Document:

EX-4.2

 EXHIBIT 4.2 

Warrant Number A-2 
 THE WARRANT
REPRESENTED BY THIS CERTIFICATE AND THE SHARES ISSUABLE UPON EXERCISE THEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”) OR QUALIFIED UNDER ANY APPLICABLE STATE SECURITIES LAW
(“APPLICABLE STATE SECURITIES LAW”). THIS WARRANT HAS BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR FOR SALE IN CONNECTION WITH, ANY DISTRIBUTION THEREOF WITHIN THE MEANING OF THE SECURITIES ACT AND APPLICABLE STATE SECURITIES
LAW. THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE THEREOF MAY NOT BE PLEDGED, SOLD, ASSIGNED OR TRANSFERRED UNLESS A REGISTRATION STATEMENT WITH RESPECT THERETO UNDER THE SECURITIES ACT IS EFFECTIVE, AND ANY APPLICABLE STATE SECURITIES LAW
REQUIREMENTS HAVE BEEN MET OR EXEMPTIONS FROM THE REGISTRATION REQUIREMENTS UNDER THE SECURITIES ACT AND THE REGISTRATION OR QUALIFICATION REQUIREMENTS OF APPLICABLE STATE SECURITIES LAW ARE AVAILABLE. NO TRANSFER OF ANY INTEREST IN THIS WARRANT OR
THE SECURITIES PURCHASABLE UPON EXERCISE MAY BE EFFECTED WITHOUT FIRST SURRENDERING THIS WARRANT OR SUCH SECURITIES, AS THE CASE MAY BE, TO THE COMPANY OR ITS TRANSFER AGENT, IF ANY. 

Warrant to Purchase 
 Shares of

 Common Stock 
 As Herein
Described 
 February 6, 2015 

WARRANT TO PURCHASE COMMON STOCK OF 

CYTODYN INC. 
 This is to
certify that, for value received, ALPHA VENTURE CAPITAL PARTNERS, L.P., or a proper assignee (the “Holder”), is entitled to purchase up to a total of 75,000 shares (“Warrant Shares”) of common stock, no par value per share (the
“Common Stock”), of CytoDyn Inc., a Colorado corporation (the “Company”), subject to the provisions of this Warrant Number A-2, from the Company. This Warrant shall be exercisable at Fifty Cents ($0.50) per share (the
“Exercise Price”). This Warrant also is subject to the following terms and conditions: 
 1. Exercise and Payment;
Exchange. 
 1.1 Exercise of Warrant. This Warrant may be exercised in whole or in part at any time from and after the date
hereof (the “Commencement Date”) through 5:00 p.m., Pacific time, on February 28, 2020 (the “Expiration Date”), at which time this Warrant shall expire and become void, but if such date is a day on which federal or state
chartered banking institutions located in the State of Florida are authorized to close, then on the next succeeding day which shall not be such a day. Unless the Holder elects to exercise the Warrant by having the Company

 
withhold shares of Common Stock in lieu of paying the Exercise Price in cash (a “Cashless Exercise”), exercise shall be by presentation and surrender to the Company, or at the office of
any transfer agent designated by the Company (the “Transfer Agent”), of (i) this Warrant, (ii) the attached exercise form properly executed, and (iii) a certified or official bank check for the Exercise Price for the number
of Warrant Shares specified in the exercise form. If the Holder has elected a Cashless Exercise, the Holder shall surrender in payment of the Exercise Price, shares of Common Stock equal in value to the Exercise Price by surrender of this Warrant at
the principal office of the Company together with notice of such election, in which event the Company shall issue to the Holder a number of shares of Common Stock computed using the following formula: 

 

									
							 X =
  
		Y (A – B)
								 A

				
	 Where:
		X =				The number of shares of Common Stock to be issued to the Holder pursuant to the Cashless Exercise
				
			Y =				The number of shares of Common Stock in respect of which the Cashless Exercise election is made
				
			A =				The fair market value of one share of Common Stock at the time the Cashless Exercise election is made
				
			B =				The Exercise Price (as adjusted to the date of the Cashless Exercise)

 For purposes of this Section 1.1, the fair market value of one share of Common Stock as of a particular date shall be
determined as provided in Section 3 below. 
 If this Warrant is exercised in part only, the Transfer Agent shall, upon surrender of the Warrant,
execute and deliver a new Warrant evidencing the rights of the Holder to purchase the remaining number of Warrant Shares purchasable hereunder. Upon receipt by the Company of this Warrant and the exercise form properly completed, accompanied by
payment as aforesaid, the Holder shall be deemed to be the holder of record of the Common Stock issuable upon such exercise, notwithstanding that the stock transfer books of the Company shall then be closed or that certificates representing such
Warrant Shares shall not then be actually delivered to the Holder; the Company shall deliver certificates representing the Warrant Shares to the Holder as promptly as practicable after receipt of all required documents and payment. 

1.2 Conditions to Exercise or Exchange. The restrictions in Section 7 shall apply, to the extent applicable by their terms, to any
exercise or exchange of this Warrant permitted by this Section 1. 
 2. Reservation of Shares. The Company shall, at all times
until the expiration of this Warrant, reserve for issuance and delivery upon exercise of this Warrant the number of Warrant Shares which shall be required for issuance and delivery upon exercise of this Warrant. 

3. Fractional Interests. The Company shall not issue any fractional shares or scrip representing fractional shares upon the exercise or
exchange of this Warrant. With respect to any 

  
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fraction of a share resulting from the exercise or exchange hereof, the Company shall pay to the Holder an amount in cash equal to such fraction multiplied by the current fair market value per
share of Common Stock, determined as follows: 
 3.1 If the Common Stock is listed on a national securities exchange or admitted to unlisted
trading privileges on such an exchange, the current fair market value shall be the last reported sale price of the Common Stock on such exchange on the last business day prior to the date of exercise of this Warrant or if no such sale is made on
such day, the mean of the closing bid and asked prices for such day on such exchange; 
 3.2 If the Common Stock is not so listed or
admitted to unlisted trading privileges or quoted on a national securities exchange, the current fair market value shall be the mean of the last bid and asked prices reported on the last business day prior to the date of the exercise of this Warrant
by the OTC Markets Group, Inc.; or 
 3.3 If the Common Stock is not so listed or admitted to unlisted trading privileges and bid and asked
prices are not so reported, the current fair market value shall be an amount, not less than book value, determined in such reasonable manner as may be prescribed by the Company in good faith. 

