Conditions: Multiple Myeloma
Keywords: PDL1 PD1 Multiple Myeloma
Allocation: RANDOMIZED | Intervention model: PARALLEL
Enrollment: 251
Healthy volunteers: no

Brief summary:
The purpose of this study is to compare the efficacy of pomalidomide and low dose dexamethasone with pembrolizumab (MK-3475) to that of pomalidomide and low dose dexamethasone without pembrolizumab in terms of Progression-Free Survival (PFS) in participants with refractory or relapsed and refractory multiple myeloma (rrMM) who have undergone at least 2 lines of prior treatment. The study's 2 primary hypotheses are: 1. Pembrolizumab in combination with pomalidomide and low dose dexamethasone prolongs PFS as assessed by Clinical Adjudication Committee (CAC) blinded central review using International Myeloma Working Group Criteria for Response Assessment in Multiple Myeloma (IMWG) criteria compared to treatment with pomalidomide and low dose dexamethasone standard of care (SOC) alone. 2. Pembrolizumab in combination with pomalidomide and low dose dexamethasone prolongs OS compared to treatment with pomalidomide and low dose dexamethasone (SOC) alone.

Detailed description:

Arms:
arm 1: Participants receive pembrolizumab 200 mg intravenously (IV) on Day 1 every 3 weeks (Q3W) PLUS pomalidomide 4 mg orally (PO) on Days 1 to 21 of each 28-day cycle PLUS dexamethasone 40 mg PO on Days 1, 8, 15 and 22 of each 28-day cycle. arm 2: Participants receive pomalidomide 4 mg PO on Days 1 to 21 of each 28-day cycle PLUS dexamethasone 40 mg PO on Days 1, 8, 15 and 22 of each 28-day cycle.

Interventions: intervention 1: Pembrolizumab intervention 2: Pomalidomide intervention 3: Dexamethasone
Intervention descriptions: intervention 1: pembrolizumab 200 mg IV infusion intervention 2: pomalidomide 4 mg capsules intervention 3: dexamethasone 40 mg tablets

Protocol document:
Prot_SAP_001.pdf: 
Official Protocol Title: 
NCT number: 
Document Date: 
A Phase III study of Pomalidomide and Low Dose 
Dexamethasone With or Without Pembrolizumab (MK3475) 
in Refractory or Relapsed and Refractory Multiple Myeloma
(rrMM) (KEYNOTE 183)
04-June-2020
NCT02576977


Product:  MK-3475 
1
Protocol/Amendment No.: 183-06 
MK-3475-183-06 Final Protocol
04-Jun-2020
Confidential
THIS PROTOCOL AMENDMENT AND ALL OF THE INFORMATION RELATING 
TO IT ARE CONFIDENTIAL AND PROPRIETARY PROPERTY OF MERCK 
SHARP & DOHME CORP., A SUBSIDIARY OF MERCK & CO., INC., 
WHITEHOUSE STATION, NJ, U.S.A.
SPONSOR:
Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. 
(hereafter referred to as the Sponsor or Merck)
One Merck Drive
P.O. Box 100
Whitehouse Station, New Jersey, 08889-0100, U.S.A.
Protocol-specific Sponsor Contact information can be found in the Investigator Trial File 
Binder (or equivalent).
TITLE:
A Phase III study of Pomalidomide and Low Dose Dexamethasone With or Without 
Pembrolizumab (MK3475) in Refractory or Relapsed and Refractory Multiple Myeloma 
(rrMM) (KEYNOTE 183)
IND NUMBER:  118604
EudraCT NUMBER:  2015-002509-13 
 
 
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TABLE OF CONTENTS
DOCUMENT HISTORY ..................................................................................................... 12
SUMMARY OF CHANGES................................................................................................ 14
1.0
TRIAL SUMMARY.................................................................................................. 16
2.0
TRIAL DESIGN........................................................................................................ 17
Trial Design ........................................................................................................... 17
Trial Diagram........................................................................................................ 19
3.0
OBJECTIVE(S) & HYPOTHESIS(ES).................................................................. 19
Primary Objective(s) & Hypothesis(es).............................................................. 19
Secondary Objective(s) & Hypothesis(es)........................................................... 20
Exploratory Objectives......................................................................................... 20
4.0
BACKGROUND & RATIONALE.......................................................................... 20
Background ........................................................................................................... 20
Pharmaceutical and Therapeutic Background .................................................... 20
Pre-clinical and Clinical Trials ........................................................................... 22
Ongoing Clinical Trials....................................................................................... 22
Rationale................................................................................................................ 22
Rationale for the Trial and Selected Subject Population .................................... 22
4.2.1.1
Multiple Myeloma ....................................................................................... 22
4.2.1.2
Rationale for Evaluating anti-PD-1 Therapy in Multiple Myeloma............ 24
Rationale for Dose Selection/Regimen/Modification......................................... 24
4.2.2.1
Rationale for Fixed Dose Pembrolizumab................................................... 24
4.2.2.2
Rationale for the use of pomalidomide in combination with low dose 
dexamethasone in combination with pembrolizumab. ................................ 27
4.2.2.3
Rationale for The Use of pomalidomide in combination with low dose 
dexamethasone as the comparator ............................................................... 28
Rationale for Endpoints ...................................................................................... 28
4.2.3.1
Efficacy Endpoints....................................................................................... 28
4.2.3.2
Patient Reported Outcomes.......................................................................... 29
4.2.3.3
Safety Endpoints.......................................................................................... 29
 
 
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4.2.3.4
Pharmacokinetic Endpoints ......................................................................... 30
4.2.3.5
Planned Exploratory Biomarker Research................................................... 30
4.2.3.6
Future Biomedical Research........................................................................ 32
Benefit/Risk ........................................................................................................... 32
5.0
METHODOLOGY ................................................................................................... 33
Entry Criteria........................................................................................................ 33
Diagnosis/Condition for Entry into the Trial...................................................... 33
Subject Inclusion Criteria.................................................................................... 33
Subject Exclusion Criteria .................................................................................. 35
Trial Treatment(s) ................................................................................................ 37
Dose Selection/Modification .............................................................................. 37
5.2.1.1
Dose Selection (Preparation) ....................................................................... 37
5.2.1.2
Dose Modification ....................................................................................... 38
5.2.1.2.1
Dose Modification for pembrolizumab................................................. 38
5.2.1.2.2
Dose Modification Guidelines for pomalidomide ................................ 41
5.2.1.2.3
Dose Modification Guidelines for dexamethasone............................... 42
Timing of Dose Administration.......................................................................... 43
5.2.2.1
Pembrolizumab ............................................................................................ 44
5.2.2.2
Pomalidomide .............................................................................................. 44
5.2.2.3
Dexamethasone............................................................................................ 44
Extent of Trial Treatment.................................................................................... 45
Trial Blinding/Masking....................................................................................... 45
Randomization or Treatment Allocation............................................................ 45
Stratification.......................................................................................................... 45
Concomitant Medications/Vaccinations (Allowed & Prohibited).................... 46
Acceptable Concomitant Medications ................................................................ 46
Prohibited Concomitant Medications.................................................................. 46
Rescue Medications & Supportive Care............................................................. 47
Supportive Care Guidelines ................................................................................ 47
Prophylaxis or anti-thrombotic supportive treatment ......................................... 51
Tumor Lysis Syndrome....................................................................................... 51
Radiotherapy....................................................................................................... 51
 
 
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Diet/Activity/Other Considerations..................................................................... 52
Diet...................................................................................................................... 52
Pomalidomide Risk Minimization Program ....................................................... 52
Pomalidomide Pregnancy Prevention Plan for Subjects in Clinical Trials......... 53
Pomalidomide Risks of Fetal Exposure, Pregnancy Testing Guidelines and 
Acceptable Birth Control Methods ..................................................................... 53
5.7.4.1
Risks Associated with Pregnancy................................................................ 53
5.7.4.1.1
Definition of Females of Childbearing Potential.................................. 54
5.7.4.1.2
Definition of Females Not of Childbearing Potential........................... 54
5.7.4.2
Counseling ................................................................................................... 54
5.7.4.2.1
Females of Childbearing Potential........................................................ 54
5.7.4.2.2
Females Not of Childbearing Potential................................................. 55
5.7.4.2.3
Males..................................................................................................... 55
5.7.4.3
Contraception............................................................................................... 55
5.7.4.3.1
Female Subjects of Childbearing Potential........................................... 55
5.7.4.3.2
Male Subjects........................................................................................ 56
5.7.4.4
Pregnancy Testing........................................................................................ 56
5.7.4.5
Pregnancy Precautions for Pomalidomide Use............................................ 57
5.7.4.5.1
Before Starting Pomalidomide.............................................................. 57
Female Subjects of Childbearing Potential .................................... 57
Male Subjects ................................................................................. 57
5.7.4.5.2
During and After Study Participation ................................................... 58
Female Subjects.............................................................................. 58
Male Subjects ................................................................................. 58
5.7.4.5.3
Additional Precautions.......................................................................... 59
Subject Withdrawal/Discontinuation Criteria................................................... 59
Subject Replacement Strategy............................................................................. 60
Beginning and End of the Trial ........................................................................... 61
Clinical Criteria for Early Trial Termination ................................................... 61
6.0
TRIAL FLOW CHART ........................................................................................... 62
Trial Flow Chart................................................................................................... 62
Trial Treatment Administration Schedule .......................................................... 66
 
