Document:

Exhibit

Exhibit 10.1

NOBLE ENERGY, INC.
SHORT-TERM INCENTIVE PLAN

ARTICLE I. ESTABLISHMENT AND PURPOSE

1.1    Establishment.  Noble Energy, Inc., a Delaware corporation (“Noble”), hereby establishes the Noble Energy, Inc. Short-Term Incentive Plan for the benefit of certain employees.

1.2    Purpose.  The purpose of this Plan is to provide cash incentive compensation opportunities for eligible employees of an Employer.  The Plan is designed to provide a competitive bonus to eligible employees to assist in the attraction, motivation, and retention of superior talent, and to align such employees’ interests with those of the Employer and its stockholders through the achievement of established performance goals attributable to a Plan Year.

1.3    Effective Date.  This Plan shall become effective on January 1, 2018 (the “Effective Date”).

ARTICLE II. DEFINITIONS

2.1    “Affiliate” means any corporation or other type of entity in a chain of corporations or other entities in which each corporation or other entity has a controlling interest in another corporation or other entity in the chain, starting with Noble and ending with the corporation or other entity that has a controlling interest in the corporation or other entity for which the employee provides direct services.

2.2    “Award” means a cash bonus award granted to a Participant under the Plan for a Plan Year.

2.3    “Award Payment Date” means the date upon which payment of an Award is actually made to a Participant, which date shall be selected by the Company or the Committee; provided, however, the Award Payment Date shall be no later than the last day of the calendar year immediately following the Plan Year for which the Award is attributable.

2.4    “Base Salary” means the Participant’s (a) annual base salary as in effect at the end of the Plan Year for exempt employees and/or (b) annualized base salary as in effect at the end of the Plan Year, plus overtime worked during the Plan Year, for non-exempt employees.

2.5    “Board” means the Board of Directors of Noble.

2.6    “Bonus Pool Factor” means the percentage, within the range of 0% to 250%, as determined by the Committee in its discretion, to be effective for a Plan Year.

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2.7    “CEO” means the then-current Chief Executive Officer of Noble.

2.8    “Code” means the Internal Revenue Code of 1986, as amended, including regulations and other authoritative guidance thereunder and successor provisions thereto.

2.9    “Committee” means the Compensation, Benefits and Stock Option Committee of the Board or such other delegate of the Board as may be designated by the Board from time to time to administer the Plan.

2.10    “Company” means Noble.

2.11    “Employer” means the Company and any Affiliate that has adopted this Plan with the consent of the Company.

2.12    “Noble” means Noble Energy, Inc., a Delaware corporation, or any successor thereto.

2.13    “Participant” means an individual who is an employee of an Employer, as designated on its payroll records, who has been granted an Award.

2.14    “Plan” means the Noble Energy, Inc. Short-Term Incentive Plan, as it may be amended from time to time.

2.15    “Plan Year” means a calendar year, with the first Plan Year commencing on the Effective Date.

2.16    “Section 409A” means Section 409A of the Code.

2.17    “Target Bonus Percentage” means the percentage of Base Salary established for a Participant that is considered in determining the amount of a Participant’s Award for a Plan Year.  Target Bonus Percentages and adjustments (a) for executives are made by the Committee in its discretion and (b) for non-executives are made by the CEO or CEO’s delegate in his or her discretion.  The Target Bonus Percentage utilized for a Participant is the Target Bonus Percentage in effect at the end of the applicable Plan Year.

ARTICLE III. PLAN ADMINISTRATION

3.1    Plan Administrator and Discretionary Authority. This Plan shall be administered by the Committee. The Committee shall have total and exclusive responsibility to control, operate, manage and administer this Plan in accordance with its terms. The Committee shall have all the authority that may be necessary or helpful to enable it to discharge its responsibilities with respect to this Plan. Without limiting the generality of the preceding sentence, the Committee shall have the exclusive right to (a) interpret this Plan, (b) decide all questions concerning eligibility for, and the amount of, Awards granted or paid under this Plan, (c) construe any ambiguous provision of this Plan, (d) correct any defect, supply any omission or reconcile any inconsistency in this Plan, (e) issue administrative guidelines as an aid in administering this Plan and make changes in such guidelines as the Committee from time to time deems proper, (f) make regulations for carrying out this Plan and make changes to such regulations as the Committee from time to time deems proper, (g) to the extent permitted under this Plan, grant waivers of Plan terms, conditions, restrictions and limitations, and (h) take any and all other actions that the Committee deems to be necessary or 

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advisable for the proper operation or administration of this Plan. The Committee shall have authority, in its sole discretion, with respect to all matters related to the discharge of its responsibilities and the exercise of its authority under this Plan, including without limitation, its construction of the terms of this Plan and its determination of eligibility for participation in, and the terms of Awards granted under, this Plan. It is at the discretion of the Committee whether there will be any Awards granted under this Plan during any Plan Year.  There is no guarantee that any Awards will be granted regardless of Company, Employer, or individual performance.  The decisions of the Committee and its actions with respect to this Plan shall be final, conclusive and binding on all persons having or claiming to have any right or interest in or under this Plan.  

3.2    Delegation of Authority. The Committee shall have the authority, in its discretion, to delegate its duties and functions under the Plan to the CEO or any other officer of an Employer, other members or committees of the Board, or such other agents as it may appoint from time to time; provided, however, the Committee may not delegate a duty hereunder where such delegation would: (a) violate applicable law, or (b) would determine the amount of an Award to a Named Executive Officer as identified in the Proxy Statement for the applicable Plan Year.

3.3    Liability; Indemnification. No member of the Committee or the CEO, nor any person to whom the Committee or CEO has delegated any authority under the Plan, shall be personally liable for any action, interpretation or determination made in good faith with respect to the Plan or any Award.  Each current or former member of the Committee and the CEO, and any current or former employee of the Company or an Affiliate who has been delegated a duty by the Committee or CEO hereunder, shall be fully indemnified, defended and held harmless by the Company with respect to any liability, cost or damage that he or she may incur with respect to any such action, interpretation or determination made in good faith under the Plan, to the maximum extent permitted by applicable law.  This indemnification, defense and hold harmless obligation of the Company shall be in addition to, and shall not supersede or replace, any other indemnification policy or agreement that covers such individual.

ARTICLE IV. ELIGIBILITY

4.1    Employment During Plan Year. Subject to the provisions of this Article IV, for any particular Plan Year all regular employees of an Employer are eligible to participate in the Plan if employed during the Plan Year.  Temporary employees, interns, contractors, and authorized agents are not eligible to participate in the Plan.  Awards for any such employees who first become Participants after the first day of the Plan Year will be prorated for the portion of such Plan Year that Participant was employed by an Employer.

4.2    Employment on Award Payment Date. A Participant must remain continuously employed by the Company or Affiliate through the Award Payment Date in order to be eligible to receive an Award for such Plan Year, except as provided in Section 4.4.  A Participant whose employment with the Company or Affiliate has terminated prior to the Award Payment Date for any reason, other than as set forth in Section 4.4, is not eligible to receive any Award, or portion thereof, for such Plan Year.

4.3    Satisfactory Performance. A Participant must maintain satisfactory performance, as determined by the Company, in order to be eligible for an Award for a Plan Year.  Participants who have been placed on a Performance Improvement Plan or equivalent (“PIP”) may be suspended from participating in the Plan for the period of time that the Participant is on the PIP.  A Participant 

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may be reinstated as an eligible Participant under the Plan if performance improves.  Suspension and reinstatement determinations will be made in the discretion of the applicable department Vice President (or Executive Officer if there is no department Vice President).  Participants will be notified in writing when their eligibility from the Plan is suspended and/or reinstated.  A Participant who is suspended for part of a Plan Year may be eligible to receive a partial prorated Award for such Plan Year.

4.4    Death of Participant. Any Participant whose employment with the Employer is terminated during a Plan Year, or thereafter prior to the Award Payment Date for such Plan Year, due to the Participant’s death shall remain eligible to receive payment under an Award for such Plan Year.  If the Participant’s death occurs prior to the end of the Plan Year, the amount of the Award shall be prorated to the date of death and determined by the Committee or its delegate in its discretion.  In the event of a Participant’s death, payment shall be made to the Participant’s estate as soon as administratively practicable following the end of the Plan Year containing the date of death, but only after proper instructions have been received by the Company from the legally appointed representative or executor of the Participant’s estate.