4. No Rights as Shareholder. This Warrant shall not entitle the Holder to any rights as a shareholder of the Company, either at law or
in equity. The rights of the Holder are limited to those expressed in this Warrant and are not enforceable against the Company except to the extent set forth herein. 

5. Adjustments in Number and Exercise Price of Warrant Shares. 

5.1 The number of shares of Common Stock for which this Warrant may be exercised and the Exercise Price therefor shall be subject to
adjustment as follows: 
 (a) If the Company is recapitalized through the subdivision or combination of its outstanding shares of Common
Stock into a larger or smaller number of shares, the number of shares of Common Stock for which this Warrant may be exercised shall be increased or reduced, as of the record date for such recapitalization, in the same proportion as the increase or
decrease in the outstanding shares of Common Stock, and the Exercise Price shall be adjusted so that the aggregate amount payable for the purchase of all of the Warrant Shares issuable hereunder immediately after the record date for such
recapitalization shall equal the aggregate amount so payable immediately before such record date. 
 (b) If the Company declares a dividend
on Common Stock payable in Common Stock or securities convertible into Common Stock, the number of shares of Common Stock for which this Warrant may be exercised shall be increased as of the record date for determining which holders of Common Stock
shall be entitled to receive such dividend, in proportion to the increase in the number of outstanding shares (and shares of Common Stock issuable upon conversion of all such securities convertible into Common Stock) of Common Stock as a result of
such dividend, and the Exercise Price shall be adjusted so that the aggregate amount payable for the purchase of all the Warrant Shares issuable hereunder immediately after the record date for such dividend shall equal the aggregate amount so
payable immediately before such record date. 

  
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 (c) If the Company distributes to holders of its Common Stock, other than as part of its
dissolution or liquidation or the winding up of its affairs, any shares of its Common Stock, any evidence of indebtedness or any of its assets (other than cash, Common Stock or securities convertible into Common Stock), the Company shall give
written notice to the Holder of any such distribution at least fifteen (15) days prior to the proposed record date in order to permit the Holder to exercise this Warrant on or before the record date. There shall be no adjustment in the number
of shares of Common Stock for which this Warrant may be exercised, or in the Exercise Price, by virtue of any such distribution. 
 (d) If
the Company offers rights or warrants generally to the holders of Common Stock which entitle them to subscribe to or purchase additional Common Stock or securities convertible into Common Stock, the Company shall give written notice of any such
proposed offering to the Holder at least fifteen (15) days prior to the proposed record date in order to permit the Holder to exercise this Warrant on or before such record date. There shall be no adjustment in the number of shares of Common
Stock for which this Warrant may be exercised, or in the Exercise Price, by virtue of any such distribution. 
 (e) If the event, as a
result of which an adjustment is made under paragraph (a) or (b) above, does not occur, then any adjustments in the Exercise Price or number of shares issuable that were made in accordance with such paragraph (a) or (b) shall be
adjusted to the Exercise Price and number of shares as were in effect immediately prior to the record date for such event. 
 5.2 In the
event of any reorganization or reclassification of the outstanding shares of Common Stock (other than a change in par value or from no par value to par value, or from par value to no par value, or as a result of a subdivision or combination) or in
the event of any consolidation or merger of the Company with another entity after which the Company is not the surviving entity, at any time prior to the expiration of this Warrant, upon subsequent exercise of this Warrant the Holder shall have the
right to receive the same kind and number of shares of common stock and other securities, cash or other property as would have been distributed to the Holder upon such reorganization, reclassification, consolidation or merger had the Holder
exercised this Warrant immediately prior to such reorganization, reclassification, consolidation or merger, appropriately adjusted for any subsequent event described in this Section 5. The Holder shall pay upon such exercise the Exercise Price
that otherwise would have been payable pursuant to the terms of this Warrant. If any such reorganization, reclassification, consolidation or merger results in a cash distribution in excess of the then applicable Exercise Price, the holder may, at
the Holder’s option, exercise this Warrant without making payment of the Exercise Price, and in such case the Company shall, upon distribution to the Holder, consider the Exercise Price to have been paid in full, and in making settlement to the
Holder, shall deduct an amount equal to the Exercise Price from the amount payable to the Holder. In the event of any such reorganization, merger or consolidation, the corporation formed by such consolidation or merger or the corporation which shall
have acquired the assets of the Company shall execute and deliver a supplement hereto to the foregoing effect, which supplement shall also provide for adjustments which shall be as nearly equivalent as may be practicable to the adjustments provided
in this Warrant. 
 5.3 If the Company shall, at any time before the expiration of this Warrant, dissolve, liquidate or wind up its affairs,
the Holder shall have the right to receive upon exercise of this Warrant, in lieu of the shares of Common Stock of the Company that the Holder 

  
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otherwise would have been entitled to receive, the same kind and amount of assets as would have been issued, distributed or paid to the Holder upon any such dissolution, liquidation or winding up
with respect to such Common Stock receivable upon exercise of this Warrant on the date for determining those entitled to receive any such distribution. If any such dissolution, liquidation or winding up results in any cash distribution in excess of
the Exercise Price provided by this Warrant, the Holder may, at the Holder’s option, exercise this Warrant without making payment of the Exercise Price and, in such case, the Company shall, upon distribution to the Holder, consider the Exercise
Price to have been paid in full and, in making settlement to the Holder, shall deduct an amount equal to the Exercise Price from the amount payable to the Holder. 