 
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7.0
TRIAL PROCEDURES ........................................................................................... 67
Trial Procedures ................................................................................................... 67
Administrative Procedures.................................................................................. 67
7.1.1.1
Informed Consent......................................................................................... 67
7.1.1.1.1
General Informed Consent.................................................................... 67
7.1.1.1.2
Consent and Collection of Specimens for Future Biomedical 
Research................................................................................................ 68
7.1.1.2
Inclusion/Exclusion Criteria ........................................................................ 68
7.1.1.3
Subject Identification Card .......................................................................... 68
7.1.1.4
Medical History ........................................................................................... 68
7.1.1.5
Prior and Concomitant Medications Review............................................... 68
7.1.1.5.1
Prior Medications.................................................................................. 68
7.1.1.5.2
POMALYST REMS™ program........................................................... 68
7.1.1.5.3
Concomitant Medications..................................................................... 69
7.1.1.5.4
Prior Cancer Treatment Details ............................................................ 69
7.1.1.5.5
Subsequent Anti-myeloma Therapy Status........................................... 69
7.1.1.6
Assignment of Screening Number............................................................... 69
7.1.1.7
Assignment of Treatment/Randomization Number..................................... 69
7.1.1.8
Trial Compliance (Medication/Diet/Activity/Other)................................... 69
Clinical Procedures/Assessments........................................................................ 70
7.1.2.1
Oncologic Disease Details........................................................................... 70
7.1.2.2
International Staging System (ISS).............................................................. 70
7.1.2.3
Adverse Event Monitoring........................................................................... 70
7.1.2.4
Electrocardiogram........................................................................................ 71
7.1.2.5
Full Physical Exam ...................................................................................... 71
7.1.2.5.1
Directed Physical Exam........................................................................ 71
7.1.2.6
Vital Signs.................................................................................................... 71
7.1.2.7
Eastern Cooperative Oncology Group (ECOG) Performance Status .......... 71
7.1.2.8
Assessment of Disease and Tumor Response.............................................. 72
7.1.2.8.1
Criteria for Assessment of Measurable Disease for Subject’s 
Eligibility. ............................................................................................. 72
7.1.2.8.2
Criteria for Assessment of Disease Response....................................... 72
Myeloma Laboratory Testing Disease Measurements................... 73
 
 
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Imaging for subjects with Myeloma Bone Disease........................ 73
7.1.2.8.3
Timing of Disease Assessments ........................................................... 74
7.1.2.8.4
Initial Disease Assessment.................................................................... 74
7.1.2.8.5
Disease Assessment During Trial......................................................... 75
7.1.2.8.6
Treatment Beyond Disease Progression ............................................... 75
7.1.2.8.7
Biopsy Collection and Correlative Studies Blood Collection .............. 76
7.1.2.9
Patient Reported Outcomes (PROs)............................................................. 77
Laboratory Procedures/Assessments .................................................................. 77
7.1.3.1
Laboratory Safety Evaluations (Hematology, Chemistry and Urinalysis) .. 77
7.1.3.2
Pharmacokinetic/Pharmacodynamic Evaluations........................................ 79
7.1.3.2.1
Pharmacokinetic Evaluations................................................................ 79
7.1.3.2.2
Blood Collection for Serum Pembrolizumab........................................ 79
7.1.3.2.3
Blood Collection for Anti- pembrolizumab Antibodies ....................... 80
7.1.3.3
Planned Genetic Analysis Sample Collection.............................................. 80
7.1.3.4
Future Biomedical Research Sample Collection ......................................... 80
Other Procedures................................................................................................. 80
7.1.4.1
Withdrawal/Discontinuation........................................................................ 80
7.1.4.1.1
Withdrawal From Future Biomedical Research ................................... 80
7.1.4.2
Blinding/Unblinding .................................................................................... 81
7.1.4.3
Calibration of Equipment............................................................................. 81
Visit Requirements.............................................................................................. 81
7.1.5.1
Screening...................................................................................................... 81
7.1.5.2
Pregnancy Testing........................................................................................ 82
7.1.5.3
Treatment Period.......................................................................................... 82
7.1.5.4
Post-Treatment Visits................................................................................... 83
7.1.5.4.1
Safety Follow-Up Visit......................................................................... 83
7.1.5.5
Efficacy Follow-up Visits............................................................................ 83
7.1.5.5.1
Survival Follow-up ............................................................................... 83
7.1.5.5.2
Follow-up Post-Allogeneic Stem Cell Transplantation........................ 84
7.1.5.6
Survival Status ............................................................................................. 84
Assessing and Recording Adverse Events .......................................................... 84
Definition of an Overdose for This Protocol and Reporting of Overdose to 
the Sponsor.......................................................................................................... 85
 
 
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Reporting of Pregnancy and Lactation to the Sponsor ....................................... 86
Immediate Reporting of Adverse Events to the Sponsor.................................... 86
7.2.3.1
Serious Adverse Events ............................................................................... 86
7.2.3.2
Events of Clinical Interest............................................................................ 87
7.2.3.2.1
Adverse 
Events 
Follow-up 
Post-Allogeneic 
Stem 
Cell 
Transplantation ..................................................................................... 89
7.2.3.3
Protocol-Specific Exceptions to Serious Adverse Event Reporting............ 89
Evaluating Adverse Events................................................................................. 89
Sponsor Responsibility for Reporting Adverse Events ...................................... 92
TRIAL GOVERNANCE AND OVERSIGHT................................................... 92
Executive Oversight Committee......................................................................... 92
Data Monitoring Committee............................................................................... 92
Clinical Adjudication Committee ....................................................................... 92
8.0
STATISTICAL ANALYSIS PLAN ........................................................................ 93
Statistical Analysis Plan Summary ..................................................................... 94
Responsibility for Analyses/In-House Blinding ................................................. 95
Hypotheses/Estimation ......................................................................................... 96
Analysis Endpoints ............................................................................................... 96
Efficacy Endpoints.............................................................................................. 96
Safety Endpoints ................................................................................................. 97
ANALYSIS POPULATIONS .............................................................................. 97
Efficacy Analysis Populations ............................................................................ 97
Safety Analysis Populations ............................................................................... 97
STATISTICAL METHODS................................................................................ 98
Statistical Methods for Efficacy Analyses.......................................................... 98
Statistical Methods for Safety Analyses ........................................................... 101
Summaries of Baseline Characteristics, Demographics, and Other Analyses.. 103
8.6.3.1
Demographic and Baseline Characteristics ............................................... 103
INTERIM ANALYSES...................................................................................... 104
Efficacy Interim Analyses................................................................................. 104
Multiplicity .......................................................................................................... 105
Sample Size and Power Calculations ................................................................ 106
 
 
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Subgroup Analyses and Effect of Baseline Factors ......................................... 107
COMPLIANCE (MEDICATION ADHERENCE).......................................... 107
EXTENT OF EXPOSURE................................................................................. 107
9.0
LABELING, PACKAGING, STORAGE AND RETURN OF CLINICAL 
SUPPLIES ............................................................................................................... 107
Investigational Product ...................................................................................... 107
Packaging and Labeling Information ............................................................... 108
Clinical Supplies Disclosure............................................................................... 108
Storage and Handling Requirements................................................................ 108
Discard/Destruction/Returns and Reconciliation ............................................ 109
Standard Policies................................................................................................. 109
10.0
ADMINISTRATIVE AND REGULATORY DETAILS..................................... 109
Confidentiality..................................................................................................... 109
Confidentiality of Data ..................................................................................... 109
Confidentiality of Subject Records................................................................... 109
Confidentiality of Investigator Information...................................................... 110
Confidentiality of IRB/IEC Information........................................................... 110
Compliance with Financial Disclosure Requirements..................................... 110
Compliance with Law, Audit and Debarment ................................................. 111
Compliance with Trial Registration and Results Posting Requirements ...... 112
Quality Management System............................................................................. 113
Data Management............................................................................................... 113
Publications ......................................................................................................... 113
11.0
LIST OF REFERENCES....................................................................................... 114
12.0
APPENDICES......................................................................................................... 119
Merck Code of Conduct for Clinical Trials...................................................... 119
Collection and Management of Specimens for Future Biomedical 
Research............................................................................................................... 121
Understanding the Intent, Scope and Public Health Benefits of 
Exploratory Biomarker Research: A Guide for IRBs/IECs and 
Investigational Site Staff .................................................................................... 125
List of Abbreviations .......................................................................................... 136
 
