No: MW20F52
	  	1

  

					
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 EXHIBIT “G” 

JANITORIAL SPECIFICATIONS 
  

	I.	OFFICE AREAS 

  

	 	A.	Services performed nightly (5 nights per week): 

  

	 	•	 	Empty and clean all waste receptacles and remove waste paper and rubbish to the designated area. 

  

	 	•	 	Hand dust or wipe clean with damp or treated cloth all horizontal surfaces, desks, chairs, files, telephones, picture frames, etc. Do not rearrange materials on desks. 

 

	 	•	 	Clean and sanitize drinking fountains, follow with stainless steel cleaner as needed taking care not to leave any oily residue. 

  

	 	•	 	Spot clean all windows and partition glass including lobby glass and glass table tops. 

  

	 	•	 	Vacuum all carpet areas. Broom sweep all oriental antique rugs. (Do not pull vacuum cords around corners.) Edges should either be swept or vacuumed with appropriate edge cleaning tool, as required. 

 

	 	•	 	Remove all finger marks and smudges from all vertical surfaces taking care not to mark material finishes. 

  

	 	•	 	Dust mop and spot clean all tiled areas. 

  

	 	•	 	Damp wash and wipe dry all plastic or Formica desk tops. 

  

	 	•	 	Sweep internal stairways and vacuum, if carpeted. Dust handrails and vertical surfaces. 

  

	 	B.	Services performed as necessary or in the frequency stated: 

  

	 	•	 	Wash waste receptacles. To be done if liquids might have leaked into the receptacle through the plastic liner or in other areas, as required. 

 

	 	•	 	Damp mop floors where spillage occurred or dirt tracked in. 

  

	 	•	 	Machine buff all non-carpet floors - not less than monthly. Strip and recoat as necessary. 

  

	 	•	 	Spot clean carpet areas. Major carpet cleaning will be handled outside this contract. 

  

	 	•	 	Dust light fixtures - not less than annually. 

  

	 	•	 	Vacuum/dust all perimeter slot diffusers on an annual basis. 

  

	 	•	 	Clean all air vent grills. 

  

	 	•	 	Dust window blinds quarterly. 

  

	 	•	 	Dust and wash window sills. 

  

	 	•	 	Dust fire extinguishers/fire extinguisher cabinets. 

  

	 	•	 	Dust all doors monthly. 

  

					
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	 	G-1	 	

	II.	RESTROOMS 

  

	 	A.	Services performed nightly (5 nights per week): 

  

	 	•	 	Empty and clean all waste receptacles and remove waste paper and rubbish to the designated area. 

  

	 	•	 	Empty, clean and disinfect all sanitary napkin receptacles. 

  

	 	•	 	Wash and disinfect all basins, urinals and bowls using nonabrasive cleaners to remove stains and clean undersides of rim on urinals and bowls. Wash both sides of toilet seats. 

 

	 	•	 	Clean and polish all mirrors, bright work and enameled surfaces. 

  

	 	•	 	Spot clean all partitions, tile walls, doors and outside surfaces of all dispensers and receptacles. Damp wipe all lavatory tops and remove water spots from wall surfaces next to dispensers/receptacles. Spot clean
around light fixtures. 

  

	 	•	 	Clean and disinfect all flush-o-meters, piping and other metal. 

  

	 	•	 	Fill toilet tissue, soap, towels and sanitary napkin dispensers. Do not place any extra supplies on top of dispenser or counter top. 

 

	 	•	 	Sweep, wet mop and thoroughly rinse floor. Clean all corners and edges to prevent dirt buildup. Do not leave standing water on the floor. 

 

	 	•	 	Dump at least one gallon of water down restroom floor drain and wipe clean drain grill. 

  

	 	B.	Services performed as necessary or in the frequency stated: 

  

	 	•	 	Scrub all floors at least monthly - intent is to prevent buildup of dirt in grout. 

  

	 	•	 	Thoroughly wash all partitions at least monthly. 

  

	 	•	 	Dust all walls at least quarterly. 

  

	 	•	 	Wash all walls at least semi-annually. 

  

	 	•	 	Clean light fixtures at least annually. 

  

	 	•	 	Clean air vent grills at least quarterly. 

  

	 	•	 	Clean soap dispensers. 

 It is the intention to keep the restrooms thoroughly clean and not to
use a fragrance or deodorant to mask odor. Disinfectants must be odorless. Abrasive cleaners or products that may damage any surface are not permitted. 
  

	III.	ELEVATORS 

  

	 	A.	Services performed nightly: 

  

	 	•	 	Dust light lenses, damp wipe, if necessary. 

  

	 	•	 	Spot clean walls. 

