Document:

EX-10.1

 Exhibit 10.1 

EXECUTION VERSION 
 FIRST
AMENDMENT TO SUBSCRIPTION AND INVESTMENT AGREEMENT 
 THIS FIRST AMENDMENT TO SUBSCRIPTION AND INVESTMENT AGREEMENT (this
“First Amendment”) is entered into as of the 23rd day of December, 2014, by and between Sorrento Therapeutics, Inc., a Delaware corporation (the “Purchaser”) and Conkwest, Inc., a Delaware corporation
(the “Company”). 
 WHEREAS, each party hereto is a party to that certain Subscription and Investment
Agreement dated as of December 18, 2014 (the “Investment Agreement”); and 
 WHEREAS, the parties desire
to amend the Investment Agreement in accordance with Section 5.5 thereof. 
 NOW, THEREFORE, in consideration of the premises and
mutual promises herein made, the parties agree as follows: 
 1. Capitalized Terms. Unless otherwise defined in this First Amendment,
all capitalized terms used herein shall have the meanings ascribed to such terms in the Investment Agreement. Each of the terms “Additional Purchasers” and “Purchasers” set forth in the Investment Agreement is hereby deleted and
replaced with the term “Purchaser,” and any references in the Investment Agreement to any Purchaser shall mean Sorrento Therapeutics, Inc. as the sole Purchaser under the Investment Agreement. In addition, the following terms are added to
Section 1.1 of the Investment Agreement as defined terms: 
 “Beneficial Ownership” by a Person of any securities means
ownership by any Person who directly, or indirectly through any contract, agreement, arrangement, understanding, relationship or otherwise, has or shares (i) voting power, which includes the power to vote, or to direct, influence or cause the
voting, of such security, and/or (ii) dispositive power, which includes the power to dispose, or to direct, influence or cause the disposition, of such security; and shall be interpreted in accordance with the term “beneficial
ownership” as defined in Rule 13d-3 under the Exchange Act, except that irrespective of Rule 13d-3 and for all purposes of determining Beneficial Ownership under this Agreement, a Person also shall be deemed to be the Beneficial Owner of all
securities which may be acquired by such Person pursuant to any agreement, arrangement or understanding or upon the exercise of any conversion rights, preemptive or subscription rights, exchange rights, or pursuant to any warrants or options, or
otherwise (irrespective of whether the right to acquire such securities is exercisable immediately or only after the passage of time, including the passage of time in excess of 60 days, the satisfaction of any conditions, the occurrence of any
event, or any combination of the foregoing). For further purposes of this Agreement, a Person shall be deemed to Beneficially Own (i) all securities Beneficially Owned by its Affiliates (including its officers, directors, managing members,
managers and general partners, as applicable) or any Group of which such Person or any such Affiliate is or becomes a member, (ii) all securities that are the subject of any trust, proxy, power of attorney, pooling arrangement or any other
contract, arrangement or device with the purpose or effect of divesting such 

 
Person’s Beneficial Ownership of such securities or preventing the vesting of such Beneficial Ownership as part of a plan or scheme to evade the reporting requirements of Section 13(d)
or 13(g) of the Exchange Act, and (iii) all securities that are the subject of any derivative transaction entered into by such Person (or any of such Person’s Affiliates), or any derivative security acquired by such Person (or any of such
Person’s Affiliates) which gives such Person (or any of such Person’s Affiliates) the economic equivalent of ownership of an amount of or interest in any such securities by reason of the fact that the value of the derivative is determined
by reference to the price or value of any underlying, referenced or subject security, without regard to whether (A) such derivative conveys any voting rights in such securities to such Person (or any of such Person’s Affiliates),
(B) such derivative is required to be, or is capable of being, settled through physical or book-entry delivery of such securities, or (C) such Person (or any of such Person’s Affiliates) may have entered into any transaction that
hedges the economic effect of such derivative. In determining the amount of the Common Stock deemed Beneficially Owned by virtue of the operation of clause (iii) of the immediately preceding sentence, the subject Person shall be deemed to
beneficially own (without duplication) the amount of Common Stock that is synthetically owned pursuant to such derivative transactions or such derivative securities. The terms “Beneficially Own” and “Beneficially
Owned” shall have correlative meanings to “Beneficial Ownership.” 
 “Group” has the meaning
assigned to it in Section 13(d)(3) of the Exchange Act. 
 2. Section 2.1(b). Section 2.1(b) of the Investment
Agreement is hereby deleted in its entirety and shall hereafter be replaced with the following: 
 Additional Closing. Subject to the
satisfaction (or, where legally permissible, the waiver) of the applicable conditions set forth in Section 2.3 and Section 4.9 below, solely with respect to the Purchaser that elects on the signature page hereto to
participate in one or more additional closings (each, an “Additional Closing”), the Purchaser shall purchase such aggregate number of additional shares of Common Stock as set forth on the signature page with respect to the following
Additional Closings (each, an “Additional Closing Date”, and together with the Initial Closing Date, each a “Closing Date”), as applicable: (A) the date of execution of the JV Documents (the “First
Additional Closing Date”) and/or (B) the date and time on which the Company closes its sale of securities pursuant to that certain Subscription and Investment Agreement, dated December 23, 2014 (the “Other Investment
Agreement”), between the Company and Cambridge Equities, LP (“Cambridge”), pursuant to which Cambridge agrees to acquire approximately 40% of the outstanding voting stock of the Company, calculated on a fully-diluted basis, a copy
of which executed agreement has been provided to the Purchaser (the “Second Additional Closing Date”).” 