 
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ECOG Performance Status................................................................................ 139
Common Terminology Criteria for Adverse Events V4.0 .............................. 140
International 
Myeloma 
Working 
Group 
Criteria 
for 
Response 
Assessment in Multiple Myeloma (IMWG Criteria). Rajkumar et al. 
Blood, 2011; 117(18). .......................................................................................... 141
International Staging System (ISS)................................................................... 143
Pomalidomide Education and Counseling Guidance Document for Female 
Subjects................................................................................................................ 144
Female of Childbearing Potential: .................................................................... 144
Female Not of Childbearing Potential (Natural Menopause for at Least 24 
Consecutive Months, a Hysterectomy, or Bilateral Oophorectomy):............... 146
Pomalidomide Education and Counseling Guidance Document for Male 
Subjects................................................................................................................ 147
Pomalidomide Information Sheet...................................................................... 149
13.0
SIGNATURES......................................................................................................... 151
Sponsor's Representative ................................................................................... 151
Investigator.......................................................................................................... 151
 
 
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LIST OF TABLES
Table 1
Adequate Organ Function Laboratory Values..................................................... 34
Table 2
Trial Treatment.................................................................................................... 37
Table 3
Dose Modification Guidelines for Hematological Drug-Related Adverse 
Events .................................................................................................................. 39
Table 4
Dose Modification Guidelines for Non-Hematological Drug-Related 
Adverse Events.................................................................................................... 40
Table 5
Dose Modification Instructions for pomalidomide for Hematologic 
Toxicities............................................................................................................. 41
Table 6
Supportive Care Guidelines Specific to Dexamethasone.................................... 42
Table 7
Recommended Dose reduction levels for Dexamethasone ................................. 43
Table 8
Infusion Reaction Treatment Guidelines............................................................. 50
Table 9
Disease Response Assessments........................................................................... 74
Table 10
Bone Marrow Biopsy or Aspirates Assessments ................................................ 76
Table 11
Blood Collection for Correlative Biomarker Studies.......................................... 76
Table 12
Laboratory Tests.................................................................................................. 78
Table 13
Evaluating Adverse Events ................................................................................. 90
Table 14
Censoring rules for Primary and Sensitivity Analyses of PFS............................ 99
Table 15
Analysis Strategy for Key Efficacy Endpoints.................................................. 101
Table 16
Analysis Strategy for Safety Parameters........................................................... 103
Table 17
Decision Guidance at Each Efficacy Analysis.................................................. 105
Table 18
Product Descriptions ......................................................................................... 108
 
 
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LIST OF FIGURES
Figure 1
Trial Diagram ...................................................................................................... 19
Figure 2
Consistency of Observed Concentration Data in KEYNOTE-013 Subjects 
with Hematologic Malignancies Receiving 10 mg/kg Q2W pembrolizumab 
with Predicted Pharmacokinetic Profile for this Dose Regimen (Preliminary 
Results)................................................................................................................ 26
Figure 3
Multiplicity Strategy.......................................................................................... 106
 
 
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DOCUMENT HISTORY
Document
Date of Issue
Overall Rationale
MK-3475-183-06
04-JUN-2020
To discontinue data collection following the database lock 
for the final analysis, as all participants remaining on study 
are in survival follow-up.
MK-3475-183-05
12-APR-2018
To allow flexibility in the entire follow-up period and enable 
more frequent follow-up visits if necessary. 
MK-3475-183-04
05-OCT-2017
To communicate that the study was placed by the US FDA 
on clinical hold.
MK-3475-183-03
07-DEC-2016
To clarify eligibility, treatment after discontinuation of one 
treatment is discontinued, and trial assessments. 
To reinforce compliance after PD. 
To add survival sweep language.  
MK-3475-183-02
20-MAY-2016
Clarification to ensure patients who may have a history of 
pneumonitis are excluded from the study (when applicable).
MK-3475-183-01
10-MAR-2016
To reinforce and adhere to the pregnancy prevention plan 
and risk minimization program stablished for the use of 
pomalidomide.
To update IMWG 2006 criteria with IMWG 2011 criteria. 
To update endpoints per agency request.
To update Exploratory Biomarker Research per guidance of 
the I-O BMx Science Forum
 
 
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Document
Date of Issue
Overall Rationale
MK-3475-183-00
22-JUL-2015
Original
 
 
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SUMMARY OF CHANGES
PRIMARY REASON(S) FOR THIS AMENDMENT:
Section 
Number (s)
Section Title(s)
Description of Change (s)
Rationale
1.0
Trial Summary
Updated duration of survival follow-up to 
12 months following discontinuation visit.
To allow for early closure of the study.
2.1
Trial Design
Updated follow-up after stem cell 
transplant (SCT) to provide for 
completion of follow-up at the end of the 
trial.
Follow-up post allogenic-SCT will end when 
the trial closes. 
Survival follow-up will continue for at least 
12 months following the last discontinuation 
visit. 
5.10
Beginning and End of 
Trial
Updated criteria for end of the trial to 
include Sponsor decision to close.
To broaden the criteria for ending the trial.
7.1.5.4.1
7.1.5.5.2
7.2.3.2.1
Safety Follow-up Visit
Follow-up Post-
Allogeneic Stem Cell 
Transplantation
Adverse Events Follow-up 
post-Allogeneic Stem Cell 
Transplantation
Updated criteria for completion of safety 
follow-up after discontinuation and after 
SCT to include end of trial.
To broaden the criteria for ending safety 
follow-up.
7.1.5.5.1
Survival Follow-up
Updated duration of survival follow-up to 
12 months following discontinuation visit.
Survival follow-up will continue for at least 
12 months following the last discontinuation 
visit. 
 
 
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ADDITIONAL CHANGE(S) FOR THIS AMENDMENT:
Section 
Number (s)
Section Title (s)
Description of Change (s)
Rationale
4.2.3.6
7.1.1.1.2
12.2
Future Biomedical Research
Consent and Collection of 
Specimens for Future 
Biomedical Research
Collection and Management 
of Specimens for Future 
Biomedical Research
Removed reference to Future 
Biomedical Research “sub-trial”.
Template update.
7.1.5.5
Efficacy Follow-up Visits
Updated the heading name.
Template update for clarification.
No additional changes.
 
 
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1.0 TRIAL SUMMARY
Abbreviated Title
A Phase III study of Pomalidomide and Low Dose Dexamethasone 
With or Without Pembrolizumab (MK3475) in Refractory or 
Relapsed and Refractory Multiple Myeloma (rrMM) (KEYNOTE 
183)
Trial Phase
Phase III
Clinical Indication
Treatment of subjects with refractory or relapsed and refractory 
Multiple Myeloma
Trial Type
Interventional
Type of control
Active control without placebo
Route of administration
Intravenous (IV), Oral (PO)
Trial Blinding
Unblinded Open-label
Treatment Groups
(1) Investigational arm: (Arm A) pembrolizumab (MK-3475) 200 
mg every 3 weeks (Q3W) + pomalidomide 4 mg daily on days 
1-21 and low dose dexamethasone 40 mg daily on days 1, 8, 
15, and 22 of repeated 28-day cycles OR
(2) Control arm (Arm B): pomalidomide 4 mg daily on days 1-21
and low dose dexamethasone 40 mg daily on days 1, 8, 15, and 
22 of repeated 28-day cycles.
Number of trial subjects
Approximately 300 subjects will be enrolled.
Estimated duration of trial
The Sponsor estimates that the trial will require approximately 33
months from the time the first subject signs the informed consent 
until the last subject’s last study-related phone call or visit.
Duration of Participation
Each subject will participate in the trial from the time the subject 
signs the Informed Consent Form (ICF) through the final protocol-
specified contact.  After a screening phase of 28 days, each subject 
will receive treatment based on the arm to which they have been 
randomized. In both arms, treatment on trial will continue until 
documented confirmed disease progression, unacceptable adverse 
event(s) 
(AEs), 
intercurrent 
illness 
that 
prevents 
further 
administration of treatment, subject withdraws consent, pregnancy 
of the subject, noncompliance with trial treatment or procedure 
requirements or administrative reasons. After the end of treatment, 
each subject will be followed for 30 days for AE monitoring 
(serious adverse events (SAEs) and events of clinical interest will 
be collected for 90 days after the end of treatment).  Subjects who 
discontinue for reasons other than disease progression will have 
post-treatment 
follow-up 
for 
disease 
status 
until 
disease 
progression, initiating a non-study cancer treatment, withdrawing 
consent, or becoming lost to follow-up.  All subjects will be 
followed for at least 12 months after their discontinuation visit for 
overall survival until death, withdrawal of consent, or the end of the 
study.
On 03-JUL-2017, the US FDA placed KN183, KN185 
(pembrolizumab/lenalidomide/dexamethasone for treatment naïve 
multiple 
myeloma), 
and 
cohort 
1 
of 
KN023 
(pembrolizumab/lenalidomide/dexamethasone 
for 
rrMM) 
on 
clinical hold based on safety data from KN183 and KN185 
 