4.5    Approved Leaves of Absence.  A Participant who takes an approved leave of absence will continue to be eligible to participate in the Plan for up to the first three (3) months of the approved leave period.  When permitted by applicable law, Participants will be suspended from participating in the Plan for the remainder of their approved leave period exceeding the first three (3) months.  A Participant who is suspended for part of a Plan Year may be eligible to receive a partial prorated Award for such Plan Year.

4.6    Prorated Awards. In the event that a Participant is determined to be eligible for a prorated Award for a Plan Year, such proration shall be determined based on the number of days during the Plan Year for which the Participant was eligible to participate in the Plan.

ARTICLE V. AMOUNT OF AWARDS

5.1    Performance Goals. Each Plan Year, senior management of the Company will prepare and present to the Committee its recommendations with regard to the performance objectives to be considered for purposes of the Plan for such Plan Year. The performance measure(s) to be used for purposes of Awards shall be set in the Committee’s discretion.  The performance measures may consist of one or more operating, financial, safety, and/or market-based criteria. The performance goals based on these performance measures may also be made relative to the performance of other business entities.

5.2    Target Performance Levels. Based upon the recommendations of management and such other factors as the Committee may determine and utilize in its discretion, the Committee shall determine the performance goals for each Plan Year and the target level of performance for each performance goal.

5.3    Modifying Performance Goals and Target Levels.  At any time during the Plan Year, the Committee may, in its discretion, cancel or revise its determination for such Plan Year made with respect to the performance goals or the target level of performance for each performance goal.

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5.4    Bonus Pool Factor.  After the end of each Plan Year, the Committee will review the performance results for each performance goal and its target level of performance.  Based upon those results, the Committee will determine and then approve or modify the applicable Bonus Pool Factor.  

5.5    Individual Participant Awards.  Following the determination of the Bonus Pool Factor, Awards for the respective Plan Year will be determined by multiplying the Participant’s Base Salary by the Participant’s Target Bonus Percentage multiplied by the applicable Bonus Pool Factor, which product will be subject to proration, if applicable, as provided in Article IV, and then further adjusted for such individual, group, or other performance factors as the Committee or its delegate determines are appropriate in its discretion. If a Participant changes employment status during the Plan Year (e.g. between full time and part time, etc.) and where permitted by applicable law, the Participant’s Award (before any applicable proration and/or further adjustments) may be adjusted to reflect a weighted average of the annualized Awards the Participant would be eligible for under each employment status, weighted by the portion of the Plan Year the Participant was in each employment status.

ARTICLE VI. PAYMENT OF AWARDS

6.1    Award Payment Date. Awards under the Plan shall be paid in one lump sum cash payment by the Employer on the Award Payment Date.  No payment of any Award shall be made or owed to any individual who is no longer employed by the Company or Affiliate on the Award Payment Date, except in the case of a Participant’s death as provided in Section 4.4.

6.2    Withholdings from Award. The Employer shall be entitled to deduct from any payment made under this Plan the amount of all applicable income taxes, employment taxes, and other deductions or offsets required or authorized by law to be made or withheld with respect to such payment.

ARTICLE VII. AMENDMENT AND TERMINATION

7.1    Plan Amendment and Termination. The Committee shall have the exclusive right and authority to amend, modify, suspend, or terminate the Plan, at any time in its complete discretion, with or without notice to any Participant.

ARTICLE VIII. MISCELLANEOUS

8.1    Compliance with Law. It is intended that payments under the Plan will satisfy, to the full extent possible, the exemption from the application of Section 409A (and any state law of similar effect) provided under Treasury Regulation Section 1.409A-l (b)(4) or any successor thereto (a “short-term deferral”).  Any provisions of the Plan that are subject to Section 409A are intended to comply with all applicable requirements of Section 409A, or an exemption from the application of Section 409A, and shall be interpreted and administered accordingly.  Any provision of this Plan to the contrary notwithstanding, the Committee may revoke any Award if it is contrary to any applicable law or governmental regulation, or modify an Award to bring it into compliance with any applicable law or government regulation, to the full extent permitted by applicable law or regulation. 

8.2    Binding Effect. The obligations of the Company under this Plan shall be binding upon any successor corporation or organization resulting from the merger, consolidation or other 

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reorganization of the Company, or upon any successor corporation or organization succeeding to all or substantially all of the assets and business of the Company. The terms and provisions of this Plan shall be binding upon each Participant, and his or her heirs, legatees, distributes, executors and legal representatives.

8.3    Nonalienation of Benefits. No right or benefit under this Plan shall be subject to anticipation, alienation, sale, assignment, pledge, encumbrance, or charge by any Participant (or any beneficiary thereof), and any attempt to anticipate, alienate, sell, assign, pledge, encumber, or charge the same shall be void and without effect.  No right or benefit hereunder shall in any manner be liable for or subject to any debts, contracts, liabilities or torts of the person entitled to such benefit unless and until actually received by such person.

8.4    Severability. If any provision of this Plan is held to be illegal or invalid for any reason, the illegality or invalidity shall not affect the remaining provisions of this Plan, but such provision shall be fully severable and this Plan shall be construed and enforced as if the illegal or invalid provision had not been included herein or therein.

8.5    No Restriction of Corporate Action. Nothing contained in this Plan shall be construed to prevent the Company or any Affiliate from taking any corporate action (including any corporate action to suspend, terminate, amend or modify this Plan) that is deemed by the Company or such Affiliate to be appropriate or in its best interest, whether or not such action would have an adverse effect on this Plan or on any Awards made or to be made under this Plan. No Participant or other person shall have any claim against the Company or any Affiliate as a result of any such action.

8.6    Governing Law.  This Plan shall be governed by and construed in accordance with the internal laws (and not the principles relating to conflicts of laws) of the State of Texas except as may be superseded by applicable federal law, and venue of any action or proceeding relating to, or arising out of, the Plan shall be exclusively in any court of competent jurisdiction situated in Harris County, Texas.  

8.7    No Guarantee of Tax Consequences. No person connected with this Plan in any capacity, including without limitation the Employer, Committee and CEO, and their respective directors, officers, members, agents and employees, makes any representation, commitment or guarantee that any tax treatment, including without limitation federal, state and local income, estate and gift tax treatment, will be applicable with respect to any Award or payment made for the benefit of a Participant under this Plan.

8.8    Continued Employment or Service. Nothing contained in this Plan shall confer upon any Employee the right or continued right to be a Participant for any Plan Year or the right to continue in the employ or service of the Company or an Affiliate.  In addition, nothing herein shall interfere in any way with the rights of the Company or Affiliate to terminate a Participant's employment or service at any time, with or without cause, or interfere in any way with the right of the Company or an Affiliate to increase or decrease the compensation (including Awards) of any employee or Participant.  In addition, nothing contained in this Plan shall (a) be evidence of any agreement or understanding, express or implied, that the Employer will employ a Participant in any particular position, at any particular rate of remuneration, or for any particular time period; or (b) create a fiduciary relationship between a Participant and the Employer or Committee.

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8.9    General Creditor Status. The Plan is intended to constitute an unfunded bonus program that is not subject to the Employee Retirement Income Security Act of 1974, as amended (“ERISA”).  No Participant shall have any lien on or rights with respect to any assets of the Company or any other entity, including any Affiliate, and the Participant’s right, if any, to receive payment for an Award shall be no greater than those of a general creditor of the Employer that employs such Participant.

8.10    Modification. The adoption of the Plan, and any modification or amendment of the Plan, does not imply any commitment to continue or adopt the same plan, or any such modification, or any other plan for incentive compensation for any succeeding year.  This Plan is intended to be the sole and exclusive short-term incentive plan of each Employer and supersedes any short-term incentive plans, annual bonus plans, or similar arrangements previously adopted by the Employer in their entirety, and all such prior plans and arrangements are hereby null and void and of no further force or effect as of the Effective Date.

8.11    Miscellaneous. Headings are given to the articles and sections of this Plan solely as a convenience to facilitate reference. Such headings shall not be deemed in any way material or relevant to the construction of this Plan or any provisions hereof. The use of the masculine gender shall also include within its meaning the feminine. Wherever the context of this Plan dictates, the use of the singular shall also include within its meaning the plural, and vice versa.

IN WITNESS WHEREOF, this Plan has been approved and executed on this 25th day of July 2018, to be effective as of the Effective Date.

NOBLE ENERGY, INC.