  
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 3. Section 2.2(e). Section 2.2(e) of the Investment Agreement is hereby
deleted in its entirety and shall hereafter be replaced with the following: 
 “On or prior to the Second Additional Closing Date, the
Company shall deliver or cause to be delivered to the Purchaser a Common Stock certificate registered in the name of the Purchaser for a number of shares of Common Stock equal to the Purchaser’s Subscription Amount divided by $3.4909.”

 4. Board Composition; Nominee Directors. The following provision is added to the Investment Agreement as Section 4.9:

 “Notwithstanding any provision of the Joint Development and License Agreement, dated December 18, 2014, between the Company and
the Purchaser, and subject to the closing (the “Other Closing”) of the purchase and sale of the securities pursuant to the Other Investment Agreement, immediately prior to the Second Additional Closing, in accordance with the
Company’s certificate of incorporation and bylaws and applicable provisions of the Delaware General Corporation Law (“DGCL”), the Company shall use commercially reasonable efforts to cause the Board of Directors to take
appropriate action to (i) amend the Company’s bylaws to provide that the Board of Directors shall consist of no more than nine (9) directors and (ii) increase the size of the Board of Directors such that the Board of Directors
shall consist of nine (9) directors. As a condition to the Second Additional Closing, and effective as of the Second Additional Closing, in accordance with and subject to the Company’s certificate of incorporation and bylaws and applicable
provisions of the DGCL, the Company shall use commercially reasonable efforts to cause the Board of Directors to appoint Henry Ji, Ph.D. to the Board of Directors to fill a vacancy on the Board of Directors created by such increase in the size of
the Board of Directors, to serve in such capacity until the next annual meeting of stockholders of the Company or until his successor is duly elected and qualified. For so long as the Purchaser owns directly and/or through one of its wholly-owned
subsidiaries in excess of 250,000 of the issued and outstanding shares of Common Stock from and after the date hereof (subject to adjustment for stock splits, stock dividends, recapitalizations and similar transactions), with respect to each annual
or special meeting of the Company at which directors are to be elected, the Company shall permit the Purchaser to designate one (1) director who shall be nominated and recommended for election by the Company’s nominating committee (or if
there is no such nominating committee, the Board of Directors or any other duly authorized committee thereof) for election to the Board of Directors, provided that such nomination would not contravene the Company’s certificate of incorporation
and bylaws, the charter of the Company’s nominating committee (as applicable), the applicable provisions of the DGCL, the Board of Directors’ fiduciary duties to the Company’s stockholders and other constituents, and any other
applicable law. If at any time the Purchaser owns directly and through its wholly-owned subsidiaries less than 250,000 of the issued and outstanding shares of Common Stock (subject to adjustment for stock splits, stock dividends, recapitalizations
and similar transactions), the Purchaser’s right to have a designee nominated or 