 
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presented to the DMC. The FDA determined that the risks of 
pembrolizumab plus pomalidomide or lenalidomide outweighed any 
potential benefit for patients with multiple myeloma. Based on this 
decision, the treatment phase of KN183 and KN185 is closed 
effective immediately.
All subjects must stop study treatment, 
complete the Discontinuation Visit and move into the long-term 
safety and survival follow-up per protocol.
A list of abbreviations used in this document can be found in Section 12.4.
2.0 TRIAL DESIGN
Trial Design
This is a randomized, active-controlled, multicenter, open label trial of pomalidomide (Pom) 
and low dose dexamethasone (Dex) with or without pembrolizumab (MK-3475) in subjects 
with refractory or relapsed and refractory multiple myeloma (rrMM) who have undergone at 
least 2 lines of prior treatment, are refractory to their last line of treatment and have been 
previously exposed to an immunomodulatory drug (IMiDs) such as lenalidomide or 
thalidomide and a proteasome inhibitor such as bortezomib, ixazomib, or carfilzomib.
Subjects should be considered to be refractory or relapsed and refractory to an IMiD or a 
proteasome inhibitor or both. Subjects will be stratified based on the number of prior lines of 
treatment (2 vs. ≥3) and disease status (refractory vs. sensitive to lenalidomide).
Approximately 300 subjects will be enrolled in this trial to examine the safety and efficacy of 
pembrolizumab 200 mg fixed dose administered every 3 weeks (Q3W) in combination with 
pomalidomide 4 mg daily on days 1 to 21 and low dose dexamethasone 40 mg on days 1, 8,
15 and 22 of repeated 28-day cycles compared to pomalidomide 4 mg daily on days 1 to 21 
and low dose dexamethasone 40 mg on days 1, 8, 15 and 22 of repeated 28-day cycles.
Cross-over between the arms is not permitted. Adverse events will be monitored throughout 
the trial and graded in severity according to the guidelines outlined in the National Cancer 
Institute (NCI) Common Terminology Criteria for Adverse Events (CTCAE) version 4.0.  In 
both arms, treatment on trial will continue until documented confirmed disease progression, 
unacceptable adverse event(s) (AEs), intercurrent illness that prevents further administration 
of treatment, subject withdraws consent, pregnancy of the subject, noncompliance with trial 
treatment or procedure requirements or administrative reasons. 
After the end of treatment, each subject will be followed for 30 days for AE monitoring 
(serious adverse events (SAEs) and events of clinical interest (ECI) will be collected for 
90 days after the end of treatment).  Subjects who undergo allogeneic stem-cell transplant 
within 24 months after their last dose of pembrolizumab will be followed for ECI for up to 
18 months post-transplant, or until the end of the trial. Subjects who discontinue treatment 
for reasons other than disease progression will have post-treatment follow-up for disease 
status until disease progression, initiating a non-study cancer treatment, withdrawing consent, 
or becoming lost to follow-up.  All subjects will be followed for at least 12 months following 
their discontinuation visit for overall survival until death, withdrawal of consent or the end of 
the study, whichever comes first.
Randomization Ratio
1:1
 
 
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The primary objectives of the trial are to compare the Progression Free Survival (PFS)
according to the International Myeloma Working Group response criteria, (IMWG criteria 
[1]), and Overall Survival (OS), of pembrolizumab in combination with pomalidomide and 
low dose dexamethasone compared to treatment with pomalidomide and low dose
dexamethasone (SOC) alone in subjects with rrMM. Overall Response Rate (ORR) is a key 
secondary efficacy endpoint.  Secondary objectives include safety and tolerability, disease 
control rate (DCR), duration of response (DOR), and second Progression Free Survival 
(PFS2). Changes in health related quality of life assessments, percentage of subjects who 
achieve negative minimal residual disease (MRD), analysis of PD-L1 expression and 
corresponding efficacy; along with the relationship of candidate efficacy/resistance 
biomarkers and antitumor activity of pembrolizumab will be investigated as exploratory 
objectives.
A group-sequential design based on pre-specified criteria using an independent, external Data 
Monitoring Committee (DMC) to monitor safety and efficacy will be used in this trial.  
Additionally, a separate Clinical Adjudication Committee (CAC, see Section 7.3.3) will 
evaluate efficacy endpoints (e.g., PFS, OS [interim] and ORR) for the purpose of confirming 
each efficacy event according to the pre-defined IMWG 2011 criteria, functioning as 
independent central reviewers, blinded to study treatment.
The IMWG 2011 criteria were selected for assessment of efficacy endpoints as recommended 
by the International Myeloma Workshop Consensus Panel for the uniform reporting of 
clinical trial results in multiple myeloma. The IMWG 2011 criteria were developed from the 
European Group for Blood and Bone Marrow Transplant/International Bone Marrow 
Transplant Registry/American Bone Marrow Transplant Registry published criteria (EBMT 
criteria [2]), with revisions and improvements that aid uniform reporting of efficacy results.
There will be one PFS analysis, one interim OS analysis and one ORR analysis.  In addition 
to the every 6 months safety monitoring, the DMC will review safety data after at least 30 
subjects in each treatment arm (at least 60 total subjects) have completed 1 cycle of 
treatment. Both PFS and OS analyses are event-driven.  Results of the interim analysis will 
be reviewed by the DMC.  More details are in Section 8.7
There will be no pause in enrollment during the planned interim analysis.
This trial will be conducted in conformance with Good Clinical Practices.
On 03-JUL-2017, the US FDA placed KN183, KN185 and cohort 1 of KN023 on clinical 
hold based on safety data from KN183 and KN185 presented to the DMC. The FDA 
determined that the risks of pembrolizumab plus pomalidomide or lenalidomide outweighed 
any potential benefit for patients with multiple myeloma. Based on this decision, the 
treatment phase of KN183 and KN185 is closed effective immediately. All subjects must 
stop study treatment, complete the Discontinuation Visit and move into the long-term safety 
and survival follow-up per protocol.
Specific procedures to be performed during the trial, as well as their prescribed times and 
associated visit windows, are outlined in the Trial Flow Chart - Section 6.0. Details of each 
procedure are provided in Section 7.0 – Trial Procedures.
 
 
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Trial Diagram
The trial design is depicted in Figure 1
Figure 1
Trial Diagram
Abbreviations not defined above:  mg – milligram(s), Q3W – every three weeks, rrMM - refractory or relapsed 
and refractory multiple myeloma, IA-interim analysis, Pom-pomalidomide, Dex-dexamethasone.
3.0 OBJECTIVE(S) & HYPOTHESIS(ES)
Primary Objective(s) & Hypothesis(es)
In subjects with rrMM:
(1) Objective: Compare the Progression Free Survival (PFS) as assessed by CAC 
blinded central review according to the International Myeloma Working Group 
response criteria, (IMWG criteria [1]) between treatment arms.
Hypothesis: pembrolizumab in combination with pomalidomide and low dose 
dexamethasone prolongs PFS as assessed by CAC blinded central review using
IMWG criteria compared to treatment with pomalidomide and low dose 
dexamethasone (SOC) alone.
(2) Objective: Compare the Overall Survival (OS) between treatment arms.
Hypothesis: pembrolizumab in combination with pomalidomide and low dose 
dexamethasone prolongs OS compared to treatment with pomalidomide and low dose 
dexamethasone (SOC) alone.
 
 
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Secondary Objective(s) & Hypothesis(es)
In subjects with rrMM:
(1) Objective: Compare Overall Response Rate (ORR) as assessed by CAC blinded
central review using IMWG criteria [1].
Hypothesis: pembrolizumab in combination with pomalidomide and low dose 
dexamethasone has a higher ORR, as assessed by CAC blinded central review 
according to IMWG criteria, compared to treatment with pomalidomide and low dose 
dexamethasone (SOC) alone
(2) Objective: To evaluate the safety and tolerability in both treatment arms.
(3) Objective: Evaluate Disease Control Rate (DCR) as assessed by CAC blinded central 
review using IMWG criteria [1], Duration of Response (DOR) as assessed by CAC 
blinded central review using IMWG criteria [1] and second Progression Free Survival 
(PFS2) by Investigator assessment.
Exploratory Objectives 
In subjects with rrMM:
(1) Objective: To evaluate changes in health-related quality-of-life assessments from 
baseline using the EORTC QLQ-C30 and QLQ-MY20.
(2) Objective: To characterize patient utilities using EuroQol EQ-5D.
(3) Objective: To evaluate pharmacokinetic parameters, and the presence of anti-drug 
antibodies, following intravenous (IV) administration of 200 mg pembrolizumab 
Q3W, in combination with pomalidomide and low dose dexamethasone (see Section
4.2.3.4).
(4) Objective: To identify molecular (genomic, metabolic and/or proteomic) 
determinants of response or resistance to pembrolizumab and other treatments in this 
study, so as to define novel predictive and pharmacodynamic biomarkers and 
understand the mechanism of action of pembrolizumab (see Section 4.2.3.5).
(5) Objective: To evaluate the percentage of subjects with complete response/stringent 
complete response (CR/sCR) who achieve negative minimal residual disease (MRD).
4.0 BACKGROUND & RATIONALE
Background
Refer to the Investigator’s Brochure (IB) for detailed background information on
pembrolizumab (MK-3475).
Pharmaceutical and Therapeutic Background
Pembrolizumab (previously known as MK-3475 and SCH 9000475) is a potent and highly 
selective humanized monoclonal antibody (mAb) of the IgG4/kappa isotype designed to 
directly block the interaction between the programmed cell death-1 receptor (PD-1) and its 
 