6. Notices to Holder. So long as this Warrant shall be outstanding (a) if the Company shall pay any dividends or make any
distribution upon the Common Stock otherwise than in cash or (b) if the Company shall offer generally to the holders of Common Stock the right to subscribe to or purchase any shares of any class of Common Stock or securities convertible into
Common Stock or any similar rights or (c) if there shall be any capital reorganization of the Company in which the Company is not the surviving entity, recapitalization of the capital stock of the Company, consolidation or merger of the Company
with or into another corporation, sale, lease or other transfer of all or substantially all of the property and assets of the Company, or voluntary or involuntary dissolution, liquidation or winding up of the Company, then in such event, the Company
shall cause to be mailed to the Holder, at least thirty (30) days prior to the relevant date described below (or such shorter period as is reasonably possible if thirty (30) days is not reasonably possible), a notice containing a
description of the proposed action and stating the date or expected date on which a record of the Company’s shareholders is to be taken for the purpose of any such dividend, distribution of rights, or such reclassification, reorganization,
consolidation, merger, conveyance, lease or transfer, dissolution, liquidation or winding up is to take place and the date or expected date, if any is to be fixed, as of which the holders of Common Stock of record shall be entitled to exchange their
shares of Common Stock for securities or other property deliverable upon such event. 
 7. Transfer, Exercise, Exchange, Assignment or
Loss of Warrant, Warrant Shares or Other Securities. 
 7.1 This Warrant may be transferred, exercised, exchanged or assigned
(“transferred”), in whole or in part, subject to the following restrictions. This Warrant and the Warrant Shares or any other securities (“Other Securities”) received upon exercise of this Warrant shall be subject to restrictions
on transferability until registered under the Securities Act of 1933, as amended (the “Securities Act”), unless an exemption from registration is available. Until this Warrant and the Warrant Shares or Other Securities are so registered,
this Warrant and any certificate for Warrant Shares or Other Securities issued or issuable upon exercise of this Warrant shall contain a legend on the face thereof, in form and substance satisfactory to counsel for the Company, stating that this
Warrant and the Warrant Shares or Other Securities may not be sold, transferred or otherwise disposed of unless, in the opinion of counsel satisfactory to the Company, which may be counsel to the Company, this Warrant, the Warrant Shares or Other
Securities may be transferred without such registration. This Warrant and the Warrant Shares or Other Securities may also be subject to restrictions on transferability under applicable state securities or blue sky laws. 

7.2 Until this Warrant, the Warrant Shares or Other Securities are registered under the Securities Act, the Company may require, as a
condition of transfer of this Warrant, 

  
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the Warrant Shares, or Other Securities, that the transferee (who may be the Holder in the case of an exercise or exchange) represent that the securities being transferred are being acquired for
investment purposes and for the transferee’s own account and not with a view to or for sale in connection with any distribution of the security. 

7.3 Any transfer permitted hereunder shall be made by surrender of this Warrant to the Company or to the Transfer Agent at its offices with a
duly executed request to transfer the Warrant, which shall provide adequate information to effect such transfer and shall be accompanied by funds sufficient to pay any transfer taxes applicable. Upon satisfaction of all transfer conditions, the
Company or Transfer Agent shall, without charge, execute and deliver a new Warrant in the name of the transferee named in such transfer request, and this Warrant promptly shall be cancelled. 

7.4 Upon receipt by the Company of evidence satisfactory to it of loss, theft, destruction or mutilation of this Warrant and, in the case of
loss, theft or destruction, of reasonable satisfactory indemnification, or, in the case of mutilation, upon surrender of this Warrant, the Company will execute and deliver, or instruct the Transfer Agent to execute and deliver, a new Warrant of like
tenor and date, and any such lost, stolen or destroyed Warrant thereupon shall become void. 
 8. Representations and Warranties
of the Holder. The Holder hereby represents and warrants to the Company with respect to the issuance of the Warrant as follows: 

8.1 Experience. The Holder has substantial experience in evaluating and investing in securities in companies similar to the Company so
that such Holder is capable of evaluating the merits and risks of such Holder’s investment in the Company and has the capacity to protect such Holder’s own interests. 

8.2 Investment. The Holder is acquiring this Warrant (and the Warrant Shares issuable upon exercise of this Warrant) for investment for
such Holder’s own account, not as a nominee or agent, and not with the view to, or for resale in connection with, any distribution thereof. The Holder understands that this Warrant (and the Warrant Shares issuable upon exercise of the Warrant)
have not been, and will not be, registered under the Securities Act by reason of a specific exemption from the registration provisions of the Securities Act which depends upon, among other things, the bona fide nature of the investment intent and
the accuracy of such Holder’s representations as expressed herein. 
 8.3 Held Indefinitely. The Holder acknowledges that this
Warrant (and the Warrant Shares issuable upon exercise of this Warrant) must be held indefinitely unless subsequently registered under the Securities Act or an exemption from such registration is available. 

8.4 Accredited Holder. The Holder is an “accredited investor” within the meaning of Rule 501 of Regulation D under the
Securities Act. 
 8.5 Legends. The Holder understands and acknowledges that the certificate(s) evidencing the securities issued by
the Company will be imprinted with a restrictive legend as referenced in Section 7.1 above. 

  
 -6- 

 8.6 Access to Data. The Holder has had an opportunity to discuss the Company’s
business, management, and financial affairs with the Company’s management and the opportunity to review the Company’s facilities and business plans. The Holder has also had an opportunity to ask questions of officers of the Company, which
questions were answered to its satisfaction. 
 8.7 Authorization. This Warrant and the agreements contemplated hereby, when executed
and delivered by the Holder, will constitute a valid and legally binding obligation of the Holder, enforceable in accordance with their respective terms. 

8.8 Brokers or Finders. The Company has not incurred, and will not incur, directly or indirectly, as a result of any action taken by
such Holder, any liability for brokerage or finders’ fees or agents’ commissions or any similar charges in connection with this Warrant or any transaction contemplated hereby. 

9. Notices. All notices, requests, demands or other communications hereunder shall be in writing and shall be deemed to have been duly
given, if delivered in person or mailed, certified, return-receipt requested, postage prepaid to the address set forth on the signature page below. Any party hereto may from time to time, by written notice to the other parties, designate a different
address, which shall be substituted for the one specified below for such party. If any notice or other document is sent by certified or registered mail, return receipt requested, postage prepaid, properly addressed as aforementioned, the same shall
be deemed served or delivered seventy-two (72) hours after mailing thereof. If any notice is sent by fax or email to a party, it will be deemed to have been delivered on the date the fax or email thereof is actually received, provided the
original thereof is sent by certified mail, in the manner set forth above, within twenty-four (24) hours after the fax or email is sent. 

10. Amendment. Any provision of this Warrant may be amended or the observance thereof may be waived (either generally or in a
particular instance and either retroactively or prospectively), only with the written consent of the Company and the Holder. 
 11.
Governing Law. This Warrant shall be governed by and construed in accordance with the laws of the State of Florida and any dispute hereunder shall be brought in state or Federal court in Polk County, Florida. 