BY:   /s/ David L. Stover
Name:    David L. Stover
Title:     Chairman of the Board, President, and
Chief Executive Officer

7EX-10.1

 Exhibit 10.1 

Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Exchange Act of
1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 
  

 
 STATE OF TEXAS 
 COUNTY OF
TRAVIS 
 This CANCER RESEARCH GRANT CONTRACT (“Contract”) is by and between the Cancer Prevention and Research Institute of
Texas (“CPRIT”), hereinafter referred to as the “INSTITUTE”, acting through its Chief Executive Officer, and Ruga Corporation, hereinafter referred to as the “RECIPIENT”,
acting through its authorized signing official. 
 RECITALS 

WHEREAS, pursuant to TEX. HEALTH & SAFETY CODE, Ch. 102, the INSTITUTE may make grants to public and private persons in this state for research into
the causes and cures for all types of cancer in humans; facilities for use in research into the causes and cures for cancer; research to develop therapies, protocols, medical pharmaceuticals, or procedures for the cure or substantial mitigation of
all types of cancer; and cancer prevention and control programs. 
 WHEREAS, Article III, Section 67 of the Texas Constitution expressly authorizes the
State of Texas to sell general obligation bonds on behalf of the INSTITUTE and for the INSTITUTE to use the proceeds from the sale of the bonds for the purposes of cancer research and prevention programs in this state. 

WHEREAS, the INSTITUTE issued a request for applications for RFA P-15-NEWCO-4: New Company Product Development Awards on or about January 2015. 
 WHEREAS, pursuant to TEX.
HEALTH & SAFETY CODE § 102.251, and after a review by the INSTITUTE’s scientific research and prevention program committees, the INSTITUTE has approved a Grant (defined below) to be awarded to the RECIPIENT. 

WHEREAS, to ensure that the Grant provided to the RECIPIENT pursuant to this Contract is utilized in a manner consistent with Tex. Const. Article III,
Section 67 and other laws, and in exchange for receiving such Grant, the RECIPIENT agrees to comply with certain conditions and deliver certain performance. 

WHEREAS, the RECIPIENT and the INSTITUTE desire to set forth herein the provisions relating to the awarding of such monies and the disbursement thereof to the
RECIPIENT. 
 IN CONSIDERATION of the Grant and the premises, covenants, agreements, and provisions contained in this Contract, the parties agree to
the following terms and conditions: 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

DP150127 
 Amato Giaccia 

 

 Article I 

DEFINITIONS 
 The following terms shall
have the following meaning throughout this Contract and any Attachments and amendments. Other terms may be defined elsewhere in this Contract. 
 (1)
Collaborator-any entity other than the RECIPIENT having one or more personnel participating in the Project and (a) designated as a collaborator in the application submitted by the RECIPIENT requesting the Grant funds awarded by
the INSTITUTE, or (b) otherwise approved in writing as a collaborator by the INSTITUTE. 
 (2) Contractor-any person or entity, other than
a Collaborator or the RECIPIENT (or their respective personnel), who is contracted by the RECIPIENT to perform activities for the Project. 
 (3)
Equipment-an article of tangible, nonexpendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. 

(4) Grant-the funding assistance authorized by TEX. HEALTH & SAFETY CODE, Ch. 102 in the amount specified in Section 2.01 and
awarded by the INSTITUTE to the RECIPIENT to carry out the Project pursuant to the terms and conditions of this Contract. 
 (5) Indirect
Costs-the expenses of doing business that are not readily identified with a particular grant, contract, project, function or activity, but are necessary for the general operation of the organization or the performance of the
organization’s activities. 
 (6) Institute-Funded Activity-all aspects of work conducted on or as part of the Project. 

(7) Non-Profit Organization-a university or other institution of higher education or an organization of
the type described in 501(c)(3) of the Internal Revenue Code of 1986, as amended (26 U.S.C. 501 (c)(3)) and exempt from taxation under 501 (a) of the Internal Revenue Code (26 U.S.C. 501 (a)) or any nonprofit scientific or educational organization
qualified under a state nonprofit organization statute. 
 (8) Principal Investigator/Program Director-the individual designated by the
RECIPIENT to direct the Project who is principally responsible and accountable to the RECIPIENT and the INSTITUTE for the proper conduct of the Project. References herein to “Principal Investigator/Program Director” include Co-Principal
Investigators or Co-Program Directors as well. The Principal Investigator/Program Director and Co-Principal Investigators or
Co-Program Directors are set forth on Attachment A. 
 (9) Project-the activities specified or
generally described in the Scope of Work or otherwise in this Contract (including without limitation any of the Attachments to the Contract) that are approved by the INSTITUTE for funding, regardless of whether the INSTITUTE funding constitutes all
or only a portion of the financial support necessary to carry them out. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

DP150127 
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 (10) Recipient Personnel-The RECIPIENT ’s Principal Investigator/Program Director and
RECIPIENT’s employees and consultants working on the Project. 
 Article II 

GRANT AWARD 

Section 2.01 Award of Monies. In accordance with the provisions of this Contract and any applicable agency administrative rules, the
INSTITUTE shall disburse the proceeds of the Grant to the RECIPIENT in an amount not to exceed $20,000,000 to be used solely for the Project. This award is subject to compliance with the Scope of Work and demonstration of progress towards
achievement of the milestones set forth in Section 2.02. This Grant is not intended to be a loan of money. 
 Section 2.02 Scope
of Work and Milestones. The RECIPIENT shall perform the Project in accordance with this Agreement and as outlined in Application DP150127 submitted by the RECIPIENT and approved by the INSTITUTE. The RECIPIENT shall conduct the Project
within the State of Texas with Texas-based employees, Contractors and/or Collaborators unless otherwise specified in the Scope of Work or the Approved Budget. The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment A in their entirety,
incorporate them as if fully set forth herein, and agree that the Project description, goals, timeline and milestones included as Attachment A accurately reflect the Scope of Work of the Project to be undertaken by the RECIPIENT (the
“Scope of Work”) and the milestones expected to be achieved. RECIPIENT and the INSTITUTE mutually agree that the outcome of scientific research is unpredictable and cannot be guaranteed. The RECIPIENT shall use commercially
reasonable efforts to complete the goals of the Project pursuant to the timeline reflected in Attachment A and shall timely notify the INSTITUTE if circumstances occur that materially and adversely affect completion thereof. Modifications, if any,
to the Scope of Work must be agreed to in writing by both parties as set forth in Section 2.06 “Amendments and Modifications” herein. Material changes to the Scope of Work include, but are not limited to, changes in key personnel
involved with the Project, the site of the Project, and the milestones expected to be achieved. 
 Section 2.03 Contract Term. The
Contract shall be effective as of June 01, 2016 (the “Effective Date”) and terminate on May 31, 2019 or in accordance with the Contract termination provisions set forth in Article VIII herein,
whichever shall occur first (the “Termination Date”). Unless otherwise approved by the INSTITUTE as evidenced by written communication from the INSTITUTE to the RECIPIENT and appended to the Contract, Grant funds distributed
pursuant to the Contract shall be expended no earlier than the Effective Date or subsequent to the Termination Date. If, as of the Termination Date, the RECIPIENT has not used Grant money awarded by the INSTITUTE for permissible services, expenses,
or costs related to the Project and has not received approval from the INSTITUTE for a no cost extension to the contract term pursuant to Section 3.11 “Carry Forward of Unspent Funds and No Cost Extension” herein, then the RECIPIENT
shall not be entitled to retain such unused Grant funds from the INSTITUTE. Certain obligations as set forth in Section 9.09 of this Contract shall extend beyond the Termination Date. 

Section 2.04 Contract Documentation. The Contract between the INSTITUTE and the RECIPIENT shall consist of this final, executed
Contract, including the following Attachments to the Contract, all of which are hereby incorporated by reference: 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

DP150127 
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 Section 2.05 Entire Agreement. All agreements, covenants, representations,
certifications and understandings between the parties hereto concerning this Contract have been merged into this written Contract. No prior contemporaneous representation, agreement or understanding, express or implied, oral or otherwise, of the
parties or their agents that may have related to the subject matter hereof in any way shall be valid or enforceable unless embodied in this Contract. 

Section 2.06 Amendments and Modifications. Requested amendments and modifications to the Contract must be submitted in writing to
the INSTITUTE for review and approval (such approval shall not be unreasonably withheld.) Amendments and modifications (including alterations, additions, deletions, assignments and extensions) to the terms of this Contract shall be made solely in
writing and shall be executed by both parties. The approved amendment shall be reflected in Attachment A if it is change to the Scope of Work, or as part of Attachment B if it is a budget amendment, or as part of Attachment F for all other changes.