 
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ligands, PD-L1 and PD-L2 without antibody-dependent cell-mediated cytotoxicity (ADCC) 
or complement dependent cytotoxicity (CDC) activity. Pembrolizumab is approved in the US
for the treatment of patients with unresectable or metastatic melanoma and disease 
progression following ipilimumab and, if BRAF V600 mutation positive, a BRAF inhibitor.
The importance of intact immune surveillance in controlling outgrowth of neoplastic 
transformation has been known for decades [3].  Accumulating evidence shows a correlation 
between tumor-infiltrating lymphocytes (TILs) in cancer tissue and favorable prognosis in 
various malignancies [4, 5, 6, 7, 8].  In particular, the presence of CD8+ T-cells and the ratio 
of CD8+ effector T-cells/FoxP3+ regulatory T-cells seems to correlate with improved 
prognosis and long-term survival in many solid tumors.
The PD-1 receptor-ligand interaction is a major pathway hijacked by tumors to suppress 
immune control.  The normal function of PD-1, expressed on the cell surface of activated 
T-cells under healthy conditions, is to down-modulate unwanted or excessive immune 
responses, including autoimmune reactions.  PD-1 (encoded by the gene Pdcd1) is an Ig 
superfamily member related to CD28 and CTLA-4 which has been shown to negatively 
regulate antigen receptor signaling upon engagement of its ligands (PD-L1 and/or PD-L2) [9, 
10].  The structure of murine PD-1 has been resolved [11].  PD-1 and family members are 
type I transmembrane glycoproteins containing an Ig Variable-type (V-type) domain 
responsible for ligand binding and a cytoplasmic tail which is responsible for the binding of 
signaling molecules.  The cytoplasmic tail of PD-1 contains 2 tyrosine-based signaling 
motifs, an immunoreceptor tyrosine-based inhibition motif (ITIM) and an immunoreceptor 
tyrosine based switch motif (ITSM).  Following T-cell stimulation, PD-1 recruits the tyrosine 
phosphatases SHP-1 and SHP-2 to the ITSM motif within its cytoplasmic tail, leading to the 
dephosphorylation of effector molecules such as CD3ζ, PKCθ and ZAP70 which are 
involved in the CD3 T-cell signaling cascade [9, 12, 13, 14].  The mechanism by which PD-1 
down modulates T-cell responses is similar to, but distinct from that of CTLA-4 as both 
molecules regulate an overlapping set of signaling proteins [15, 16].  PD -1 was shown to be 
expressed on activated lymphocytes including peripheral CD4+ and CD8+ T-cells, B-cells, 
T regs and Natural Killer cells [17, 18].  Expression has also been shown during thymic 
development on CD4-CD8- (double negative) T-cells as well as subsets of macrophages and 
dendritic cells [19].  The ligands for PD-1 (PD-L1 and PD-L2) are constitutively expressed 
or can be induced in a variety of cell types, including non-hematopoietic tissues as well as in 
various tumors [15, 20, 21, 22].  Both ligands are type I transmembrane receptors containing 
both IgV- and IgC-like domains in the extracellular region and contain short cytoplasmic 
regions with no known signaling motifs.  Binding of either PD-1 ligand to PD-1 inhibits 
T-cell activation triggered through the T-cell receptor.  PD-L1 is expressed at low levels on 
various non-hematopoietic tissues, most notably on vascular endothelium, whereas PD-L2 
protein is only detectably expressed on antigen presenting cells found in lymphoid tissue or 
chronic inflammatory environments.  PD-L2 is thought to control immune T-cell activation 
in lymphoid organs, whereas PD-L1 serves to dampen unwarranted T-cell function in 
peripheral tissues [15].  Although healthy organs express little (if any) PD -L1, a variety of 
cancers were demonstrated to express abundant levels of this T-cell inhibitor. PD-1 has been 
suggested to regulate tumor-specific T-cell expansion in subjects with melanoma 
(MEL) [23].  This suggests that the PD-1/PD-L1 pathway plays a critical role in tumor 
immune evasion and should be considered as an attractive target for therapeutic intervention.
 
 
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Pre-clinical and Clinical Trials
Therapeutic studies in mouse models have shown that administration of antibodies blocking 
PD-1/PD-L1 interaction enhances infiltration of tumor-specific CD8+ T-cells and leads 
ultimately to tumor rejection, either as a monotherapy or in combination with other treatment 
modalities.  Anti-mouse PD-1 or anti-mouse PD-L1 antibodies have demonstrated antitumor 
responses as a monotherapy in models of squamous cell carcinoma, pancreatic carcinoma, 
melanoma (MEL) and colorectal carcinoma.  Blockade of the PD-1 pathway effectively 
promoted CD8+ T-cell infiltration into the tumor and the presence of IFN-, granzyme B, 
and perforin, indicating that the mechanism of action involved local infiltration and 
activation of effector T-cell function in vivo [24, 25, 26, 27, 28, 29].  Experiments have 
confirmed the in vivo efficacy of PD-1 blockade as a monotherapy as well as in combination 
with chemotherapy in syngeneic mouse tumor models (refer to the IB).
In a phase 1/2 study of 135 subjects with advanced melanoma treatment with pembrolizumab 
produced an ORR of 38% (95% CI, 25% to 44%).  Many of the responses were durable, with 
a median duration that had not been reached after a median follow-up time of 11 months 
[30].
Ongoing Clinical Trials
Ongoing clinical trials are being conducted in advanced melanoma, non-small cell lung 
cancer, head and neck cancer, urothelial tract cancer, gastric cancer, triple negative breast 
cancer and in a number of hematologic malignancies.  For study details refer to the IB.
Rationale
Rationale for the Trial and Selected Subject Population
4.2.1.1
Multiple Myeloma
Multiple myeloma (MM) is a malignant monoclonal plasma cell disorder characterized by 
end-organ damage, usually referred as myeloma CRAB features [31]. Multiple myeloma is 
considered the second most common hematological malignancy accounting for 10% of all 
diagnosis, with an estimate of 26,850 new cases and 11,240 deaths in the United States in 
2014 [32]. This malignant neoplasm primarily affects elderly individuals with a median age 
at the time of diagnosis of around 70 years [33].
The diagnosis of MM is based on the presence of ≥10% monoclonal plasma cells in the bone 
marrow or biopsy-proven bony or extramedullary plasmacytoma, presence of monoclonal 
protein (m-protein) in serum and/or urine and evidence of any CRAB feature that can be 
attributed to the underlying plasma cell proliferative disorder, specifically (34):

Hypercalcaemia: serum calcium >0.25 mmol/L (>1 mg/dL) higher than the upper 
limit of normal or >2.75 mmol/L (>11 mg/dL)

Renal insufficiency: creatinine clearance <40 mL per min or serum creatinine >177 
μmol/L (>2 mg/dL)
 
 
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
Anaemia: haemoglobin value of >20 g/L below the lower limit of normal, or a 
haemoglobin value <100 g/L

Bone lesions: one or more osteolytic lesions on skeletal radiography, CT, or PET-CT
Alternatively, in the absence of CRAB features, patients with any of the following
biomarkers of
malignancy: clonal bone marrow plasma cell percentage ≥60%, 
involved/uninvolved serum free light chain (FLC) ratio ≥ 100 or more than one focal bone 
lesion in MRI, are also considered to have an active MM according to the new international 
myeloma working group criteria for the diagnosis of multiple myeloma [34].
Treatment should be initiated in all patients considered to have an active multiple myeloma
and the selected approach usually depends on patients performance status, comorbidities and 
chronological age, defining up front if a patient would be classified as candidate for standard 
autologous stem cell transplant (auto-SCT) or not eligible for auto-SCT [35, 36]. As patients 
age 65 to 75 are generally considered ineligible for auto-SCT, almost 70% of all MM patients 
are treated with therapeutic strategies that incorporate the use of proteasome inhibitors or 
IMiDs instead of auto-SCT [35, 37]. 
For newly diagnosed MM patients not candidates for auto-SCT, there are 3 worldwide 
recommended up front regimens, the combination of melphalan, prednisone and thalidomide 
(MPT), the combination of bortezomib, melphalan and prednisone (VMP) or the combination 
of lenalidomide with low dose dexamethasone (Rd) [35, 36]. 
Despite all advances in front line treatment, nearly all multiple myeloma patients relapse, as 
illustrated by the lack of a plateau in the survival curves from clinical trials that evaluate cur-
rently available treatment options [38]. The optimal treatment of patients with refractory or 
relapsed and refractory MM remains unclear. Although retreatment with previously used 
drugs or the use of a different class of first generation drugs can be a sensible strategy [39,
40], patients who become refractory to both proteasome inhibitors and IMiDs have limited 
salvage therapeutic options and a very poor outcome. These patients represent an urgent 
unmet medical need [40].
Current treatment options for refractory or relapsed and refractory MM patients include the 
use of carfilzomib, a new proteasome inhibitor, or pomalidomide, a new generation IMiD, in 
combination with low dose dexamethasone [41]. Carfilzomib was approved by FDA in 2012 
for the treatment of patients who have received at least two prior therapies including 
bortezomib and an IMiD (thalidomide or lenalidomide) [42]. Approval was based on an open 
label, single arm phase II study where 266 patients received single agent carfilzomib. The 
ORR was 23.7%, with a median DOR of 7.8 months and a median OS of 15.6 months [43]. 
Pomalidomide was approved by FDA in 2013 for the treatment of patients with MM who 
have received lenalidomide and bortezomib and were refractory to the last therapy [44]. 
Approval was based on an open label phase II study where 221 patients received either 
pomalidomide alone or in combination with low dose dexamethasone. The ORR was 33%, 
with a median PFS of 4.2 months and a median OS of 16.5 months [45]. A subsequent phase 
III study where 455 patients were randomized to receive either pomalidomide in combination 
with low dose dexamethasone or high dose dexamethasone showed that PFS was 
significantly longer in patients receiving the combination, with a median of 4 months. 
Additionally, ORR was observed in 31% of patients treated with the combination and the 
median OS for this group was 12.7 months [46].
 