  
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 IN WITNESS WHEREOF, the Company and the Holder have executed this Warrant on the respective dates
set forth below. 
  

											
	 CYTODYN INC.
				 HOLDER

				
	By:		 /s/ Nader Pourhassan
				ALPHA VENTURE CAPITAL PARTNERS, L.P.
	Name:		Nader Pourhassan				
	Title:		 President and Chief Executive
 Officer
				By: 		 Alpha Venture Capital Management, LLC

General Partner

						
									By:		 /s/ Carl Dockery

	Date:		February 6, 2015						Name:		Carl Dockery
									Title:		Manager
						
	Address:		1111 Main Street, Suite 660								
			Vancouver, Washington 98660				Date:		February 6, 2015
					
							 Address: 
		 2026 Crystal Wood Drive

Lakeland, Florida 33806-2477

 

											
							 Mailing Address: 
		 P.O. Box 2477

Lakeland, FL 33806-2477

  
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 FORM OF EXERCISE 

To be executed upon exercise of Warrant 

(please print) 
 The
undersigned hereby irrevocably elects to exercise the right, represented by this Warrant Number A-2 certificate, to purchase              shares of common stock, no par value per
share (“Common Stock”) of CytoDyn Inc. (the “Company”) and herewith tenders payment for such shares of Common Stock to the order of the Company the amount of $0.50 per share in accordance with the terms hereof. The undersigned
requests that a certificate for such shares of Common Stock be registered in the name of
                                     whose address is
                                        .
If said number of shares of Common Stock is less than all of the shares of Common Stock purchasable hereunder, the undersigned requests that a new Warrant Certificate representing the remaining balance of the shares of Common Stock be registered in
the name of                                 , whose address is
                                        ,
and that such Warrant Certificate be delivered to
                                , whose address is
                                        .

 Representations of the undersigned. 
  

	 	a)	The undersigned acknowledges that the undersigned has received, read and understood the Warrant and agrees to abide by and be bound by its terms and conditions. 

 

	 	b)	(i) The undersigned has such knowledge and experience in business and financial matters that the undersigned is capable of evaluating the Company and the proposed activities thereof, and the risks and merits of this
prospective investment. 

[    ]  YES            [    ] 
 NO 
 (ii) If “No”, the undersigned is represented by a “purchaser representative,” as that term is defined in
Regulation D under the Securities Act of 1933, as amended (the “Securities Act”). 

[    ]  YES            [    ] 
 NO 
  

	 	c)	(i) The undersigned is an “accredited investor,” as that term is defined in the Securities Act. 

[    ]  YES            [    ] 
 NO 
 (ii) If “Yes,” the undersigned comes within the following category of that definition (check one and complete the blanks
as applicable): 
  

	 	[    ]	 1. The undersigned is a natural person whose present net worth (or whose joint net worth with his or her spouse), excluding the value of the
undersigned’s primary residence, exceeds $1,000,000. For purposes of calculating the undersigned’s present net worth, the undersigned has 

	 	
included the following as liabilities: (i) any indebtedness that is secured by the undersigned’s primary residence in excess of the estimated fair market value of the undersigned’s
primary residence at the time of the sale of the shares, and (ii) any incremental debt secured by the undersigned’s primary residence that was incurred in the 60 days before the sale of the shares, other than as a result of the acquisition
of the undersigned’s primary residence. 

  

	 	[    ]	2. The undersigned is a natural person who had individual income in excess of $200,000 in each of the last two years or joint income with the undersigned’s spouse in excess of $300,000 during such two years, and
the undersigned reasonably expects to have the same income level in the current year. 

  

	 	[    ]	3. The undersigned is an officer or director of the Company. 

  

	 	[    ]	4. The undersigned is a corporation or partnership not formed for the specific purpose of acquiring the securities offered, with total assets in excess of $5,000,000. 

 

	 	[    ]	5. The undersigned is a trust with total assets in excess of $5,000,000 whose purchase is directed by a person with such knowledge and experience in financial and business matters that such person is capable of
evaluating the merits and risks of the prospective investment. 

  

	 	[    ]	6. The undersigned is an entity, all of whose equity owners are accredited investors under paragraphs 1, 2, 3, 4 or 5, above. 

  

	 	d)	The undersigned understands that the shares purchased hereunder have not been registered under the Securities Act, in reliance upon the exemption from the registration requirements under the Securities Act pursuant to
Section 4(a)(2) of the Securities Act; and, therefore, that the undersigned must bear the economic risk of the investment for an indefinite period of time since the securities cannot be sold, transferred or assigned to any person or entity
without compliance with the provisions of the Securities Act. 

  

									
	Submitted by:	 		 	Accepted by CytoDyn Inc.:
					
	By:	 	  
	 		 	By:	 	  

	Date:	 	  
	 		 	Date:	 	  

	SS/Tax ID:	 	  
	 		 	Tax ID:	 	  

	Telephone:	 	  
	 		 		 	
	Email:	 	  
	 		 		 	

 (Signature must conform in all respects to name of holder as specified on the face of the Warrant Certificate.)EX-10.1

 EXHIBIT 10.1 

CYTODYN INC. 

SUBSCRIPTION AND INVESTOR RIGHTS AGREEMENT 

FOR CONVERTIBLE PROMISSORY NOTES AND WARRANTS 

1. Subscription. The undersigned, Alpha Venture Capital Management, LLC, on behalf of one or both of Alpha Venture Capital Partners, LP
and Alpha Venture Capital Fund, LP (together, “Subscriber”), hereby irrevocably subscribes for the purchase of a convertible promissory note (the “Note”) issued by CytoDyn Inc., a Colorado corporation (the “Company”),
in the principal amount (the “Note Amount”) set forth on the signature page below, and Warrants (the “Warrants”) to acquire shares of the Company’s Common Stock, no par value (the “Shares”) (5,000 Shares for each
$100,000 in principal amount of the Note) at a price of $0.50 per Share, by tendering to the Company a fully completed and executed signature page to this Subscription and Investor Rights Agreement (the “Agreement”). Upon acceptance of the
subscription, the Company will promptly execute and deliver a counterpart to the signature page of this Agreement to Subscriber. No later than one business day after receipt of such counterpart signature page, Subscriber will pay the Note Amount by
wire transfer in accordance with the instructions provided by the Company. Upon confirmation of receipt of the wire transfer, the Company will issue to Subscriber the Note and related agreement evidencing the Warrants, fully executed on behalf of
the Company. 
 2. Acknowledgments. Subscriber acknowledges that: 