 Section 2.07 Relationship of the Parties. The RECIPIENT shall be responsible for the conduct of the Project that is the subject
of this Contract and shall direct the activities and at all times be responsible for the performance of Recipient Personnel, Collaborators, Contractors and other agents. The INSTITUTE does not assume responsibility for the conduct of the Project or
any Institute-Funded Activity that is the subject of this Contract. The INSTITUTE and the RECIPIENT shall perform their respective obligations under this Contract as independent contractors and not as agents, employees, partners, joint venturers, or
representatives of the other party. Neither party is permitted to make representations or commitments that bind the other party. 

Section 2.08 Subcontracting. Any and all subcontracts entered into by the RECIPIENT in relation to the performance of activities
under the Project shall be in writing and shall be subject to the requirements of this Contract. Without in any way limiting the foregoing, the RECIPIENT shall enter into and maintain a written agreement with each such permitted Contractor with
terms and conditions sufficient to ensure the RECIPIENT fully complies with the terms of this Contract, including without limitation the terms set forth in Attachments C, D, and E. The RECIPIENT agrees that it shall be responsible to the INSTITUTE
for the performance of and payment to any Contractor. Any reimbursements made by the RECIPIENT to a Contractor shall be made in accordance with the applicable provisions of TEX. GOV’T. CODE, Ch. 2251. 

Section 2.09 Transfer or Assignment by the Recipient. This Contract is not transferable or otherwise assignable by the RECIPIENT,
whether by operation of law or otherwise, without the prior written consent of the INSTITUTE, except as provided in this Section 2.09. Any such attempted transfer or assignment without the prior written consent of the INSTITUTE (except as
provided in this Section 2.09) shall be null, void and of no effect. For purposes of this section, an assignment or transfer of this Contract by the RECIPIENT in connection with a merger, transfer or sale of all or substantially all of the
RECIPIENT’s 
  

	 	(a)	 Attachment A – Project Description, Goals and Timeline 

 

	 	(b)	 Attachment B – Approved Budget, including changes approved by the INSTITUTE subsequent to execution of the
Contract. 

  

	 	(c)	 Attachment C – Assurances and Certifications 

 

	 	(d)	 Attachment D – Intellectual Property and Revenue Sharing 

assets or business related to this Contract or a consolidation, change of control or similar transaction involving the RECIPIENT shall not be deemed to
constitute a transfer or assignment, so long as such action does not impair or otherwise negatively impact the revenue sharing terms in Attachment D. Nothing herein shall be interpreted as superseding the requirement that the Project be
undertaken in Texas with Texas-based employees. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

DP150127 
 Amato Giaccia 

 

 If the Principal Investigator leaves the employment of the RECIPIENT or is replaced by the RECIPIENT for any
reason during the course of the Grant with someone who is not already designated a co-Principal Investigator in the Application, the RECIPIENT shall notify the INSTITUTE prior to replacing the Principal
Investigator. Written approval by the INSTITUTE is required for the replacement of the Principal Investigator with someone who is not already a co-Principal Investigator in the Application, which approval
shall not be unreasonably withheld, conditioned or delayed. 
 Section 2.10 Representations and Certifications. The RECIPIENT
represents and certifies to the best of its knowledge and belief to the INSTITUTE as follows: 
 (a) It has legal authority to enter into, execute, and
deliver this Contract, and all documents referred to herein, and it has taken all actions necessary to its execution and delivery of such documents; 
 (b)
It will comply with all of the terms, conditions, provisions, covenants, requirements, and certifications in this Contract, applicable statutory provisions, agency administrative rules, and all other documents incorporated herein by reference; 

(c) It has made no material false statement or misstatement of fact in connection with this Contract and its receipt of the Grant, and all of the information
it previously submitted to the INSTITUTE or that it is required under this Contract to submit to the INSTITUTE relating to the Grant or the disbursement of any of the Grant is and will be true and correct at the time such statement is made; 

(d) It is in compliance in all material respects with provisions of its charter and of the laws of the State of Texas, and of the laws of the jurisdiction in
which it was formed, and (i) there are no actions, suits, or proceedings pending, or threatened, before any judicial body or governmental authority against or affecting its ability to enter into this Contract, or any document referred to
herein, or to perform any of the material acts required of it in such documents and (ii) it is not in default with respect to any order, writ, injunction, decree, or demand of any court or any governmental authority which would impair its
ability to enter into this Contract, or any document referred to herein, or to perform any of the material acts required of it in such documents; 
 (e)
Neither the execution and delivery of this Contract or any document referred to herein, nor compliance with any of the terms, conditions, requirements, or provisions contained in this Contract or any documents referred to herein, is prevented by, is
a breach of, or will result in a breach of, any term, condition, or provision of any agreement or document to which it is now a party or by which it is bound; and 

(f) It shall furnish such satisfactory evidence regarding the representations and certifications described herein as may be required and requested by the
INSTITUTE from time to time. 
 Section 2.11 Reliance upon Representations. By awarding the Grant and executing this Contract, the
INSTITUTE is relying, and will continue to rely throughout the term of this Contract, upon the truthfulness, accuracy, and completeness of the RECIPIENT ’s written assurances, certifications and representations. Moreover, the INSTITUTE would
not have entered into this Contract with the RECIPIENT but for such written assurances, certifications and representations. The RECIPIENT acknowledges that the INSTITUTE is relying upon such assurances, certifications and representations and
acknowledges their materiality and significance. 
 Section 2.12 Contingent upon Availability of Grant Funds. This Contract is
contingent upon funding being available for the term of the Contract and the RECIPIENT shall have no right of action against the INSTITUTE in the event that the INSTITUTE is unable to perform its obligations under this Contract as a result of the
suspension, termination, withdrawal, or failure of funding to the INSTITUTE or lack of sufficient funding of the INSTITUTE for this Contract. If funds become unavailable to the INSTITUTE during the term of the Contract, Section 8.01(c) shall
apply. For the sake of clarity, and except as otherwise provided by this Contract, if this Contract is not funded, then both parties are relieved of all of their obligations under this Contract. The INSTITUTE acknowledges and agrees that the Project
is a multiyear project subject to Tex. Health & Safety Code, Ch. 102, Section 102.257. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 2.13 Confidentiality of Documents and Information. In connection with work
contemplated for the Project or pursuant to complying with various provisions of this Contract, the RECIPIENT may disclose its confidential business, financial, technical, scientific information and other information to the INSTITUTE
(“Confidential Information”). To assist the INSTITUTE in identifying such information, the RECIPIENT shall mark or designate the information as “confidential,” provided however that the failure to so designate does not operate as
a waiver to protections provided by applicable law or this Contract. The INSTITUTE shall use no less than reasonable care to protect the confidentiality of the Confidential Information to the fullest extent permissible under the Texas Public
Information Act, Texas Government Code, Chapter 552 (the “TPIA”), and, except as otherwise provided in the TPIA to prevent the disclosure of the Confidential Information to third parties for a period of time equal to three
(3) years from the termination of the contract, unless the INSTITUTE and the RECIPIENT agree in writing to extend such time period, provided that this obligation shall not apply to information that: 

(a) was in the public domain at the time of disclosure or later became part of the public domain through no act or omission of the INSTITUTE in breach of this
Contract; 
 (b) was lawfully disclosed to the INSTITUTE by a third party having the right to disclose it without an obligation of confidentiality; 

(c) was already lawfully known to the INSTITUTE without an obligation of confidentiality at the time of disclosure; 

(d) was independently developed by the INSTITUTE without using or referring to the RECIPIENT’s Confidential Information; or 

(e) is required by law or regulation to be disclosed. 
 The
INSTITUTE shall hold the Confidential Information in confidence, shall not use such Confidential Information except as provided by the terms of this Contract, and shall not disclose such Confidential Information to third parties without the prior
written approval of the RECIPIENT or as otherwise allowed by the terms of the Contract. Subject in all respects to the terms of this Contract and the TPIA, the INSTITUTE has the right to use and disclose the Confidential Information reasonably in
connection with the exercise of its rights under the Contract. 
 In the event that the INSTITUTE is requested or required (by oral questions,
interrogatories, requests for information or documents in legal proceedings, subpoena, civil investigative demand or other similar process by a court of competent jurisdiction or by any administrative, legislative, regulatory or self-regulatory
authority or entity) to disclose any Confidential Information, the INSTITUTE shall provide the RECIPIENT with prompt written notice of any such request or requirement so that the RECIPIENT may seek a protective order or other appropriate remedy. If,
in the absence of a protective order or other remedy, the INSTITUTE is nonetheless legally compelled to make any such disclosure of Confidential Information to any person, the INSTITUTE may, without liability hereunder, disclose only that portion of
the Confidential Information that is legally required to be disclosed, provided that the INSTITUTE will use reasonable efforts to assist the RECIPIENT, at the RECIPIENT’s expense, in obtaining an appropriate protective order or other reliable
assurance that confidential treatment will be accorded the Confidential Information. To the extent that such Confidential Information does not become part of the public domain by virtue of such disclosure, it shall remain Confidential Information
hereunder. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Article III 