  

	 	•	 	Dust or damp wipe finish metal and floor buttons. 

  

					
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	 	•	 	Clean and polish all thresholds and tracks. 

  

	 	•	 	Carpet floors; clean edges, vacuum and spot. 

  

	 	•	 	Tile or other floor in service cars; sweep, wash, dress and buff. 

  

	 	•	 	Spot-clean hall side of doors, frame and hall call button. 

  

	 	B.	Services performed, as necessary: 

  

	 	•	 	Dust ceiling. 

  

	 	•	 	Shampoo carpet. 

  

	 	•	 	Wash hall side of doors and frame. 

  

	IV.	LOBBY 

  

	 	A.	Services performed nightly: 

  

	 	•	 	Sweep and special clean the limestone and granite flooring. 

  

	 	•	 	Clean all edges and corners. Machine clean, as necessary. 

  

	 	•	 	Clean glass doors, adjacent glass panels and glass top of revolving doors. 

  

	 	•	 	Clean and polish all transoms, metal doors, door frames, etc. 

  

	 	•	 	Dust vases, vase stands and other horizontal surfaces. 

  

	 	•	 	Empty all trash receptacles, clean and polish. 

  

	 	•	 	Clean pay phones as required. 

  

	 	•	 	Spot clean directory board and graphics. 

  

	 	•	 	Clean security desk and surrounding area. 

  

	 	•	 	Spot clean all walls. 

  

	 	B.	Services performed as necessary or in the frequency stated: 

  

	 	•	 	Dust or wash granite walls. 

  

	 	•	 	Clean all air diffusers/grills. 

  

	 	•	 	Clean gold leaf niches. 

  

	 	•	 	Vacuum mats. 

  

	V.	COMMON AREAS 

  

	 	A.	Services performed nightly: 

  

	 	•	 	Sweep/vacuum floor. 

  

	 	•	 	Spot clean carpet as necessary. 

  

	 	•	 	Spot clean walls - dust as necessary. 

  

	 	•	 	Clean and sanitize drinking fountains, follow with stainless steel cleaner as needed, taking care not to leave any oily residue. 

  

	 	•	 	Spot clean any windows and partition glass. 

  

	 	•	 	Empty, clean and polish trash receptacles. 

  

					
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	 	B.	Services performed as necessary or in the frequency stated: 

  

	 	•	 	Dust light fixtures - not less than monthly. 

  

	 	•	 	Dust/wash air vent grills. 

  

	 	•	 	Dust all doors monthly. 

  

	 	•	 	Dust and damp wipe exit signs quarterly. 

  

	VI.	BUILDING STAIRWAYS AND LANDINGS 

 Services performed as necessary or in the
frequency stated: 
  

	 	•	 	Police for trash, remove gum daily. 

  

	 	•	 	Sweep/spot mop not less than weekly. 

  

	 	•	 	Dust handrails and other vertical members, twice per month. 

  

	 	•	 	Dust light fixtures - not less than quarterly. 

  

	 	•	 	Dust/wash all vents and painted piping monthly. 

  

	 	•	 	Clean prints and marks from doors. 

  

	 	•	 	Clean/wash transoms high and low. 

  

	VII.	SERVICE HALL-FREIGHT ELEVATOR VESTIBULES 

 Services performed nightly: 

 

	 	•	 	Sweep, then spot mop or wet mop nightly. 

  

	 	•	 	Spray buff not less than weekly. 

  

	 	•	 	Strip and recoat quarterly. 

  

	 	•	 	Clean/wash transoms high and low. 

  

	 	•	 	Clean prints and marks from doors. 

  

	 	•	 	Dust/wash all vents and painted piping. 

  

	 	•	 	Dust light fixtures-not less than quarterly. 

  

	 	•	 	Spot clean walls. 

  

	VIII.	MANAGER’S OFFICE, STAGING AREA, JANITORIAL ROOMS 

 Services performed as
necessary or in the frequency stated: 
  

	 	•	 	Maintain all janitorial areas in a clean, neat and orderly condition at all times. 

  

	 	•	 	Maintain office and staging area in same fashion as tenant office areas. 

  

	IX.	LOADING DOCK 

  

	 	A.	Services performed nightly: 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	G-4	 	

	 	•	 	Place all trash in compactor. 

  

	 	•	 	Sweep dock and dock area and remove any spots/spills. 

  

	 	•	 	Spot clean walls by dock office and service elevator. 

  

	 	•	 	Clean glass, empty trash, sweep/clean floor in dock office. 

  

	 	•	 	Clean and polish ash urn - replace sand as necessary. 