2.1 Information; Opportunity to Ask Questions and Review Documents. The Company has made available for inspection by Subscriber and
Subscriber’s professional advisors all instruments, documents, records, and financial information pertaining to the Company and this investment (the “Investment”). Subscriber has had access to and reviewed to the extent deemed
necessary or appropriate all publicly available information relating to the Company, including, without limitation, the Company’s Annual Report on Form 10-K for the fiscal year ended May 31, 2014, and in particular Item 1A. Risk
Factors included therein (the “2014 10-K”), as well as the results for the first cohort of patients in the Company’s treatment substitution clinical trial available through September 17, 2014. Subscriber has had the opportunity
to ask questions of the executive officers of the Company, and to the extent Subscriber utilized such opportunity, Subscriber received satisfactory answers concerning the Company, its operations and financial needs, and the Investment. There is
available to Subscriber, by contacting the executive officers of the Company, the opportunity to obtain any additional information which the Company possesses or can obtain without unreasonable effort or expense that is necessary to verify
information provided to Subscriber. All such information is referred to herein as “Business Information.” 
 2.2 No General
Advertising. Subscriber was not contacted for purposes of this Investment through use of any form of general or public advertising, such as media, public seminars or presentations, the Internet, or other means generally available to the public.

  
 1 

 2.3 Restrictions on Transfer. 

(a) Subscriber understands and agrees that the Note, the Warrants and any Shares to be issued upon conversion of the Note or exercise of the
Warrants (together, the “Securities”) have not been registered under the Securities Act of 1933 (the “Securities Act”), the Washington Securities Act or the securities laws of any other state, and the Company has no obligation or
current intention to register the Securities, and accordingly, the Securities must be held indefinitely unless they are subsequently registered or unless, in the opinion of counsel reasonably acceptable to the Company, a sale or transfer may be made
without registration under Federal and state securities laws. Subscriber further agrees that any certificate evidencing the Securities may bear a legend restricting the transfer of any of the Securities in a manner generally consistent with the
foregoing. 
 (b) Subscriber is aware of the provisions of Rule 144, promulgated under the Securities Act, which, in substance, permit
limited public resale of “restricted securities” acquired by non-affiliates of the issuer thereof, directly or indirectly, from the issuer (or from an affiliate of such issuer), in a non-public offering subject to the satisfaction of
certain conditions, if applicable, including, among other things, the availability of certain public information about the Company and the resale occurring not less than six (6) months after the party has purchased and paid for the securities
to be sold. 
 (c) Subscriber further understands that at the time Subscriber wishes to sell the Note or the Securities to be issued in
connection therewith or upon conversion thereof there may be no public market upon which to make such a sale, and that, even if such a public market then exists, the Company may not have filed all reports and other materials required under
Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, other than Form 8-K reports, during the preceding 12 months, and that, in such event, because the Company used to be a “shell company” as contemplated under Rule
144(i), Rule 144 will not be available to Subscriber. 
 (d) Subscriber further understands that in the event all of the requirements of
Rule 144 are not satisfied, registration under the Securities Act, compliance with Regulation A, or some other registration exemption will be required; and that, notwithstanding the fact that Rule 144 is not exclusive, the staff of the
Securities and Exchange Commission has expressed its opinion that persons proposing to sell private placement securities other than in a registered offering and otherwise than pursuant to Rule 144 will have a substantial burden of proof in
establishing that an exemption from registration is available for such offers or sales, and that such persons and their respective brokers who participate in such transactions do so at their own risk. 

(e) Notwithstanding the foregoing provisions of this Section 2, Subscriber will be permitted to transfer the Note and Warrants to any
individual or entity that controls, is controlled by, or is under common control with Subscriber (each, an “Affiliate”), subject to applicable requirements of the federal and state securities laws. 

  
 2 

 3. Representations of Subscriber. Subscriber represents, warrants and covenants as
follows: 
 3.1 Investor Qualifications. Subscriber is an accredited investor under state and federal securities laws and qualifies
as such under the category or categories indicated below: 
 (Please initial to the left of each applicable criteria) 

 

					
	  
	 		 	(a) Subscriber is an individual whose net worth, or joint net worth with his or her spouse, excluding the value of Subscriber’s primary residence, exceeds $1,000,000 (for purposes of calculating Subscriber’s present net
worth, Subscriber has included the following as liabilities: (i) any indebtedness that is secured by Subscriber’s primary residence in excess of the estimated fair market value of Subscriber’s primary residence, and (ii) any
incremental debt secured by Subscriber’s primary residence that was incurred in the past 60 days, other than as a result of the acquisition of Subscriber’s primary residence);
			
	  
	 		 	(b) Subscriber is an individual who had an individual income in excess of $200,000 in each of the two most recent years or joint income with that person’s spouse in excess of $300,000 in each of those years and has a
reasonable expectation of reaching the same income level in the current year;
			
	  
	 		 	(c) Subscriber is an organization described in Section 501(c)(3) of the Internal Revenue Code, a corporation, or a partnership, in each case not formed for the specific purpose of acquiring the Securities, with total assets
in excess of $5,000,000;
			
	         X        
	 		 	(d) Subscriber is an entity in which every equity owner satisfies at least one of the categories (a) through (c) above.

 3.2 Speculative Investment. Subscriber acknowledges that the Securities are issued by a start-up
company involved in a competitive and uncertain market and the Investment therefore involves a high degree of risk of loss. In addition, there are substantial restrictions on the transferability of the Securities, making it very difficult to
liquidate the Investment. Subscriber has sufficient resources to provide for Subscriber’s current needs and contingencies, has no need for liquidity in this Investment for an indefinite period of time, and can afford to sustain a complete loss
with respect to the Investment. Subscriber is aware that the Company has a limited financial and operating history in its current form; that the Company has experienced and expects to continue to experience substantial losses; and that there is no
assurance that the Company will produce revenues or be operated profitably in the future. Subscriber has reviewed, understands, and accepts the risks described in the Business Information, including, without limitation, the Risk Factors described in
the 2014 10-K, and recognizes that the risk disclosure is only a partial description of the risks facing the Company. 
 3.3 Evaluation
of Investment. Subscriber has substantial knowledge and experience in financial and business matters and is capable of evaluating the merits and risks of the Investment. In making its decision to pursue the Investment, Subscriber has relied
solely on 

  
 3 

 
publicly available information regarding the Company filed with and posted by the Securities and Exchange Commission information, including the 2014 10-K, and any additional information provided
to Subscriber by the Company in writing, and only on Subscriber’s independent investigation of such information and further investigation by Subscriber’s own tax, legal, accounting, scientific and other advisors. Subscriber has sought and
received all investment, legal, technical, scientific, medical and accounting advice Subscriber believes is necessary to adequately evaluate the Investment prior to subscribing for Securities. 