DISBURSEMENT OF GRANT AWARD PROCEEDS 

Section 3.01 Payment of Grant Award Proceeds. The INSTITUTE will advance Grant award proceeds upon request by the RECIPIENT,
consistent with the amounts and schedule as provided in Attachment B. If the RECIPIENT does not request or the Oversight Committee does not authorize advancement of funds for some or the entire Grant award proceeds, disbursement of Grant award
proceeds for services performed and allowable expenses and costs incurred pursuant to the Scope of Work will be on a reimbursement basis. To the extent that completion of certain milestones is associated with a specific tranche of funding as
reflected in the Scope of Work, those milestones shall be accomplished before funding may be provided for next tranche of funding. The INSTITUTE reserves the right to terminate the Contract should a key milestone not be met. 

Section 3.02 Requests for Reimbursement and Quarterly Financial Status Reports. If the RECIPIENT does not receive an advance
disbursement of Grant proceeds, the RECIPIENT ’s requests for reimbursement shall be made on INSTITUTE Form 269a (Financial Status Report). If the RECIPIENT has elected to receive an advance disbursement of Grant proceeds, RECIPIENT shall
submit INSTITUTE Form 269a (Financial Status Report) to document all costs and allowable expenses paid with Grant proceeds. The RECIPIENT shall submit the INSTITUTE Form 269a quarterly to the INSTITUTE within 90 days following the end of the quarter
covered by the bill. A final INSTITUTE Form 269a shall be submitted by RECIPIENT not later than 90 days after the Termination Date. An extension of time for submission deadlines specified herein must be expressly authorized in writing by the
INSTITUTE. 
 Section 3.03 Actual Costs and Allowable Expenses. Because the Approved budget for the Project(s) as set forth in
Attachment B is only an estimate, the parties agree that the RECIPIENT’s billings under this Contract will reflect the actual costs and expenses incurred in performing the Project(s), regardless of the Approved Budget, up to the total
contracted amount specified in Section 2.01 “Award of Monies.” The RECIPIENT shall use Grant proceeds only for allowable expenses consistent with state law and agency administrative rules. Allowable expenses for the Project(s) shall
be only as outlined in the Approved Budget and any modifications to same. 
 Section 3.04 Travel Expenses. Reimbursement for
travel expenditures shall be in accordance with the Approved Budget. Prior written approval from the INSTITUTE must be obtained before travel that exceeds the amount included in the Approved Budget commences. Failure to obtain such prior written
approval shall result in such excess travel costs constituting expenses that may not be taken into account for the purposes of calculating expenditure of Grant funds under this Contract. 

Section 3.05 Budget Modifications. The total Approved Budget and the assignment of costs may be adjusted based on implementation of
the Scope of Work, spending patterns, and unexpended funds, but only by an amendment to the Approved Budget. In no event shall an amendment to the Approved Budget result in payments in excess of the aggregate amount specified in Section 2.01
“Award of Monies” or in approved supplemental funding for the Project, if any. The RECIPIENT may make transfers between or among lines within budget categories without prior written approval provided that: 

 

	 	(a)	 The total dollar amount of all changes of any single line item within budget categories (individually and in
the aggregate) is less than 10% of the total Approved Budget; 

  

	 	(b)	 The transfer will not increase or decrease the total Approved Budget; 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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	 	(c)	 The transfer will not materially change the nature, performance level, or Scope of Work of the Project; and

  

	 	(d)	 The RECIPIENT submits a revised copy of the Approved Budget including a narrative justification of the changes
prior to incurring costs in the new category. 

 All other budget changes or transfers require the INSTITUTE’s express prior written
approval. Transfer of funds between categories in the Project’s Approved Budget may be allowed if requests are in writing, fit within the Scope of Work and the total Approved Budget, are beneficial to the achievement of the objectives of the
Project, and appear to be an efficient, effective use of the INSTITUTE’s funds. 
 Section 3.06 Withholding Payment. The
INSTITUTE may withhold Grant award proceeds from RECIPIENT if required Financial Status Reports (Form 269a) are not on file for previous quarters or for the final period, if material program requirements are not met and remain uncured after a
reasonable time period to cure, if the RECIPIENT is in breach of any material term of this Contract, or in accordance with provisions of this Contract as well as applicable state or federal laws, regulations or administrative rules, and the breach
remains uncured after a reasonable time period to cure. The INSTITUTE shall have the right to withhold all or part of any future payments to the RECIPIENT to offset any prior advance payments made to the RECIPIENT for ineligible expenditures that
have not been refunded to the INSTITUTE by the RECIPIENT. 
 Section 3.07 Grant Funds as Supplement to Budget. The RECIPIENT shall
use the Grant proceeds awarded pursuant to this Contract to supplement its overall budget. These funds will in no event supplant existing funds currently available to the RECIPIENT that have been previously budgeted and set aside for the Project.
The RECIPIENT will not bill the INSTITUTE for any costs under this Contract that also have been billed or should have been billed to any other funding source. 

Section 3.08 Buy Texas. The RECIPIENT shall apply good faith efforts to purchase goods and services from suppliers in Texas to the
extent reasonably possible, to achieve a goal of more than 50 percent of such purchases from suppliers in Texas. 
 Section 3.09
Historically Underutilized Businesses. The RECIPIENT shall use reasonable efforts to purchase materials, supplies or services from a Historically Underutilized Business (HUB). The Texas Procurement and Support Services website will assist in
finding HUB vendors (http://www.window.state.tx.us/procurement.) The RECIPIENT shall complete a HUB report with each annual report submitted to the INSTITUTE in accordance with Attachment E. 

Section 3.10 Limitation on Use of Grant Award Proceeds to Pay Indirect Costs. The RECIPIENT shall not spend more than five percent
of the Grant award proceeds for Indirect Costs. 
 Section 3.11 Carry Forward of Unspent Funds and No Cost Extension. RECIPIENT
may request to carry forward unspent funds into the budget for the next year. Carryover of unspent funds must be specifically approved by the INSTITUTE. The INSTITUTE may approve a no cost extension for the Contract for a period not to exceed six
(6) months after the Termination Date if additional time beyond the Termination date is required to ensure adequate completion of the approved project. The Contract must be in good fiscal and programmatic standing. All terms and conditions of
the Contract shall continue during any extension period and if such extension is approved, notwithstanding Section 2.03, all references to the “Termination Date” shall be deemed to mean the date of expiration of such extension period.

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Article IV 

AUDITS AND INSPECTIONS 

Section 4.01 Record Keeping. The RECIPIENT, each Collaborator whose costs are funded in all or in part by the Grant shall maintain
or cause to be maintained books, records, documents and other evidence (electronic or otherwise) pertaining in any way to its performance under and compliance with the terms and conditions of this Contract (“Records”). The
RECIPIENT, each Collaborator and each Contractor shall use, or shall cause the entity which is maintaining such Records to use generally accepted accounting principles in the maintenance of such Records, and shall retain or require to be retained
all of such Records for a period of three (3) years from the Termination Date of the Contract. 
 Section 4.02 Audits. Upon
request and with reasonable notice, the RECIPIENT, each Collaborator and each Contractor whose costs are charged to the Project shall allow, or shall cause the entity which is maintaining such items to allow, the INSTITUTE, or auditors working on
behalf of the INSTITUTE, including the State Auditor and/or the Comptroller of Public Accounts for the State of Texas, to review, inspect, audit, copy or abstract all of its Records during regular working hours. Acceptance of funds directly under
the Contract or indirectly through a subcontract under the Contract constitutes acceptance of the authority of the INSTITUTE, or auditors working on behalf of the INSTITUTE, including the State Auditor and/or the Comptroller of Public Accounts, to
conduct an audit or investigation in connection with those funds for a period of three (3) years from the Termination Date of the Contract. 