 
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4.2.1.2
Rationale for Evaluating anti-PD-1 Therapy in Multiple Myeloma
Hematologic malignancies are known to be responsive to a variety of immunotherapies.  
While data are currently limited, there is some indication that PD-L1/PD-1 biology may be 
an important mechanism of tumor immune escape in these diseases.
Several studies in hematologic malignancies have shown increased expression of PD-L1 in 
B-cell lymphomas, chronic lymphocytic leukemia, acute myeloid leukemia, and multiple 
myeloma [47, 48]. PD-L1 is expressed on most MM plasma cells but not in normal plasma 
cells [49], and PD-L1 overexpression enhanced MM invasiveness and rendered tumor cells 
less susceptible to cytotoxic T lymphocytes (CTLs). This effect can be alleviated by anti–PD-
L1 blockage, demonstrating the importance of the PD-1/PD-L1 pathway in this process [50,
51]. In addition, a recent report demonstrated increased levels of PD-L1 on MM cells 
together with enhanced PD-1 expression on T cells with an “exhausted” phenotype. The 
immunosuppressive effects of myeloma can be overcome by PD-L1 blockade [52].
Rationale for Dose Selection/Regimen/Modification
4.2.2.1
Rationale for Fixed Dose Pembrolizumab
The dose of pembrolizumab planned to be studied in this trial is 200 mg Q3W.  The dose 
recently approved in some countries for treatment of melanoma subjects is 2 mg/kg Q3W.  
Information on the rationale for selecting 200 mg Q3W is summarized below.
An open-label phase I trial (KEYNOTE-001) is being conducted to evaluate the safety and 
clinical activity of single agent pembrolizumab.  The dose escalation portion of this trial 
evaluated three dose levels, 1 mg/kg, 3 mg/kg, and 10 mg/kg, administered every 2 weeks 
(Q2W) and dose expansion cohort evaluated 2 mg/kg Q3W and 10 mg/kg Q3W in subjects 
with advanced solid tumors.  All dose levels were well tolerated and no dose-limiting 
toxicities were observed.  This first in human study of pembrolizumab showed evidence of 
target engagement and objective evidence of tumor size reduction at all dose levels.  No 
Maximum Tolerated Dose (MTD) has been identified.
In KEYNOTE-001, two randomized cohort evaluations (Cohorts B2 and D) of melanoma 
subjects receiving pembrolizumab at a dose of 2 mg/kg Q3W versus 10 mg/kg Q3W have
been completed, and one randomized Cohort (Cohort B3) evaluating 10 mg/kg Q3W versus 
10 mg/kg Q2W has also been completed.  The clinical efficacy and safety data demonstrate a 
lack of clinically important differences in efficacy or safety profile at these doses.  For 
example, in Cohort B2, advanced melanoma subjects who had received prior ipilimumab 
therapy were randomized to receive pembrolizumab at 2 mg/kg Q3W versus 10 mg/kg Q3W, 
and the overall response rate (ORR) was 28% (22/79) in the 2 mg/kg Q3W group and 28% 
(21/76) in the 10 mg/kg Q3W group (per RECIST 1.1 by independent central review).  The 
proportion of subjects with drug-related adverse events (AEs), Grade 3-5 drug-related AEs, 
serious drug-related AEs, death or discontinuation due to an AE was comparable between 
groups.  Cohort D, which compared 2 mg/kg Q3W versus 10 mg/kg Q3W in advanced 
melanoma subjects naïve to ipilimumab, also demonstrated overall similarity in efficacy and 
safety profile between two doses.  In Cohort B3, advanced melanoma subjects (irrespective 
of prior ipilimumab therapy) were randomized to receive pembrolizumab at 10 mg/kg Q2W 
 
 
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versus 10 mg/kg Q3W.  The results demonstrate that the ORR was 35.0% (41/117) in the 
10mg/kg Q2W group and 30.8% (33/107) in the 10 mg/kg Q3W group (per RECIST 1.1 by 
independent central review) (cut-off date of 18-April-2014).  The proportion of subjects with 
drug-related AEs, Grade 3-5 drug-related AEs, serious drug related AEs, death or 
discontinuation due to an AE was comparable between groups.
An integrated body of evidence suggests that 200 mg Q3W is expected to provide similar 
response to 2 mg/kg Q3W, 10 mg/kg Q3W and 10 mg/kg Q2W.  Previously, a flat 
pembrolizumab exposure-response relationship for efficacy and safety has been found in 
subjects with melanoma in the range of doses between 2 mg/kg and 10 mg/kg.  Exposures for 
200 mg Q3W are expected to lie within this range and will be close to those obtained with 
2 mg/kg Q3W dose.  A 2 mg/kg Q3W dose is approved for metastatic melanoma in some
countries.
A population PK model, which characterized the influence of body weight and other patient 
covariates on exposure, has been developed using available data from 1139 subjects from 
KEYNOTE-001 (cut-off date of 18-April-2014) and KEYNOTE-002 (cut-off date of 
12-May-2014), of which the majority (94.6% (N=1077)) were patients with advanced 
melanoma.  The PK profile of pembrolizumab is consistent with that of other humanized 
monoclonal antibodies, which typically have a low clearance and a limited volume of 
distribution.  The distribution of exposures from the 200 mg fixed dose are predicted to 
considerably overlap those obtained with the 2 mg/kg dose and importantly will maintain 
individual patient exposures within the exposure range established in melanoma as associated 
with maximal clinical response.  Additionally, this comparison also demonstrates that the 200 
mg Q3W regimen provides no substantive differences in PK variability (range of the 
distribution of individual exposures) as seen with weight-based dosing.
In translating to other solid tumor indications, similarly flat exposure-response relationships 
for efficacy and safety in subjects with melanoma can be expected, as the antitumor effect of 
pembrolizumab is driven through immune system activation rather than through a direct 
interaction with tumor cells, rendering it independent of the specific tumor type.  In addition, 
available PK results in subjects with melanoma, NSCLC, and other solid tumor types support 
a lack of meaningful difference in PK exposures obtained at tested doses among tumor types.  
Preliminary serum concentration data from subjects with hematologic malignancies which 
include Hodgkin lymphoma (HL), myelodysplastic syndrome (MDS), relapsed/refractory 
mediastinal large B cell lymphoma (MLBCL), multiple myeloma (MM), and PD-L1 positive 
non-Hodgkin lymphoma (NHL) cancers who received 10 mg/kg Q2W in KEYNOTE-013 are 
available.  These observed data are compared to simulated pharmacokinetics profile with 
dose of 10 mg/kg Q2W from the population PK models in which the majority of the analysis 
population was subjects with melanoma.  The distribution of concentration-time profiles in
subjects with hematologic malignancies is contained within the distribution for subjects with 
melanoma, indicating the consistency of the PK profile across both populations [Figure 2].  
Thus the 200 mg Q3W fixed dose regimen is considered an appropriate fixed dose for other 
solid tumor indications as well.
 
 
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Figure 2
Consistency of Observed Concentration Data in KEYNOTE-013 Subjects with 
Hematologic Malignancies Receiving 10 mg/kg Q2W pembrolizumab with 
Predicted Pharmacokinetic Profile for this Dose Regimen (Preliminary Results)
Solid markers represent observed pembrolizumab serum concentrations in subjects with 
Hodgkin 
lymphoma 
(HL), 
Myelodysplastic 
syndrome 
(MDS), 
relapsed/refractory 
mediastinal large B cell lymphoma (MLBCL), Multiple Myeloma (MM), and PD-L1 positive 
non-Hodgkin lymphoma (NHL) Cancers (KEYNOTE-013).  Solid line represents median 
predicted concentration-time profile, based on population PK model for subjects with 
Melanoma.  Shaded areas represent 90% prediction interval for the prediction.
The choice of 200 mg Q3W as an appropriate dose for the switch to fixed dosing is based on 
simulations performed using the population PK model of pembrolizumab showing that the 
fixed dose of 200 mg Q3W will provide exposures that; 1) are optimally consistent with 
those obtained with 2 mg/kg dose Q3W; 2) will maintain individual patient exposures in the 
exposure range established in melanoma as associated with maximal efficacy response; and 
3) will maintain individual patients exposure in the exposure range established in melanoma 
that are well tolerated and safe.
A fixed dose regimen will simplify the dosing regimen to be more convenient for physicians 
and to reduce potential for dosing errors.  A fixed dosing scheme will also reduce complexity 
in the logistical chain at treatment facilities and reduce wastage.  The existing data suggest 
200 mg Q3W as the optimal dose for pembrolizumab.
 