3.4 Investment Purpose. Subscriber is acquiring the Securities solely for Subscriber’s own account, for investment, and not with a
view to the distribution or resale of the Securities. 
 3.5 Confidentiality. Subscriber will maintain the confidentiality of all non-public Business Information and any other information and materials disclosed to Subscriber by the Company with the same degree of care as Subscriber uses in maintaining the confidentiality of its own business
information, and will not use any such Business Information except for the purpose for which it is intended, which is to evaluate a potential investment in the Company. 

The foregoing representations and warranties are true and accurate as of the date hereof and shall be true and accurate as of the date of
delivery of this Agreement and shall survive such delivery. 
 4. Representations and Warranties of Company. The Company represents
and warrants to Subscriber as follows as of the date hereof: 
 4.1 Organization and qualification. The Company is a corporation duly
organized, validly existing and in good standing under the laws of the State of Colorado and has all requisite corporate power and authority to carry on its business as now conducted and as proposed to be conducted. The Company is duly qualified to
transact business as a foreign corporation and is in good standing as such in each jurisdiction in which the failure to so qualify would have a material adverse effect on its business or properties. 

4.2 Authorization. The execution, delivery and performance by it of this Agreement and each of the other agreements, instruments and
documents contemplated hereby are, as applicable, within the Company’s corporate power, have been duly authorized by all necessary corporate action, have received all necessary governmental approval (if any shall be required), and do not and
will not contravene or conflict with any provision of law applicable to the Company, its articles of incorporation, or by-laws, any order, judgment or decree of any court or governmental agency, or any agreement, instrument or document binding upon
the Company or any of its property. 
 4.3 Capitalization. As of the date hereof, the Company’s authorized capital consists of
100,000,000 shares of no par value common stock (“Common Stock”) and 5,000,000 shares of no par value preferred stock. As of January 31, 2015, the Company had a total of 59,259,116 shares of its Common Stock and 95,100 shares of its
preferred stock issued and outstanding, and a total of 89,759,329 shares of Common Stock outstanding on a fully diluted basis. All outstanding shares of the capital stock of the Company are duly authorized and validly issued, fully paid, and
nonassessable, and were not issued in violation of or subject to any 

  
 4 

 
preemptive or similar rights of any shareholder. Except as set forth in this Agreement and as disclosed in the 2014 10-K, there are no current commitments, plans or arrangements to issue, and no
outstanding option, warrant or other right calling for the issuance of, any equity securities of the Company or any security or instrument that, by its terms, is convertible into, or exercisable or exchangeable for, any equity security of the
Company. 
 4.4 Conversion Shares. The shares issuable upon conversion of the Note, when issued, sold and delivered in accordance
with the terms of this Agreement and the Note, will be duly and validly issued, fully paid, and nonassessable, and will be free of restrictions on transfer other than restrictions on transfer under this Agreement and under applicable state and
federal securities laws. 
 4.5 Taxes. Except as the failure to do so would not have a material adverse effect on the Company, the
Company has filed all necessary federal, state, and local income and franchise tax returns and other reports required to be filed and has paid all taxes shown as due thereon, and there is no tax deficiency in a material amount which has been, or, to
the best of the Company’s knowledge, might be, asserted against the Company. 
 4.6 Lawsuits. There are no actions, lawsuits, or
proceedings, and to the best of the Company’s knowledge, there are no pending investigations or any currently threatened actions, lawsuits, proceedings or investigations against the Company. There is no action, suit, proceeding or investigation
by the Company currently pending or that the Company intends to initiate. 
 4.7 No Violation. To the best of the Company’s
knowledge, the Company is not in violation or default of any provision of its Articles of Incorporation, as amended or restated to date, or its Bylaws, or any instrument, judgment, order, writ, decree or contract to which it is a party or by which
it is bound, or of any provision of any federal or state statute, rule or regulation applicable to the Company, other than as would not have a material adverse effect on the Company. The Company is current in its filing obligations with respect to
all reports and documents required to be filed under Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). 

4.8 Intellectual Property. Except as disclosed in the 2014 10-K, the Company owns or possesses adequate licenses or other rights to use
all patents, patent rights, inventions, trade secrets, licenses, know-how, proprietary techniques, including processes and substances, trademarks, service marks, trade names, and copyrights which are material to conducting its business. Except as
disclosed in the 2014 10-K, with respect to each such license or other rights, the Company has paid all fees, royalties and other amounts that are or may be due, and has otherwise performed all of its obligations, under such license or other right
and is not in material breach or material default under any such license or other right. 
 4.9 Interim Financial Statements. The
Company has delivered to the Subscriber a preliminary draft of its unaudited financial statements for the three-month period ending November 30, 2014 (the “Financial Statements”), which have not yet been reviewed by its independent
registered public accounting firm. Subject to such review, the Financial Statements have been prepared in accordance with generally accepted accounting principles applied on a consistent basis throughout the periods indicated, and fairly present in
all material respects the financial condition and operating results of the Company as of the dates, and for the 

  
 5 

 
indicated periods. Except as set forth in the Financial Statements, the Company has no liabilities or obligations, contingent or otherwise, in excess of $250,000 individually or $500,000 in the
aggregate, other than (i) liabilities incurred in the ordinary course of business subsequent to November 30, 2014; (ii) obligations under contracts and commitments incurred in the ordinary course of business; and
(iii) liabilities and obligations of a type or nature not required under generally accepted accounting principles to be reflected in the Financial Statements, which in all such cases, individually and in the aggregate, would not have a material
adverse effect on the Company or its assets, operations, business, or prospects. Except as disclosed in the 2014 10-K, the Company maintains, and will continue to maintain for as long as it is required to file reports under Section 13(a) or
15(d) of the Exchange Act, a system of internal accounting controls sufficient to provide reasonable assurances that transactions are recorded as necessary to permit preparation of financial statements in conformity with generally accepted
accounting principles. 
 4.10 Representation as to Information Provided. No representation or warranty by the Company in this
Agreement, nor any statement, certificate or schedule furnished or to be furnished to the Company pursuant to this Agreement, the Note or the Warrant, nor any document or certificate delivered to Subscriber pursuant to this Agreement or in
connection with the transactions contemplated hereby, contains or will contain any untrue statement of a material fact or omits or will omit a material fact necessary to make the statements contained herein or therein not misleading; provided that
the Company makes no such representation or warranty with respect to medical or scientific documents prepared by third parties; and provided further that all documents speak as of their date. 