  
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appointed to serve as a member of the Board of Directors under this Section 4.9 shall automatically terminate. In the event the Purchaser owns directly and/or through one of its wholly-owned
subsidiaries more than 250,000 of the issued and outstanding shares of Common Stock (subject to adjustment for stock splits, stock dividends, recapitalizations and similar transactions) and does not have a designee serving as a member of the Board
of Directors, the Purchaser shall have the right to designate one individual to attend all meetings of the Board of Directors as an observer in a non-voting capacity, which designee shall receive a copy of all materials provided to the members of
the Board of Directors at the same time such materials are provided to the members of the Board of Directors, subject to customary conflict of interest and confidentiality considerations. As a condition to a Purchaser director designee’s
ability to stand for election, such Purchaser director designee shall provide to the Company in a timely manner all information required by Regulation 14A and Schedule 14A under the Exchange Act as the Company may request with respect to such
Purchaser director designee in a timely manner.” 
 5. Voting. The following provision is added to the Investment Agreement as
Section 4.10: 
 “Voting. The Purchaser hereby covenants and agrees, from and after the Initial Closing Date until
such date that the Company consummates a Qualified IPO, as follows: 
 (a) At any meeting of the stockholders of the Company, or at any
adjournment thereof, or in any other circumstances upon which a vote, consent, adoption or other approval (including by written consent solicitation) by the stockholders of the Company is sought, the Purchaser shall, including by executing a written
consent if requested by the Company (as appropriate), (i) be present, in person or by proxy, so that all of such shares of Common Stock then Beneficially Owned by the Purchaser and its Affiliates are counted for the purpose of determining the
presence of a quorum thereat and (ii) vote (or cause to be voted) all of the shares of Common Stock then Beneficially Owned by the Purchaser and its Affiliates in favor of, and shall consent to (or cause to be consented to), any matter, action
or transaction that is approved by a majority of the directors comprising the Board of Directors of the Company and recommended by such majority of the directors comprising the Board of Directors of the Company for approval, adoption or ratification
by the stockholders of the Company. 
 (b) At any meeting of the stockholders of the Company or at any adjournment thereof or in any other
circumstances upon which a vote, consent, adoption or other approval (including by written consent solicitation) is sought, the Purchaser shall, including by executing a written consent if requested by the Company (as appropriate), (i) be
present, in person or by proxy, so that all of such shares of Common Stock then Beneficially Owned by the Purchaser and its Affiliates are counted for the purpose of determining the presence of a quorum thereat and
(ii)

  
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vote (or cause to be voted) all of the shares of Common Stock then Beneficially Owned by the Purchaser and its Affiliates against, and shall not consent to (and shall cause not to be consented
to), any of the following (or any contract to enter into, effect, facilitate or support any of the following): (A) any action, proposal, agreement or transaction that could result in a breach of any representation, warranty, covenant, agreement
or other obligation of the Purchaser under this Agreement or (B) any matter, action or transaction that is not approved by a majority of the directors comprising the Board of Directors of the Company and recommended by such majority of the
directors comprising the Board of Directors of the Company for approval, adoption or ratification by the stockholders of the Company. 
 With
respect to paragraphs (a) and (b) of this Section 4.10, any such vote shall be cast (or written consent shall be given) by the Purchaser in accordance with such procedures relating thereto under the Company’s certificate of
incorporation and bylaws as currently in effect so as to ensure that it is duly counted, including for purposes of determining that a quorum is present and for purposes of recording the results of such vote (or consent).” 

6. Subscription Amount of Common Stock at First Additional Closing. The Subscription Amount of Common Stock at First Additional Closing
listed on the Purchaser’s signature page to the Investment Agreement is hereby amended and shall hereafter read: 
 “$7,000,000.00
(or more, if approved in writing by Sorrento Therapeutics, Inc. and agreed to in writing by Conkwest, Inc.)”. 
 7. Subscription
Amount of Common Stock at Second Additional Closing. The Subscription Amount of Common Stock at Second Additional Closing listed on the Purchaser’s signature page to the Investment Agreement is hereby amended and shall hereafter read: 

“$2,000,000.00 (or more, if approved in writing by Sorrento Therapeutics, Inc. and agreed to in writing by Conkwest, Inc.)” 

8. Counterparts. This First Amendment may be executed in two or more counterparts, each of which shall be an original, but which shall
together constitute one instrument. Delivery of an executed counterpart of a signature page to this First Amendment by facsimile shall be effective as delivery of an originally executed counterpart to this Agreement. 

9. Effect of First Amendment. Except as set forth in this First Amendment, the terms and provisions of the Investment Agreement
(a) are hereby ratified and confirmed, and (b) shall be and remain in full force and effect. 
 10. Miscellaneous. The
Miscellaneous provisions of Section 5 of the Investment Agreement are hereby incorporated herein mutatis mutandis. 
 BALANCE OF
PAGE INTENTIONALLY LEFT BLANK 

  
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 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment as of the date set
forth in the first paragraph hereof. 
  