 
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4.2.2.2
Rationale for the use of pomalidomide in combination with low dose 
dexamethasone in combination with pembrolizumab.
IMiDs (thalidomide, lenalidomide, and pomalidomide) are a class of immunomodulatory 
agents, which are a mainstay in myeloma therapy, and could be rationally combined with 
anti-PD-1 therapy.  IMiDs derive their designation as “Immunomodulators” designed as 
therapeutic immune stimulators derived from the parent compound thalidomide.  
Lenalidomide, and now pomalidomide, are approved therapies for multiple myeloma. The 
immunostimulatory properties of IMiDs, in contrast to other active myeloma classes such as 
proteasome inhibitors, could synergize with anti-PD-1 therapies. Published literature 
suggests that IMiDs have T-cell co-stimulatory and positive effects on antigen presenting 
cells (APCs). T-cell co-stimulation has been demonstrated by increased IFN-g and IL-2 
production, which result in clonal T-cell expansion and increased natural killer (NK) cell 
activity [53].  
In an ongoing single arm, phase II study (NCT02289222), 24 patients with rrMM received 
28-day cycles of pembrolizumab (at a dose of 200 mg IV) every 2 weeks (in a run off phase, 
first 6 patients received 200 mg IV every 4 weeks) plus pomalidomide (4 mg daily x 21 days) 
and dexamethasone 40 mg weekly. Study objectives were measurements of safety and 
efficacy and assessment of the PD-1 and PD-L1 protein expression in bone marrow samples. 
The median age was 65 years (range: 41-75); 35% were African American and 71% were 
men. Of the 24 patients, 75% had prior ASCT and 96% were refractory to last therapy. All 
patients had received both IMids and Proteosome inhibitors; 96% were refractory to 
lenalidomide with 75% double refractory to both IMids and Proteosome inhibitors. Patients 
had received a median of 3 lines of prior therapy (range: 1-6). All patients had abnormal 
cytogenetics: most common were 1q+ (72%) and high-risk FISH (40%) [del 17p, t(4:14) 
and/or t(14:16)]. Regarding safety, the most common hematological toxicities (≥ grade 3) 
were neutropenia (29%), lymphopenia (17%) and thrombocytopenia (8%). Non-hematologic 
adverse events included (Grade ≤2; ≥3): fatigue (n=12; 1), constipation (n=10; 0), dyspnea 
(n=9; 2), itching (n=6; 0), muscle spasms (n=6; 0), infection (n=4; 3), hyperglycemia (n=5; 
0), edema (n= 4; 0), fever (n=3; 0), palpitation (n=2; 1), rash (n=3; 1) and hypotension (n=3; 
0). There were no infusion-related reactions. Events of clinical significance, autoimmune 
mediated, included hypothyroidism (n=2), transaminitis (n=2), and pneumonitis (n=1). Four 
patients had pomalidomide dose reductions due to rash, neutropenia, palpitations and fatigue. 
Two patients died; one after cycle 1 (progressive disease) and one during cycle 2 (sepsis). 
Objective responses (modified IMWG criteria) were observed in 11 of 22 evaluable patients 
(50%) including: near complete response (n=3), very good partial response (n=2), partial 
response (n=6); additionally, 3 patients had minimal response, 6 had stable disease and 2 
progressed. At a median follow-up of 16 weeks; 17 of 22 patients continued on the study. 
The preliminary safety and efficacy results from this study indicate pembrolizumab in 
combination with pomalidomide and dexamethasone has promising therapeutic activity and 
an acceptable safety profile in heavily treated rrMM patients
 
 
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4.2.2.3
Rationale for The Use of pomalidomide in combination with low dose 
dexamethasone as the comparator
Pomalidomide in combination with low dose dexamethasone is the standard of care for 
patients with MM who have received at least 2 prior lines of treatment, were previously 
exposed to a proteasome inhibitor and an IMiD and are refractory to their last line of therapy 
[44]. Approval was based on an open label phase II study where 221 patients received either 
pomalidomide alone or in combination with low dose dexamethasone. The ORR was 33%, 
with a median PFS of 4.2 months and a median OS of 16.5 months [45]. A subsequent phase 
III study where 455 patients were randomized to receive either pomalidomide in combination 
with low dose dexamethasone or high dose dexamethasone showed that PFS was 
significantly longer in patients receiving the combination, with a median of 4 months. 
Additionally, ORR was observed in 31% of patients treated with the combination and the 
median OS for this group was 12.7 months [46].
This phase III trial will establish the efficacy of pembrolizumab in combination with 
pomalidomide and low-dose dexamethasone in subjects with refractory or relapsed and 
refractory MM who have undergone at least two lines of prior therapy, are refractory to their 
last line of treatment and have been previously exposed to an IMiD and a proteasome 
inhibitors. Subjects should be considered to be refractory or relapsed and refractory to an 
IMiD or a proteasome inhibitor or both. 
Rationale for Endpoints
4.2.3.1
Efficacy Endpoints
The primary efficacy objectives of this study is to compare the Progression Free Survival 
(PFS) as assessed by CAC blinded central review, according to the IMWG criteria [1] and to 
compare the Overall Survival (OS) between treatment arms.
Other secondary efficacy endpoints will include Overall Response Rate (ORR), Disease 
Control Rate (DCR), Duration of Response (DOR), and second Progression Free Survival 
(PFS2).
Immunotherapeutic agents such as pembrolizumab may produce antitumor effects by 
potentiating endogenous cancer-specific immune responses, which may be functionally 
anergic.  The response patterns seen with such an approach may extend beyond the typical 
time course of responses seen with cytotoxic agents, and can manifest a clinical response 
after an initial increase in tumor burden or even the appearance of new lesions.  Standard 
response assessment criteria may not provide a comprehensive response assessment of 
immunotherapeutic agents such as pembrolizumab.  Therefore in the setting where a subject 
in the investigational arm, receiving pembrolizumab in combination with pomalidomide and 
low dose dexamethasone, is assessed by the investigator as confirmed PD according to 
IMWG criteria, based on the development of new bone lesions or soft tissue plasmacytomas 
or on a definite increase in the size of existing bone lesions or soft tissue plasmacytomas, 
study treatment may be continued upon Sponsor consultation if the investigator considers the 
subject is deriving clinical benefit and providing subsequent radiographic imaging and 
laboratory testing shows evidence of reduction in tumor burden from the prior time point 
where initial PD was observed.  If repeat imaging and laboratory testing shows a reduction in 
 
 
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the tumor burden compared to the initial result demonstrating PD, treatment may be 
continued or resumed.  If repeat imaging and laboratory testing confirms progressive disease, 
subjects will be discontinued from study therapy.  However, laboratory and/or imaging 
testing should occur at any time where there is clinical suspicion of progression.
4.2.3.2
Patient Reported Outcomes
EORTC QLQ-C30, EORTC QLQ-MY20, and EQ-5D are not pure efficacy or safety 
endpoints because they are affected by both disease progression and treatment tolerability.
EORTC QLQ-C30
EORTC QLQ-C30 was developed to assess the quality of life of cancer subjects. It has been 
translated and validated into 81 languages and used in more than 3,000 studies worldwide.  It 
contains 5 functioning scales (physical, role, cognitive, emotional, and social), 3 symptom 
scales (fatigue, nausea, pain) and additional single symptom items. It is scored on a 4 point 
scale (1=not at all, 2=a little, 3=quite a bit, 4=very much). The EORTC QLQ-C30 instrument 
also contains 2 global scales that use 7 point scale scoring with anchors (1=very poor and 
7=excellent).
EORTC QLQ-MY20
EORTC QLQ-MY20 is a quality of life questionnaire developed to assess the extent of 
symptoms or problems in subjects receiving treatment for multiple myeloma. The tool is used 
in conjunction with the EORTC QLQ-C30 and follows the same 4-point scale described 
above. It contains 2 functioning scales (future perspective, body image) and 2 symptom 
scales (disease symptoms, side effects of treatment).
eEuroQoL-5D
The eEuroQol-5D (eEQ-5D) is a standardized instrument for use as a measure of health 
outcome.  The eEQ-5D will provide data for use in economic models and analyses including 
developing health utilities or QALYs.  The five health state dimensions in this instrument 
include the following: mobility, self-care, usual activities, pain/discomfort, and 
anxiety/depression [37].  Each dimension is rated on a three point scale from 1 (extreme 
problem) to 3 (no problem).  The eEQ-5D also includes a graded (0 to 100) vertical visual 
analog scale on which the subject rates his or her general state of health at the time of the 
assessment.  The eEQ-5D will always be completed by subjects first before completing the 
EORTC QLQ-C30 and EORTC QLQ-MY20.
4.2.3.3
Safety Endpoints
The safety and tolerability of pembrolizumab in combination with pomalidomide and low 
dose dexamethasone or pomalidomide and low dose dexamethasone alone in subjects with 
rrMM will be characterized in this study.  The safety analysis will be based on subjects who 
experienced toxicities as defined by CTCAE criteria.  Safety will be assessed by quantifying 
the toxicities and grades experienced by subjects who have received pembrolizumab,
pomalidomide or low dose dexamethasone including (SAEs and ECIs.
Safety will be assessed by reported adverse experiences using CTCAE, Version 4.0.  The 
attribution to drug, time-of-onset, duration of the event, its resolution, and any concomitant 
medications administered will be recorded.  AEs will be analyzed including but not limited to 
 