5. Reliance; Indemnity. 

5.1 Reliance on Representations. Subscriber acknowledges that the Company is relying on the information and representations provided by
Subscriber in this Agreement. Subscriber affirms that all of Subscriber’s answers herein and in Exhibit A hereto are accurate and complete and may be relied upon by the Company in determining the availability of an exemption from
registration for the offer and sale of the Securities. Subscriber agrees to provide such additional confirmation of Subscriber’s status as the Company may reasonably request. 

5.2 Indemnification. Subscriber agrees to indemnify and hold harmless the Company and its executive officers and directors from and
against any and all loss, damage, costs, liability or expense due to or arising out of a breach of any representation or warranty of Subscriber contained herein. 

6. Original Investment. On or about September 26, 2014, Subscriber and the Company entered into a Subscription and Investor Rights
Agreement, Side Agreement and Warrant A-1 and the Company executed a Convertible Promissory Note in favor of Subscriber (collectively, the “Original Investment Documents”), each evidencing Subscriber’s investment of $2 million in the
Company (the “Original Investment”). All rights and obligations of the parties set forth in the Original Investment Documents, including without limitation the representations, warranties, indemnification rights, board seat rights and
participation rights set forth in the Subscription and Investor Rights Agreements, continue in full force and effect in accordance with the terms thereof, except as expressly modified herein. 

  
 6 

 7. Participation Rights. 

7.1 Right to Purchase – Current Round. Until September 25, 2015, or such later date as the parties may agree in writing, the
Subscriber Rights Holders (as defined in Section 7.6 below) shall have the right, but not the obligation, to invest up to an additional $10.0 million in the aggregate in New Company Securities (as defined in Section 7.3 below) on the same
terms and conditions as the investment evidenced by this Agreement, the Note and the Warrants. If Subscriber elects to convert the Note, in whole or in part, in lieu of accepting cash payment in full at maturity thereof, Subscriber shall be entitled
to an additional five-year warrant award at the date of conversion equal to 15% of the Note amount (e.g., 15,000 Shares for each $100,000 in principal amount of the Note) with an exercise price of $0.50 per Share and in substantially similar form as
the Warrants. 
 7.2 Right to Purchase – Subsequent Rounds. Until February 28, 2020, the Company will permit Subscriber
Rights Holders to purchase, in the aggregate, up to (i) their Pro Rata Share (as defined below) of any New Company Securities plus (ii) 10% of the total amount of any New Company Securities (the sum of (i) and (ii) is referred to
herein as the “Participation Amount”), which New Company Securities the Company may from time to time propose to sell and issue after December 31, 2014, and the Company shall not issue or sell any New Company Securities during the
period from January 1, 2015, to February 28, 2020, without first complying with the provisions of this Section 7.2. For purposes of this Agreement, a party’s “Pro Rata Share” is equal to a percentage based on a
fraction: (a) the numerator of which is equal to the number of shares of Common Stock held or deemed held by that party, on a Fully Diluted Basis (as defined below), immediately prior to the issuance of the New Company Securities; and
(b) the denominator of which is equal to the total number of shares of Common Stock outstanding or deemed outstanding, on a Fully Diluted Basis, immediately prior to the issuance of the New Company Securities. For purposes of this Agreement,
“Fully Diluted Basis” means assuming the exercise of any then-outstanding options, warrants, or other rights to acquire shares of Common Stock (or to acquire securities exercisable or exchangeable for or convertible into Common Stock) and
conversion, exercise, or exchange of any then-outstanding convertible preferred stock or other securities convertible into or exchangeable or exercisable for Common Stock (or into or for securities exercisable or exchangeable for or convertible into
Common Stock). If a Subscriber Rights Holder elects to participate in any offering of New Company Securities pursuant to this Section 7.2, the purchase price for New Company Securities payable by the Subscriber Rights Holder shall be reduced by
the amount of any cash fee, expressed as a percentage and payable by the Company to any placement agent, underwriter or brokerage firm with respect to the New Company Securities purchased by the Subscriber Rights Holder. 

7.3 New Company Securities. The term “New Company Securities” means (A) any debt securities of the Company and
(B) Common Stock, preferred stock, any other stock or equity interest in the Company, whether presently authorized or authorized at a future date and whether or not convertible into or exchangeable or exercisable for Common Stock, and any
warrants, options, or other rights to subscribe for or to purchase any of the foregoing, or any securities exercisable or exchangeable for or convertible into any of the foregoing (collectively, “Stock”); provided, however,
that the term New Company Securities does not include any Stock issued pursuant to: (i) the grant of equity-based awards, or the exercise of any such awards, under the Company’s 2012 Equity Incentive Plan or any similar plan approved by
the Company’s shareholders; (ii) the exercise of stock options outstanding as of the date of this Agreement; (iii) the exercise of warrants to purchase Common Stock outstanding as of the date of this Agreement or that