			
	CONKWEST, INC.
		
	By:	 	  

	Name:	 	  Barry Simon
	Title:	 	  President and CEO

 First Amendment to Investment Agreement Signature Page 

  

			
	SORRENTO THERAPEUTICS, INC.
		
	By:	 	  

	Name:	 	  Henry Ji
	Title:	 	  President and CEO

 First Amendment to Investment Agreement Signature PageEX-10.2

 Exhibit 10.2 

EXECUTION VERSION 
  

 
  

STOCKHOLDERS’ AGREEMENT 

dated as of 
 December
23, 2014 
 by and among 

CONKWEST, INC., 

SORRENTO THERAPEUTICS, INC., 

CAMBRIDGE EQUITIES, LP 

and 
 THE PERSONS LISTED
ON SCHEDULE A HERETO 
  
  

 

 STOCKHOLDERS’ AGREEMENT 

This STOCKHOLDERS’ AGREEMENT (this “Agreement”), is entered into as of December 23, 2014, by and among Conkwest, Inc.,
Sorrento Therapeutics, Inc., Cambridge Equities, LP, and the persons listed on Schedule A hereto (collectively, the “Stockholders”). 

WHEREAS, Cambridge Equities, LP (“Cambridge”) is entering into a Subscription and Investment Agreement, dated of even date herewith
(the “Subscription Agreement”), with Conkwest, Inc. (the “Company”), pursuant to which Cambridge will acquire approximately 40% of the Company’s Class A Common Stock, par value $0.0001 per share (the “Common
Stock”), subject to the terms and conditions set forth therein; 
 WHEREAS, Sorrento Therapeutics, Inc. is entering into a First
Amendment to Subscription and Investment Agreement, dated of even date herewith (the “Sorrento Amendment”), with the Company, in connection with the purchase of $2,000,000 of the Company’s Common Stock, subject to the terms and
conditions set forth therein; 
 WHEREAS, the Company undertakes in Section 4.9 of the Subscription Agreement and Section 4 of the
Sorrento Amendment to take certain actions in respect of the nomination, appointment and election to its Board of Directors of one designee of Cambridge (the “Cambridge Designee”) and one designee of Sorrento (the “Sorrento
Designee”), respectively; 
 WHEREAS, in order to induce Cambridge to enter into the Subscription Agreement and to induce Sorrento to
enter into the Sorrento Amendment, the Stockholders wish to make provision to support the election of each of the Cambridge Designee and the Sorrento Designee to the Company’s Board of Directors following consummation of the transactions
contemplated by the Subscription Agreement; and 
 WHEREAS, the Closing (as defined in the Subscription Agreement) is conditioned upon the
Stockholders entering into this Agreement. 
 NOW, THEREFORE, in consideration of the mutual covenants and undertakings contained herein and
for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows: 

ARTICLE I 

DEFINITIONS 

SECTION 1.01. Definitions. As used in this Agreement, the following terms shall have the following meanings. Capitalized Terms
not otherwise defined herein shall the meaning ascribed to them in the Subscription Agreement. 

  
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 ARTICLE II 

CORPORATE GOVERNANCE 

SECTION 2.01. Board of Directors; Voting of Shares.  