Notwithstanding the foregoing, any RECIPIENT expending $500,000 or more in federal or state awards during its fiscal year shall obtain either an annual single
audit or a program specific audit. A RECIPIENT expending funds from only one state program may elect to obtain a program specific audit in accordance with Office of Management and Budget (OMB) Circular A-133
or with the State of Texas Uniform Grant Management Standards (UGMS). A single audit is required if funds from more than one federal or state program are spent by the RECIPIENT. The audited time period is the RECIPIENT ’s fiscal year, not the
INSTITUTE funding period. 
 Section 4.03 Inspections. In addition to the audit rights specified in Section 4.02
“Audits”, the INSTITUTE shall have the right to conduct periodic onsite inspections within normal working hours and on a day and a time mutually agreed to by the parties, to evaluate the Institute-Funded Activity. The RECIPIENT shall fully
participate and cooperate in any such evaluation efforts. 
 Section 4.04 On-going Obligation
to Submit Requested Information. The RECIPIENT shall, submit other information related to the Grant to the INSTITUTE as may be reasonably requested from time-to-time
by the INSTITUTE, by the Legislature or by any other funding or regulatory bodies covering the RECIPIENT’s activities under this Contract. 

Section 4.05 Duty to Resolve Deficiencies. If an audit and/or inspection under this Article IV finds there are deficiencies that
should be remedied, then the RECIPIENT shall resolve and/or cure such deficiencies within a reasonable time frame specified by the INSTITUTE. Failure to do so shall constitute an Event of Default pursuant to Section 8.03 “Event of
Default.” Upon the RECIPIENT’S request, the 
 Grant funds that have not been used by the RECIPIENT for purposes for which the Grant was intended
or in violation of the terms of this Contract. The RECIPIENT shall repay any portion of Grant proceeds used by the RECIPIENT for purposes for which the Grant was not intended, as determined by the final results of an audit conducted pursuant to the
provisions of this Contract. Unless otherwise expressly provided for in writing and appended to this Contract, the repayment shall be made to the INSTITUTE no later than forty-

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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five (45) days upon a written request by the INSTITUTE specifying the amount to be repaid and detailing the basis upon which such request is being made and the amount shall include interest
calculated at an amount not to exceed five percent (5%) annually. The RECIPIENT may request that the INSTITUTE waive the interest, subject in all cases to the INSTITUTE’S sole discretion. 

Section 4.07 Repayment of Grant Proceeds for Relocation Outside of Texas. Unless waived by a vote of the Oversight Committee, the
RECIPIENT shall repay the INSTITUTE all Grant proceeds disbursed to RECIPIENT in the event that RECIPIENT relocates its principal place of business outside of the State during the Contract term or within 3 years after the final payment of the Grant
funds is made by the INSTITUTE. 
 Article V 

ASSURANCES AND CERTIFICATIONS 
 Adoption
of Attachment C. The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment C in their entirety, incorporate them as if fully set forth herein, and agree to perform and be bound by all such terms. 

Article VI 
 INTELLECTUAL
PROPERTY AND REVENUE SHARING 
 Adoption of Attachment D. The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment D in their
entirety, incorporate them as if fully set forth herein, and agree to perform and be bound by all such terms. 
 Article VII 

REPORTING 
 Adoption of Attachment E.
The INSTITUTE and the RECIPIENT hereby adopt the terms of Attachment E in their entirety, incorporate them as if fully set forth herein, and agree to perform and be bound by all such terms. 

Article VIII 
 EARLY
TERMINATION AND EVENT OF DEFAULT 
 Section 8.01 Early Termination of Contract. This Contract may be terminated prior to the
Termination Date specified in Section 2.03 “Contract Term” by: 
  

	 	(a)	 Mutual written consent of all parties to this Contract; or 

 

	 	(b)	 The INSTITUTE for an Event of Default (defined in Section 8.03) by the RECIPIENT; or

  

	 	(c)	 The INSTITUTE if allocated funds should become legally unavailable during the Contract period and the INSTITUTE
is unable to obtain additional funds for such purposes; or 

  

	 	(d)	 The RECIPIENT for convenience. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 8.02 Repayment of Grant Proceeds upon Early Termination. The INSTITUTE may
require the RECIPIENT to repay some or all of the disbursed Grant proceeds in the event of early termination under 8.01 (d) above or under Section 8.01(b) above, to the extent such Event of Default resulted from Grant funds being expended in
violation of this Contract. To the extent that the INSTITUTE exercises this option, the INSTITUTE shall provide written notice to the RECIPIENT stating the amount to be repaid, applicable interest calculated not to exceed five percent (5%) annually,
and the schedule for such repayment. The RECIPIENT may request that the INSTITUTE waive the interest, subject in all cases to the INSTITUTE ’S sole discretion. In no event shall the RECIPIENT retain Grant funds that have not been used by the
RECIPIENT for purposes for which the Grant was intended. 
 Section 8.03 Event of Default. The following events shall, unless
expressly waived in writing by the INSTITUTE or fully cured by the RECIPIENT pursuant to the provisions herein, constitute an event of default (each, an “Event of Default”): 

(a) The RECIPIENT’s failure, in any material respect, to conduct the Project in accordance with the approved Scope of Work and to demonstrate progress
towards achieving the milestones set forth in Section 2.02; 
 (b) The RECIPIENT’s failure to conduct the Project within the State of Texas to the
extent required under this Contract unless as otherwise specified in the application, Scope of Work or Approved Budget; 
 (c) The RECIPIENT’s failure
to fully comply, in any material respect, with any provision, term, condition, covenant, representation, certification, or warranty contained in this Contract or any other document incorporated herein by reference; 

(d) The RECIPIENT’s failure to comply with any applicable federal or state law, administrative rule, regulation or policy with regard to the conduct of
the Project; 
 (e) The RECIPIENT’s material misrepresentation or false covenant, representation, certification, or warranty made by RECIPIENT herein,
in the Grant application, or in any other document furnished by RECIPIENT pursuant to this Contract that was misleading at the time that it was made; or 

(f) The RECIPIENT ceases its business operations, has a receiver appointed for all or substantially all of its assets, makes a general assignment for the
benefit of creditors, is declared insolvent by a court of competent jurisdiction or becomes the subject, as a debtor, of a proceeding under the federal bankruptcy code, which such proceedings are not dismissed within ninety (90) days after
filing. 
 Section 8.04 Notice Required. If the RECIPIENT intends to terminate pursuant to Section 8.01(d) “Early
Termination of Contract”, it shall provide written notice to the INSTITUTE pursuant to the notice provisions of Section 9.21 “Notices” no later than thirty (30) days prior to the intended date of termination. 

If the INSTITUTE intends to terminate for an Event of Default under Section 8.01(b) by the RECIPIENT, as described in Section 8.03 “Event of
Default”, the INSTITUTE shall provide written notice to the RECIPIENT pursuant to Section 9.21 “Notices” and shall include a reasonable description of the Event of Default and, if applicable, the steps necessary to cure such
Event of Default. Upon receiving notice from the INSTITUTE, the RECIPIENT shall have thirty (30) days beginning on the day following the receipt of notice to cure the Event of Default. Upon request, the INSTITUTE may provide an extension of
time to cure the Event of Default(s) beyond the thirty (30) day period specified herein so long as the RECIPIENT is using reasonable efforts to cure and is making reasonable progress in curing such Event(s) of Default. The extension shall

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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be in writing and appended to the Contract. If the RECIPIENT is unable or fails to timely cure an Event of Default, unless expressly waived in writing by the INSTITUTE, this Contract shall
immediately terminate as of the close of business on the final day of the allotted cure period without any further notice or action by the INSTITUTE required. In addition, and notwithstanding the foregoing, the INSTITUTE and the RECIPIENT agree
that certain events that cannot be cured shall, unless expressly waived in writing by the INSTITUTE, constitute a final Event of Default under this Contract and this Contract shall terminate immediately upon the INSTITUTE giving the RECIPIENT
written “Notice of Event of Default and FINAL TERMINATION.” 
 In the event that the INSTITUTE terminates the Contract under
Section 8.01(c) above because allocated funds become legally unavailable during the Contract period, the INSTITUTE shall immediately provide written notification to the RECIPIENT of such fact pursuant to Section 9.21 “Notices.”
The Contract is terminated upon the RECIPIENT’s receipt of that notification, subject to Section 9.09 “Survival of Terms.” 