  
 7 

 
are hereafter issued in compliance with this Agreement; (iv) the conversion of any shares of preferred stock outstanding on the date of this Agreement or that are hereafter issued in
compliance with this Agreement; (v) the conversion of promissory notes outstanding as of the date of this Agreement or that are hereafter issued in compliance with this Agreement, (vi) the conversion of the Note; (vii) the conversion
of promissory notes issued to any Subscriber Rights Holder; (viii) other transactions with any Subscriber Rights Holder; or (ix) consummation of a transaction involving a bona fide merger or consolidation of the Company with, or
acquisition by the Company of, any other corporation or entity, which transaction is approved by the Company’s shareholders. 
 7.4
Notice. If the Company proposes to undertake an issuance of New Company Securities pursuant to Section 7.2 above, it shall give written notice (an “Issuance Notice”) to Subscriber of its intention, describing the number and
type of New Company Securities, and their proposed offer price and the general terms upon which the Company proposes to issue the same. Subscriber and the other Subscriber Rights Holders shall have 30 days (the “Acceptance Period”) after
the receipt of the Issuance Notice to agree to purchase up to the Participation Amount of such New Company Securities for the price (as modified by the last sentence of Section 7.2) and upon the terms specified in the Issuance Notice by giving
written notice to the Company (the “Acceptance Notice”) and indicating therein the number or amount of New Company Securities to be purchased. Subject to Subscriber’s obligation to use good faith efforts to close on the entire amount
set forth in its Acceptance Notice, each Subscriber Rights Holder may amend its respective Acceptance Notice at any time prior to the closing of the issuance of New Company Securities to reduce the number or amount of New Company Securities to be
purchased. The Company shall, at the closing of the issuance of the New Company Securities, sell to each Subscriber Rights Holder such number of New Company Securities as it agreed to purchase in its respective Acceptance Notice, as reduced as
provided in the preceding sentence, if applicable. Notwithstanding the foregoing, the New Company Securities sold to Subscriber Rights Holders as a group shall not exceed the Participation Amount unless the Company otherwise agrees in its sole
discretion. 
 7.5 Sale. The Company may, during the 120-day period following the expiration of the Acceptance Period, offer the
remaining unsubscribed portion of the New Company Securities to any person or persons at a price not less than, and upon terms no more favorable to the offeree than, those specified in the Issuance Notice. If the Company does not enter into an
agreement for the sale of the remaining unsubscribed portion of the New Company Securities within such period, or if the terms of such offer change from those described in the Issuance Notice in a way that provides prospective investors improved
economic terms, the right of participation provided hereunder shall be deemed to be revived and such New Company Securities shall not be offered unless first reoffered to the Subscriber Rights Holders in accordance herewith. 

7.6 Definition of Subscriber Rights Holder. Subscriber Rights Holder refers to Subscriber, each of its Affiliates, and any designee of
Subscriber or Alpha Advisors LLC (collectively referred to herein as “Subscriber Rights Holders”), in each case investing on his, her or its own behalf; provided that each such individual or entity is an accredited investor as defined in
Regulation D under the Securities Act; and provided further that the participation of such individual or entity in the offering of New Company Securities will not result in a violation of applicable federal or state securities laws by the Company or
its affiliates. 

  
 8 

 8. Sales of Additional Convertible Promissory Notes and Related Warrants. Subject to the
Company’s compliance with Section 7 of this Agreement, the Company may effect additional sales of convertible promissory notes and related warrants to Subscriber or its Affiliates upon the execution of documents evidencing any such
transaction executed by each of the parties in its sole discretion. 
 9. Right to Accept or Reject Subscription. Subscriber
understands that this subscription may be accepted or rejected in whole or in part by the Company in its sole and absolute discretion and if rejected the subscription price will be returned without interest; provided, that the subscription
will be deemed accepted by the Company if not rejected in writing within two business days following receipt of this Agreement executed by Subscriber. 

10. Other Financings. Subject to the Company’s compliance with Section 7 of this Agreement, as well as the conversion price
adjustment provisions included in the Note, Subscriber understands that the Company will in all likelihood engage in other financings, which may include additional sales of the Company’s debt or equity securities, on the same or different terms
than provided herein, including higher or lower interest rates, conversion prices or Warrant exercise prices than offered to Subscriber. In addition, such securities may have rights that are senior to the Shares, including preferential rights to
dividends and liquidation proceeds, preferential voting rights (including rights to elect directors), and redemption or other rights that may be dilutive or otherwise adverse to the rights of common shareholders. Debt securities may include
restrictive covenants that limit the operations of the Company, such as consent rights with respect to specified categories of transactions. 

11. Introductions. Until February 28, 2020, or such earlier date as the parties may agree in writing, Subscriber shall assist the
Company in its fundraising efforts on a non-exclusive basis by making introductions to persons with whom Subscriber has an existing business or personal relationship, provided that the Company will make its CEO available to participate in meetings
with potential investors introduced by Subscriber and will reimburse Subscriber’s reasonable out-of-pocket costs in connection with the fundraising. The Company will not independently solicit any limited partners of Subscriber or its Affiliates
or other investors introduced to the Company by Subscriber or its Affiliates without Subscriber’s prior written consent during the period ending February 28, 2020. 

12. Entire Agreement. Except as expressly set forth herein, this Agreement, together with the Note and the Warrants, contain the entire
understanding of the parties with respect to the subject matter hereof and thereof, and supersede all prior agreements, understandings, discussions and representations, oral or written, with respect to such matters, which the parties acknowledge
have been merged into the foregoing documents. 
 13. General. This Agreement shall be governed by the laws of the state of Florida,
without regard to its principles of conflicts of laws, contains the sole and entire understanding of the parties with respect to its subject matter and all prior negotiations, discussions, commitments and understandings previously between the
parties with respect thereto are merged herein. This Agreement cannot be changed or terminated or any performance or condition waived in whole or in part except by a writing signed by the party against whom enforcement of the change, termination or
waiver is sought. The waiver of any breach of any term or condition of this Agreement shall not be deemed to constitute the waiver of any other breach of the same or any other term or condition. 

  
 9 

 IN WITNESS WHEREOF, Subscriber executes and agrees to be bound by this Agreement. 

 

									
	 Total Note Amount

$1,500,000
				 The Note and Warrants should be issued in the following name(s): (please print)

				
							Alpha Venture Capital Partners, L.P. (AVCP)
				
							 Residence or Principal Office Address of 

							Subscriber: 		 2026 Crystal Wood Drive
 Lakeland, FL
33801

							Mailing: 		 P.O. Box 2477
 Lakeland, FL
33806-2477

					
							Tel: 		863-665-8888
			
	 Tax ID No.:
  

////
				 Alpha Venture Capital Management,

            LLC

				
	AGREED AND ACCEPTED:				By:		 /s/ Carl Dockery

							Name:		Carl Dockery
							Title:		Manager
				
	CYTODYN INC.						
					
	By:		 /s/ Nader Pourhassan
						
	Name:		Nader Pourhassan						
	Title:		President and Chief Executive Officer						
					
	 Date: 
		February 6, 2015						

  
 10

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