  

	 	B.	Services performed as necessary or in the frequency stated: 

  

	 	•	 	Steam and/or power wash all loading dock base, truck areas and exterior (top and sides) of trash compactor - not less than monthly. 

  

	 	•	 	Steam and/or power wash all loading dock vertical walls - not less than annually. 

  

	 	•	 	Maintain floor surface in dock office. 

 Upon completion of nightly duties, the floor
supervisors will insure that all offices have been cleaned and left in a neat and orderly condition, all lights have been turned off and all areas properly secured. Supervisors will be responsible for completing a Nightly Supervisor Checklist which
details any problems encountered during the course of cleaning either the tenant space or public areas. 
  

	X.	COURTYARD/SIDEWALK 

  

	 	A.	Service performed nightly: 

  

	 	•	 	Police for trash - all areas including planting beds and along curb. 

  

	 	•	 	Empty trash barrels, clean and polish/wipe off. 

  

	 	•	 	Straighten and dust off furniture. 

  

	 	•	 	Remove gum from area. 

  

	 	B.	Services performed as necessary or in the frequency stated: 

  

	 	•	 	Steam and/or power wash granite pavers, sidewalks, and stairs. 

  

	 	•	 	Clean/wash fountains, chairs and trash receptacles. 

  

	XI.	DAY SERVICE (Specific written job descriptions will be developed for each day person’s position. The tasks below are meant only to serve as guidelines.) 

 

	 	1.	At least twice daily check men’s and women’s washrooms for paper stock replacement. Wipe down and clean all lavatory tops and fixtures. Police restroom to prevent paper/trash on floor. Report to Management
Office any problems. 

  

	 	2.	Vacuuming of elevator cabs will be performed at least three (3) times daily. All smudges, fingerprints to be removed from metal surfaces at same time vacuuming is done. 

 

	 	3.	There will be a constant surveillance of the lobby, courtyard and sidewalk areas to insure cleanliness. All sand urns will be sifted at least three (3) times daily and sand stamped. Damp mop where necessary all
spills/water. Dust mop as required. Remove fingerprints from door glass and metal surfaces at least three (3) times daily. Clean trash from tree grates and planters. 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	G-5	 	

	 	4.	The first floor exterior side of all retail glass will be maintained as needed. Retail door glass will be spot cleaned at least once daily. 

 

	 	5.	The loading dock and service hallway will be policed for trash. 

  

	 	7.	Perform all special cleaning needs of individual tenants as authorized by the property manager for the Building. 

  

	 	8.	Perform all specific duties as detailed in the day maid/day porter job description. 

  

	XII.	FITNESS CENTER 

  

	 	A.	Services performed nightly: 

  

	 	•	 	Wash both sides of entrance door glass and windows. Polish door frames and thresholds. 

  

	 	•	 	Spot clean glass, mirrors and reflective surfaces to remove fingerprints and smudges. 

  

	 	•	 	Spot clean doors, walls and wall switches. 

  

	 	•	 	Dust horizontal surfaces and ledges. 

  

	 	•	 	Clean, sanitize and polish drinking fountains & spouts. Remove splash marks from surrounding walls. 

  

	 	•	 	Wipe clean all exercise equipment and components. Disinfect surfaces where body contact is made. 

  

	 	•	 	Dust and wet mop floors, using a germicidal detergent approved by Manager. 

  

	 	•	 	Vacuum all carpeted areas and walk off mats. Spot clean to remove stains. 

  

	 	•	 	Dust and spot clean all cove base and low horizontal ledges. 

  

	 	•	 	Clean and sanitize lockers, benches, and reflective surfaces. 

  

	 	•	 	Clean and inspect shower curtains for cleanliness and condition. Notify Manager of any repairs or defects. 

  

	 	•	 	Replenish consumable supplies, including toiletries provided by Manager. 

  

	 	•	 	Report any exercise equipment in need of repair to Manager. 

  

	 	B.	Services performed as necessary or in the frequency stated: 

  

	 	•	 	Wash all mirrors. 

  

	 	•	 	Detail vacuum all carpeted areas, including edges and around equipment. 

  

	 	•	 	Machine or hand scrub all tiled floors and walls. 

  

	 	•	 	High and low dust all vertical and horizontal ledges and surfaces, including light fixtures, signage, air diffusers and grilles. 

  

	NOTE:	It is the expectation of Landlord and its property manager to obtain first class janitorial services comparable to or better than Comparable Buildings. Landlord’s intent is not to create a specification that
detailed everything but that demonstrated the high level of cleanliness and quality required for the project. 

  

					
	 FIFTH AMENDMENT TO OFFICE LEASE
 (PIER 1
SERVICES COMPANY)
 Active 16013260.14
	 	G-6

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