Section 8.05 Duty to Report Event of Default. The RECIPIENT shall notify the INSTITUTE in writing pursuant to Section 9.21
“Notices”, promptly and in no event more than (30) days after it obtains knowledge of the occurrence of any Event of Default. The RECIPIENT shall include a statement setting forth reasonable details of each Event of Default and the
action which the RECIPIENT proposes to take with respect thereto. 
 Section 8.06 Obligations/Liabilities Affected by Early
Termination. The RECIPIENT shall not incur new obligations that otherwise would have been paid for using Grant funds after the receipt of notice as provided by Section 8.04 “Notice Required”, unless expressly permitted by the
INSTITUTE in writing, and shall cancel as many outstanding obligations as possible. The INSTITUTE shall not owe any fee, penalty or other amount for exercising its right to terminate the Contract in accordance with Section 8.01. In no event
shall the INSTITUTE be liable for any services performed, or costs or expenses incurred, after the Termination Date of the Contract. Early termination by either party shall not nullify obligations already incurred, including the RECIPIENT ’s
revenue sharing obligations as set forth in Attachment D, or the performance or failure to perform obligations prior to the Termination Date. 

Section 8.07 Interim Remedies. Upon receipt by the RECIPIENT of a notice of Event of Default, and at any time thereafter until such
Event of Default is cured to the satisfaction of the INSTITUTE or this Contract is terminated, the INSTITUTE may enforce any or all of the following remedies (such rights and remedies being in addition to and not in lieu of any rights or remedies
set forth herein): 
 (a) The INSTITUTE may refrain from disbursing any amount of the Grant funds not previously disbursed; provided,
however, the INSTITUTE may make such a disbursement after the occurrence of an Event of Default without thereby waiving its rights and remedies hereunder; 

(b) The INSTITUTE may enforce any additional remedies it has in law or equity. 

The rights and remedies herein specified are cumulative and not exclusive of any rights or remedies that the INSTITUTE would otherwise possess. 

Article IX 

MISCELLANEOUS 

Section 9.01 Uniform Grant Management Standards. Unless otherwise provided herein, the RECIPIENT agrees that the Uniform Grant
Management Standards (UGMS), developed by the Governor’s Budget and Planning Office as directed under the Uniform Grant Management Act of 1981, TEX. GOVT. CODE, Ch. 783, apply as additional terms and conditions of this Contract and that the
standards are adopted by reference in their entirety. If there is a conflict between the provisions of this Contract and UGMS, the provisions of this Contract will prevail unless expressly stated otherwise. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 9.02 Management and Disposition of Equipment. During the term of this
Contract, the RECIPIENT may use Grant funds to purchase Equipment to be used for the authorized purpose of the Project, subject to the conditions set forth below. Unless otherwise provided herein, title to Equipment shall vest in the RECIPIENT upon
termination of the Contract. 
  

	 	(a)	 The INSTITUTE must authorize the acquisition in advance and in writing but an acquisition is deemed authorized
if included in the Approved Budget for the Project; 

  

	 	(b)	 Equipment purchased with Grant funds must stay within the State of Texas; 

 

	 	(c)	 Equipment purchased with Grant funds must be materially deployed to the uses and purposes related to the
Project; 

  

	 	(d)	 In the event the RECIPIENT is indemnified, reimbursed or otherwise compensated for any loss of, destruction of,
or damage to the Equipment purchased using Grant funds, it shall use the proceeds to repair or replace said Equipment; 

  

	 	(e)	 Equipment may be exchanged (trade-in) or sold without the prior written
approval of the INSTITUTE if the proceeds thereof shall be applied to the acquisition cost of replacement Equipment; 

  

	 	(f)	 The RECIPIENT may use its own property management standards and procedures provided that it observes the terms
of UGMS, A-102, in all material respects; 

  

	 	(g)	 The title or ownership of the Equipment shall not be encumbered for purposes other than the Project nor or
transferred other than to a permitted assignee of this Contract, without the prior written approval of the INSTITUTE; 

  

	 	(h)	 If the original or replacement Equipment is no longer needed for the originally authorized purpose or for other
activities supported by the INSTITUTE, the RECIPIENT shall request disposition instructions from the INSTITUTE and, upon receipt, shall fully comply therewith; and 

 

	 	(i)	 If this Contract is terminated early pursuant to Section 8.01(b), (d), (e), or (f) above, the
INSTITUTE shall determine the final disposition of Equipment purchased with Grant award money. 

 Section 9.03
Supplies and Other Expendable Property. The RECIPIENT shall classify as materials, supplies and other expendable property the allowable unit acquisition cost of such property under $5,000 necessary to carry out the Project. Title to supplies and
other expendable property shall vest in the RECIPIENT upon acquisition. 
 Section 9.04 Acknowledgement of Grant Funding and
Publicity. The parties agree to the following terms and conditions regarding acknowledging Grant funding and publicity: 
 (a) The parties agree to fully
cooperate and coordinate with each other in connection with all press releases and publications regarding the award of the Grant, the execution of the Contract and the Institute-Funded Activities. 

(b) The RECIPIENT shall notify the INSTITUTE ’s Information Specialist or similar personnel at least three business days prior to any press releases,
advertising, publicity, use of CPRIT logo, or other promotional activities that pertain to the Project or any Institute-Funded Activity. In the event that the INSTITUTE wishes to participate in a joint press release, the RECIPIENT shall coordinate
and cooperate with the INSTITUTE’s Information Specialist or similar personnel to develop a mutually agreeable joint press release. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 (c) Consistent with the goal of encouraging development of scientific breakthroughs and dissemination of
knowledge, publication or presentation of scholarly materials is expected and encouraged. The RECIPIENT may publish in scholarly journals or other peer-reviewed journals (including graduate theses and dissertations) and may make presentations at
scientific meetings without prior notice to or consent of the INSTITUTE, except as may otherwise be set forth in this Contract. The RECIPIENT shall promptly notify the INSTITUTE when any scholarly presentations or publications have been accepted for
public disclosure and shall provide the INSTITUTE with final copies of all such accepted presentations and publications. The RECIPIENT shall acknowledge receipt of the INSTITUTE funding in all publications, presentations, press releases and other
materials regarding the work associated with the Institute-Funded Activities. The RECIPIENT shall promptly submit an electronic version of all published manuscripts to PubMed Central in accordance with Section 9.05 “Public Access to
Research Results.” 
 (d) When grant funds are used to prepare print or visual materials for educational or promotional purposes for the general public
(e.g., patients), and excluding presentations and publications discussed above in subsection (c), the RECIPIENT shall provide a copy of such materials to the INSTITUTE at least ten (10) days prior to printing. The RECIPIENT shall also
acknowledge receipt of the INSTITUTE funding on all such materials including, but not limited to, brochures, pamphlets, booklets, training fliers, project websites, videos and DVDs, manuals and reports, as well as on the labels and cases for
audiovisual or videotape/DVD presentations. 
 Section 9.05 Public Access to Results of Institute-Funded Activities. The RECIPIENT
shall submit an electronic version of its final peer-reviewed journal manuscripts that arise from Grant funds to the digital archive National Library of Medicine’s PubMed Central upon acceptance for publication. These papers must be accessible
to the public on PubMed no later than 12 months after publication. This policy is subject to the terms of Attachment D and does not supplant applicable copyright law. For clarity, this policy is not intended to require the RECIPIENT to make a
disclosure at a time or in any manner that would cause the RECIPIENT to abandon, waive or disclaim any intellectual property rights that it is obligated to protect pursuant to the terms of Attachment D. 

Section 9.06 Work to be Conducted in State. The RECIPIENT agrees that it will use reasonable efforts to direct that any new or
expanded preclinical testing, clinical trials, commercialization or manufacturing that is part of or relating to any Institute-Funded Activities take place in the State of Texas, including the establishment of facilities to meet this purpose. If the
RECIPIENT decides not to conduct such work in the State of Texas, the RECIPIENT shall provide a prior written explanation to the INSTITUTE detailing the RECIPIENT ’s reasons for conducting the work outside of the State of Texas and the
RECIPIENT’s efforts made to conduct the work in the State of Texas. 
 Section 9.07 Duty to Notify. During the term of this
Contract and for a period of five (5) years thereafter, the RECIPIENT is under a continuing obligation to notify the INSTITUTE ’s Chief Executive Officer at the same time it is required to notify any Federal or State entity of any
unexpected adverse event or condition that materially impacts the performance or general public perception of the conduct or results of the Project and Institute-Funded Activities, including any impact to the Scope of Work included in the Contract
and events or results that have a serious adverse impact on human health, safety or welfare. By way of example only, if clinical testing of the results of Institute-Funded Activities reveal an unexpected risk of developing serious health conditions
or death, then the RECIPIENT shall, at the same time it notifies any Federal or State entity, promptly so notify the INSTITUTE ’s Chief Executive Officer even if such results are not available until after the term of this Contract. Notice
required under this section shall be made as promptly as reasonably possible and shall follow the procedures set forth in Section 9.21 “Notices.” 