(a) Until the earlier of (a) the consummation of a firm-commitment initial public offering of the Common Stock approved by the
Company’s Board of Directors (an “IPO”), or (b) the date upon which Cambridge no longer has the right to nominate a Cambridge Designee under Section 4.9 of the Subscription Agreement, or relinquishes the right to designate a
Cambridge Designee (the earliest of such dates, the “Cut-Off Date”), each of the Stockholders, in any election of directors or at any meeting of the stockholders of the Company at which directors are to be elected, (i) will be present
(in person or by proxy) for purposes of establishing a quorum, and (ii) will vote, or grant a proxy to the Company or its authorized designee(s) to vote or act by written consent with respect to all shares of Common Stock Beneficially Owned by
such Stockholder (A) in favor of the Cambridge Designee for election to the Board of Directors and to serve as Co-Chairman, (B) in favor of the Sorrento Designee for election to the Board of Directors during such time as Sorrento has the
right to nominate a Sorrento Designee under Section 4 of the Sorrento Amendment, or relinquishes the right to designate a Sorrento Designee (the earliest of such dates, the “Sorrento Cut-Off Date”), and (C) each other director
nominee that is not a Cambridge Designee or Sorrento Designee (each a “Non-Investor Director”) recommended by at least a majority of the directors comprising the entire Board of Directors of the Company for election as directors of the
Company. 
 (b) Except as expressly provided above, each Stockholder shall be free to vote in his, her or its sole discretion all shares of
Common Stock Beneficially Owned by such Stockholder entitled to vote on any other matter submitted to or acted upon by stockholders of the Company; provided, however, that (i) Cambridge and its affiliates shall be subject to the
restrictions and limitations with respect to the shares of Common Stock Beneficially Owned by Cambridge set forth in the Subscription Agreement, and nothing in this Agreement shall be deemed to amend, alter, limit or curtail in any manner
whatsoever, the restrictions and limitations with respect to the shares of Common Stock Beneficially Owned by Cambridge set forth in the Subscription Agreement, including, without limitation, those restrictions and limitations set forth in Sections
4.10, 4.11 and 4.12. 
 SECTION 2.02. Removal; Filling of Vacancies. If requested by Cambridge or Sorrento in writing to the other
Stockholders prior to the Cut-Off Date or Sorrento Cut-Off Date, respectively, the Stockholders shall vote at regular or special meetings of stockholders and give written consent with respect to, such number of shares of Common Stock Beneficially
Owned by them as may be necessary to remove from the Board the Cambridge Designee or the Sorrento Designee, as the case may be. Any vacancy created by such removal shall be filled by party whose designee was so removed. The Cambridge
Designee may not be removed without the vote or written consent of Cambridge, and the Sorrento Designee may not be removed without the vote or written consent of Sorrento. In the event of the resignation, death or disqualification of the
Cambridge or Sorrento Designee, Cambridge or Sorrento, as the case may be, shall promptly nominate a new director, and each Stockholder shall promptly vote his, her or its shares of Common Stock Beneficially Owned to elect such replacement nominee
to the Board. 

  
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 ARTICLE III 

MISCELLANEOUS 
 SECTION
3.01. Term, Notices.  
 (a) Unless terminated by mutual written agreement of the parties hereto, this Agreement shall be
effective from the date hereof until the expiration of the later to occur of the Cut-Off Date and the Sorrento Cut-Off Date. Notwithstanding the foregoing, the covenants, agreements and obligations of the parties with respect to the Cambridge
Designee shall automatically terminate on the Cut-Off Date, and the covenants, agreements and obligations of the parties with respect to the Sorrento Designee shall automatically terminate on the Sorrento Cut-Off Date. 

(b) All notices, requests, permissions, waivers and other communications hereunder shall be in writing and shall be deemed to have been duly
given (a) five (5) Business Days following sending by registered or certified mail, postage prepaid, (b) when sent, if sent by facsimile; provided that the facsimile transmission is promptly confirmed by telephone, (c) when
delivered, if delivered personally to the intended recipient and (d) one (1) business day following sending by overnight delivery via a national or international courier service and, in each case, addressed to a party at the following
address for such party: 
 If to any Stockholder other than Cambridge, to it at the following address: 

[Name of Stockholder]  

c/o Conkwest, Inc. 
 2533 South
Coast Highway 101, Suite 210 
 Cardiff by the Sea, CA 92007 

Fax: 858-380-1999 
 Attention:
Richard Gomberg, Secretary 
 with a copy to the Company at the above address; and 

with a copy to: 
 Greenberg
Traurig, LLP 
 The MetLife Building 

200 Park Avenue 
 New York, NY
10166 
 Telephone: (212) 801-9200 (phone) 

Facsimile: (212) 801-6400 (facsimile) 

Attention: Anthony J. Marsico, Esq. 

If to Cambridge, to it at the following address: 

  
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 Cambridge Equities, LP 

9922 Jefferson Boulevard 
 Culver
City, CA 90232 
 Facsimile: (310) 405-7588 

Attention: Manager 
 If to
Sorrento, to it at the following address: 
 Sorrento Therapeutics, Inc. 

