SEC Contract Filing

Filing Date: 2015-11-13

Document Content:
<DOCUMENT>
<TYPE>EX-10.1
<SEQUENCE>2
<FILENAME>gbim-ex101_270.htm
<DESCRIPTION>EX-10.1
<TEXT>
<!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd">
<html>
<head>
<title>
gbim-ex101_270.htm
</title>
</head>
<!-- NG Converter v4.0.2.6 -->
<body>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="text-align:right;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman Bold;font-variant: small-caps;font-size:10pt;font-style:normal;text-transform:none;">Exhibit<font style="text-transform:uppercase;font-variant: normal;"> 10.1</font></p>
<p style="text-align:justify;margin-top:18pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.</p>
<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">AMENDMENT #5 TO THE COLLABORATION AND OPTION AGREEMENT</p>
<p style="text-align:justify;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">THIS AMENDMENT #5 TO THE COLLABORATION AND OPTION AGREEMENT<font style="font-weight:normal;"> (together with any appendices attached hereto, this &#8220;</font>Amendment #5<font style="font-weight:normal;">&#8221;) is made and entered into as of </font>July 31, 2015<font style="font-weight:normal;"> (the &#8220;</font>Amendment #5 Effective Date<font style="font-weight:normal;">&#8221;), by and between GlobeImmune, Inc., a Delaware corporation located at 1450 Infinite Drive, Louisville, Colorado 80027, United States of America (&#8220;</font>GlobeImmune<font style="font-weight:normal;">&#8221;), and </font>Celgene Corporation<font style="font-weight:normal;">, a Delaware corporation located at 86 Morris Avenue, Summit, New Jersey 07901, United States of America (&#8220;</font>Celgene<font style="font-weight:normal;">&#8221;). GlobeImmune and Celgene are sometimes referred to herein individually as a &#8220;</font>Party<font style="font-weight:normal;">&#8221; and collectively as the &#8220;</font>Parties<font style="font-weight:normal;">.&#8221;</font></p>
<p style="text-align:center;margin-top:18pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">RECITALS</p>
<p style="text-align:justify;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">WHEREAS, GlobeImmune and Celgene are parties to the Collaboration and Option Agreement, effective as of May&#160;14, 2009, as amended on November&#160;6, 2009 (via Amendment #1 to the Collaboration and Option Agreement), February&#160;9, 2010 (via Amendment #2 to the Collaboration and Option Agreement), June 16, 2011 (via Amendment #3 to the Collaboration and Option Agreement), and October 14, 2011 (via Amendment #4 to the Collaboration and Option Agreement) (collectively, the &#8220;<font style="font-weight:bold;">Agreement</font>&#8221;), which sets forth certain rights and obligations of both Parties relating to a certain collaboration, research and development activities for certain drug candidates and future drug programs;</p>
<p style="text-align:justify;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">WHEREAS, Celgene and GlobeImmune desire to revise and amend the Agreement to add the Collaboration Compound known as GI-6100 as a Drug Candidate under the Agreement and to remove the Collaboration Compound known as GI-3000 as a Drug Candidate under the Agreement;</p>
<p style="text-align:justify;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">WHERAS, Celgene and GlobeImmune desire to update various Collaboration and Option Agreement exhibits; and</p>
<p style="text-align:justify;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">WHEREAS, capitalized terms used herein but not defined herein shall have the definitions set forth in the Agreement.</p>
<p style="text-align:center;margin-top:18pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">AGREEMENT</p>
<p style="text-align:justify;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">NOW, THEREFORE, GlobeImmune and Celgene agree as follows:</p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">1.<font style="font-weight:normal;"> Section&#160;1.34 of the Agreement shall be deleted in its entirety and replaced with the following:</font></p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;margin-left:4.54%;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#8220;<font style="font-weight:bold;