Section 9.08 Severability. If any provision of this Contract is construed to be invalid, illegal or unenforceable in any respect,
such invalidity, illegality or enforceability shall not affect any other provisions hereof. The invalid, illegal or unenforceable provision shall be deemed stricken and deleted to the same extent and effect as if never incorporated herein. All other
provisions shall continue as provided in this Contract. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 9.09 Survival of Terms. Termination or expiration of this Contract for any
reason will not release either party from any liabilities or obligations set forth in this Contract that: (1) the Parties have expressly agreed shall survive any such termination or expiration; or (2) remain to be performed or by their
nature would be intended to be applicable following any such termination or expiration. Such surviving terms include, but are not limited to, Sections 2.13, 4.01, 4.02, 4.05, 4.06, 8.02, 8.06, 9.04, 9.05, 9.06, 9.07, 9.09, 9.14, 9.15, 9.16, 9.17,
9.18, and Attachment D. 
 Section 9.10 Binding Effect and Assignment or Modification. This Contract and all terms, provisions and
obligations set forth herein shall be binding upon and shall inure to the benefit of the parties and their successors and permitted assigns, including all other state agencies and any other agencies, departments, divisions, governmental entities,
public corporations or other entities which shall be successors to either of the parties or which shall succeed to or become obligated to perform or become bound by any of the covenants, agreements or obligations hereunder of either of the parties
hereto. Upon a permitted assignment of this Contract by RECIPIENT, all references to “the RECIPIENT” herein shall be deemed to refer to such permitted assignee. 

Section 9.11 No Waiver of Contract Terms. Neither the failure by the RECIPIENT or the INSTITUTE, in any one or more instances, to
insist upon the complete and total observance or performance of any term or provision hereof, nor the failure of the RECIPIENT or the INSTITUTE to exercise any right, privilege or remedy conferred hereunder or afforded by law, shall be construed as
waiving any breach of such term or provision or the right to exercise such right, privilege or remedy thereafter. In addition, no delay on the part of either the RECIPIENT or the INSTITUTE, in exercising any right or remedy hereunder shall operate
as a waiver thereof, nor shall any single or partial exercise of any right or remedy preclude other or further exercise thereof or the exercise of any other right or remedy. 

Section 9.12 No Waiver of Sovereign Immunity. No provision of this Contract is in any way intended to constitute a waiver by the
INSTITUTE, the RECIPIENT (if applicable), or the State of Texas of any immunities from suit or from liability that the INSTITUTE, the RECIPIENT, or the State of Texas may have by operation of law. 

Section 9.13 Force Majeure. Neither the INSTITUTE nor the RECIPIENT will be liable for any failure or delay in performing its
obligations under the Contract if such failure or delay is due to any cause beyond the reasonable control of such party, including, but not limited to, unusually severe weather, strikes, natural disasters, fire, civil disturbance, epidemic, war,
court order or acts of God. The existence of such causes of delay or failure will extend the period of performance in the exercise of reasonable diligence until after the causes of delay or failure have been removed. Each party must inform the other
in accordance with Section 9.21 “Notices” within five (5) business days, or as soon as it is practical, of the existence of a force majeure event or otherwise waive this right as a defense. 

Section 9.14 Disclaimer of Damages. IN NO EVENT WILL EITHER PARTY BE LIABLE TO THE OTHER PARTY FOR ANY INDIRECT, SPECIAL, PUNITIVE, EXEMPLARY,
INCIDENTAL OR CONSEQUENTIAL DAMAGES. THIS LIMITATION WILL APPLY REGARDLESS OF WHETHER OR NOT THE OTHER PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. 

Section 9.15 Indemnification and Hold Harmless. Except as provided herein, the RECIPIENT agrees to fully indemnify and hold the
INSTITUTE and the State of Texas harmless from and against any and all claims, demands, costs, expenses, liabilities, causes of action and damages of every kind and character (including reasonable attorneys fees) which may be asserted by any third
party in any way related or 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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incident to, arising out of, or in connection with (1) the RECIPIENT’s negligent, intentional or wrongful performance or failure to perform under this Contract, (2) the RECIPIENT
’s receipt or use of Grant funds, or (3) any negligent, intentional or wrongful act or omission committed by the RECIPIENT as part of an Institute-Funded Activity or during the Project. In addition, the RECIPIENT agrees to fully indemnify
and hold the INSTITUTE and the State of Texas harmless from and against any and all costs and expenses of every kind and character (including reasonable attorneys fees, costs of court and expert fees) that are incurred by the INSTITUTE or the State
of Texas arising out of or related to a third party claim of the type specified in the preceding sentence. Notwithstanding the preceding, such indemnification shall not apply in the event of the sole or gross negligence of the INSTITUTE. If the
RECIPIENT is a State of Texas agency or institution of higher education, then this Section 9.15 is subject to the extent authorized by the Texas Constitution and the laws of the State of Texas. 

The RECIPIENT acknowledges and agrees that this indemnification shall apply to, but is not limited to, employment matters, taxes, personal injury, and
negligence. 
 It is understood and agreed that it is not the intent of the parties to expand or increase the liability of the State of Texas under this
Article. This provision is intended to prevent the RECIPIENT, the INSTITUTE and the State of Texas from attempting or appearing to assume liability it does not have the statutory or legal power to assume. 

Section 9.16 Alternative Dispute Resolution. If applicable, the dispute resolution process provided for in TEX. GOVT. CODE, Ch. 2260
shall be used, as further described herein, to resolve any claim for breach of contract made against the INSTITUTE (excluding any uncured Event of Default). The submission, processing and resolution of a party’s claim are governed by the
published rules adopted by the Attorney General pursuant to TEX. GOVT. CODE, Ch. 2260, as currently effective, hereafter enacted or subsequently amended. 

Section 9.17 Applicable Law and Venue. This Contract shall be construed and all disputes shall be considered in accordance with the
laws of the State of Texas, without regard to its principles governing the conflict of laws. Provided that the RECIPIENT first complies with procedures set forth in Section 9.16 “Alternative Dispute Resolution,” exclusive venue and
jurisdiction for the resolution of claims arising from or related to this Contract shall be in the federal and state courts in Travis County, Texas. 

Section 9.18 Attorneys’ Fees. In the event of any litigation, appeal or other legal action to enforce any provision of the
Contract, the RECIPIENT shall pay all expenses of such action, including attorneys’ fees and costs, if the INSTITUTE is the prevailing party. If the RECIPIENT is a State of Texas agency or institution of higher education, then this
Section 9.18 is subject to the extent authorized by the Texas Constitution and the laws of the State of Texas. 
 Section 9.19
Counterparts. This Contract may be executed in any number of counterparts, each of which when so executed and delivered shall be an original, but such counterparts shall together constitute one and the same instrument. 

Section 9.20 Construction of Terms The headings used in this Contract are inserted only as a matter of convenience and for reference
and shall not affect the construction or interpretation of this Contract. Where context so indicates, a word in the singular form shall include the plural, a word in the masculine form the feminine, and vice-versa. The word “including” and
similar constructions (such as “includes”, “included”, “for example”, “such as”, and “e.g.”) shall mean “including, without limitation” throughout this Contract. The words “and”
and “or” are not intended to convey exclusivity or nonexclusivity except where expressly indicated or where the context so indicates in order to give effect to the intent of the parties. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1934, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

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 Section 9.21 Notices. All notices, requests, demands and other communications will
be in writing and will be deemed given on the date received as demonstrated by (i) a courier’s receipt or registered or certified mail return receipt signed by the party to whom such notice was sent, provided that such notice was sent to
the Authorized Signing Official (ASO) at the address provided in the CPRIT Grants Management System, (ii) a fax confirmation page showing that such fax was successfully transmitted to the fax number provided in the CPRIT Grants Management
System, or (iii) via correspondence in the CPRIT Grants Management System. 

 Portions herein identified by [*****] have been omitted pursuant to a request for confidential treatment
under Rule 406 of the Securities Exchange Act of 1933, as amended. A complete copy of this document has been filed separately with the Securities and Exchange Commission. 

 

 [*****]

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