6042 Cornerstone Ct. West, Suite B 

San Diego, CA 92121 
 Telephone:
(858) 210-3701 
 Facsimile: (858) 210-3759 

Attention: Company Secretary 

SECTION 3.02. Applicable Law. All questions concerning the construction, validity, enforcement and interpretation of this Agreement
shall be governed by and construed and enforced in accordance with the internal laws of the State of California, without regard to the principles of conflicts of law thereof. Each party agrees that all legal proceedings concerning the
interpretations, enforcement and defense of the transactions contemplated by this Agreement (whether brought against a party hereto or its respective affiliates, directors, officers, shareholders, partners, members, employees or agents) shall be
commenced exclusively in the state and federal courts sitting in the City of Los Angeles, State of California. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the City of Los Angeles,
State of California for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of this Agreement), and hereby irrevocably waives,
and agrees not to assert in any suit, action or proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such suit, action or proceeding is improper or is an inconvenient venue for such proceeding. Each
party hereby irrevocably waives personal service of process and consents to process being served in any such suit, action or proceeding by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to
such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any
right to serve process in any other manner permitted by law. 
 SECTION 3.03. Integration. This Agreement, the Subscription
Agreement, and the Registration Rights Agreement, dated of even date between the Company and Cambridge, contain the entire understanding of the Company and Cambridge with respect to the subject matter hereof, and supersede all prior agreements and
understandings between such parties with respect to the subject matter hereof. This Agreement and the Sorrento Amendment contain the entire understanding of the Company and Sorrento with respect to the subject matter hereof, and supersede all prior
agreements and understandings between such parties with respect to the subject matter hereof. 

  
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 SECTION 3.04. Descriptive Headings. The headings in this Agreement are for
convenience of reference only and shall not limit or otherwise affect the meaning of terms contained herein. 
 SECTION 3.05.
Severability. The invalidity or unenforceability of any provisions of this Agreement in any jurisdiction shall not affect the validity, legality or enforceability of the remainder of this Agreement in such jurisdiction or the validity,
legality or enforceability of this Agreement, or any provision hereof, in any other jurisdiction, it being intended that all rights and obligations of the parties hereunder shall be enforceable to the fullest extent permitted by law. 

SECTION 3.06. Successors, Assigns, Transferees. The provisions of this Agreement shall be binding upon and inure to the benefit
of the parties hereto and their respective heirs, successors and permitted assigns. Neither this Agreement nor any right, remedy, obligation or liability arising hereunder or by reason hereof may be assigned by any party without the prior written
consent of the other parties hereto. Any purported assignment of rights under this Agreement in violation of this Section 3.06 shall be void and of no effect. 

SECTION 3.07. Amendments; Waivers. No provision of this Agreement may be waived, modified, supplemented or amended except in a written
instrument signed, in the case of an amendment, each of the parties hereto or, in the case of a waiver, by the party against whom enforcement of any such waived provision is sought. No waiver of any default with respect to any provision, condition
or requirement of this Agreement shall be deemed to be a continuing waiver in the future or a waiver of any subsequent default or a waiver of any other provision, condition or requirement hereof, nor shall any delay or omission of any party to
exercise any right hereunder in any manner impair the exercise of any such right. 
 SECTION 3.08. Counterparts. This
Agreement may be executed in two or more counterparts, each of which shall be deemed an original but all of which, when taken together, shall constitute one and the same Agreement. 

SECTION 3.09. Specific Performance. Each of the parties hereto acknowledges and agrees that in the event of any breach of this
Agreement, the non-breaching parties would be irreparably harmed and could not be made whole by monetary damages. The parties hereto, in addition to any other remedy to which they may be entitled at law or in equity, shall be entitled to seek an
injunction or injunctions to prevent breaches of the provisions of this Agreement and to enforce specifically the terms and provisions hereof without the necessity of securing or posting any bond or providing prior notice. 

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] 

  
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 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date first above written. 

 

			
	CONKWEST, INC.
		
	By:	 	  

	Name:	 	Barry Simon
	Title:	 	President and CEO

 
			
	
	SORRENTO THERAPEUTICS, INC.
		
	By:	 	  

	Name:	 	Henry Ji
	Title:	 	President and CEO

 
			
	 No. of Class A Common Shares as of

the date hereof:                    

	
	CAMBRIDGE EQUITIES, LP
		
	By:	 	  

	Name:	 	
	Title:	 	

 
			
	 No. of Class A Common Shares as of

the date hereof:                     

	
	  

	STEVE GORLIN
	 No. of Class B Common Shares as of

the date hereof:*                     

  
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	BARRY SIMON
	 No. of Class B Common Shares as of

the date hereof:*
                    

	
	  

	HANS KLINGEMANN
	 No. of Class B Common Shares as of

the date hereof:*
                    

  

	*	Class B Common Shares shall be reclassified into an equal number of Class A Common Shares. 

  
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 SCHEDULE A 

STEVEN GORLIN 
 BARRY SIMON 

HANS KLINGEMANN 

  
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