 
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all AEs, SAEs, fatal AEs, and laboratory changes.  Furthermore, the occurrence of a Grade 2 
or higher immune-related adverse events will be collected and designated as immune-related 
events of clinical interest (irAEs).
4.2.3.4
Pharmacokinetic Endpoints
Blood samples will be obtained to measure pharmacokinetics of serum pembrolizumab in 
combination with pomalidomide and low dose dexamethasone.  The pembrolizumab in 
combination with pomalidomide and low dose
dexamethasone serum maximum 
concentration (Cmax) and minimum concentration (Ctrough) at planned visits and times will be 
summarized.
Pharmacokinetic data will also be analyzed using nonlinear mixed effects modeling.  Based 
on pharmacokinetic (PK) data obtained in this study as well as PK data obtained from other 
studies, a population PK analysis will be performed to characterize PK parameters 
(Clearance [CL], Volume of distribution [V]) and evaluate the effect of extrinsic and intrinsic 
factors to support proposed dosing regimen.  Pharmacokinetic data will also be used to 
explore the exposure-response relationships for pembrolizumab in combination with 
pomalidomide and low dose dexamethasone antitumor activity/efficacy as well as safety in 
the proposed patient population, if feasible.  The results of these analyses, if performed, will 
be reported separately. Samples obtained for PK may be used to conduct additional safety 
analysis, if needed.
4.2.3.5
Planned Exploratory Biomarker Research
Planned Genetic Analysis
Understanding genetic determinants of drug response is an important endeavor during 
medical research. This research will evaluate whether genetic variation within a clinical trial 
population correlates with response to the treatment(s) under evaluation. If genetic variation 
is found to predict efficacy or adverse events, the data might inform optimal use of therapies 
in the patient population. This research contributes to understanding genetic determinants of 
efficacy and safety associated with the treatments in this study.
Introduction:
Cancer immunotherapies are an important novel class of antitumor agents. However, much 
remains to be learned about how cancer immunotherapies work and how best to leverage 
these new drugs in treating patients.  Thus, to aid future patients, it is important to 
investigate the determinants of response or resistance to cancer immunotherapy as well as 
determinants of adverse events in the course of our clinical trials. To that end we seek to 
define novel predictive/pharmacodynamic biomarkers and the best strategies of combination 
therapy with immuno-oncology drugs. To fully leverage the clinical data collected in this 
trial, we will also collect biospecimens (blood components, tumor material, etc) to support 
biomarker analyses of cellular components (eg, protein, DNA, RNA, metabolites) and other 
blood soluble molecules.  Investigations may include but are not limited to: 
 
 
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Germline (blood) for Genetic Analyses (eg, SNP analyses, whole exome sequencing, 
whole genome sequencing):   
This research will evaluate whether genetic variation within a clinical trial population 
correlates with response to the treatment(s) under evaluation. If genetic variation is found to 
predict efficacy or adverse events, the data might inform optimal use of therapies in the 
patient population. Furthermore, it is important to evaluate germline DNA variation across 
the genome in order to interpret tumor-specific DNA mutations. Finally, microsatellite 
instability (MSI) may be evaluated as this is an important biomarker for some cancers (ie, 
colorectal cancer).  
Genetic (DNA) analyses from tumor:
The application of new technologies, such as next generation sequencing, has provided 
scientists the opportunity to identify tumor-specific DNA changes (ie, mutations, methylation 
status, microsatellite instability etc). Key molecular changes of interest to immune-oncology 
drug development are the mutational burden of tumors and the clonality of T-cells in the 
tumor microenvironment. Increased mutational burden (sometimes referred to as a ‘hyper-
mutated’ state) is one of the major mechanisms of neo-antigen presentation in the context of 
a tumor. There is a potential that in the hyper-mutated state, the presence of neo-antigen 
mutational patterns and the detection of increased T-cell clonality, both of which can be 
determined by use of next-generation sequencing methods, may correlate with response to 
pembrolizumab therapy and/or that the converse, the ‘hypomutated’ state (the absence of 
neo-antigens) may correlate with non-response. To conduct this type of research, it is 
important to identify tumor-specific mutations that occur across all genes in the tumor 
genome. Thus, genome wide approaches may be used for this effort. Note that in order to 
understand tumor-specific mutations, it is necessary to compare the tumor genome with the 
germline genome. Microsatellite instability (MSI) may also be evaluated as this is an 
important biomarker for some cancers (ie, colorectal cancer).
Tumor and blood RNA analyses: 
Both genome-wide and targeted messenger RNA (mRNA) expression profiling and 
sequencing in tumor tissue and in blood may be performed to define gene signatures that 
correlate 
to 
clinical 
response 
to 
treatment 
with 
pembrolizumab or 
other 
immunotherapies.
Pembrolizumab induces a response in tumors that likely reflects an 
inflamed/ immune phenotype. Specific immune-related gene sets (such as those capturing 
interferon-gamma transcriptional pathways) may be evaluated and new signatures may be 
identified.  Individual genes related to the immune system may also be evaluated (e.g., IL-
10). MicroRNA profiling may also be pursued. 
Proteomic Analyses using Blood or Tumor:
Tumor and blood samples from this study may undergo proteomic analyses (eg, PD-L1 
IHC). PD-L1 protein level, as assessed by IHC in tumor sections, has been shown to 
correlate with response to pembrolizumab in patients with NSCLC, and a PD-L1 IHC 
diagnostic is marketed for use with pembrolizumab in NSCLC.  Preliminary data indicates 
that this association may also be true in additional cancer types (ie, TNBC, H&N and 
gastric). Additional tumor or blood-derived proteins may also correlate with response to 
pembrolizumab. Therefore, tumor tissue may be subjected to proteomic profiling using a 
 
 
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variety 
of 
platforms 
that 
could 
include 
but 
are 
not 
limited 
to 
cytometry, 
immunohistochemistry, immunoassay, liquid chromatography/mass spectrometry.
This 
approach could identify novel protein biomarkers that could aid in patient selection for
pembrolizumab (MK-3475) therapy. 
Other blood derived Biomarkers:
In addition to expression on the tumor tissue, PD-L1 and other tumor derived proteins can be 
shed from tumor and released into the blood. Assays such as enzyme-linked immunoassay 
measure such proteins in serum. Correlation of expression with response to pembrolizumab 
therapy may identify new approaches for predictive biomarkers in blood representing a major 
advance from today’s reliance on assessing tumor biomarkers. This research would serve to 
develop such assays for future clinical use. 
4.2.3.6
Future Biomedical Research
The Sponsor will conduct Future Biomedical Research on specimens collected for future 
biomedical research during this clinical trial.  This research may include genetic analyses 
(DNA), gene expression profiling (RNA), proteomics, metabolomics (serum, plasma) and/or 
the measurement of other analytes.
Such research is for biomarker testing to address emergent questions not described elsewhere 
in the protocol (as part of the main trial) and will only be conducted on specimens from 
appropriately consented subjects. The objective of collecting specimens for Future 
Biomedical Research is to explore and identify biomarkers that inform the scientific 
understanding of diseases and/or their therapeutic treatments. The overarching goal is to use 
such information to develop safer, more effective drugs/vaccines, and/or to ensure that 
subjects receive the correct dose of the correct drug/vaccine at the correct time.  The details 
of Future Biomedical Research are presented in Section 12.2 - Collection and Management 
of Specimens for Future Biomedical Research.  Additional informational material for 
institutional review boards/ethics review committees (IRBs/ERCs) and investigational site 
staff is provided in Section 12.3.
Benefit/Risk
Subjects in clinical trials generally cannot expect to receive direct benefit from treatment 
during participation, as clinical trials are designed to provide information about the safety 
and effectiveness of an investigational medicine.
Additional details regarding specific benefits and risks for subjects participating in this 
clinical trial may be found in the accompanying Investigators Brochure (IB) and Informed 
Consent documents.
 
 
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5.0 METHODOLOGY
Entry Criteria
Diagnosis/Condition for Entry into the Trial
Male/Female subjects with rrMM of at least 18 years of age will be enrolled in this trial.
Subject Inclusion Criteria
In order to be eligible for participation in this trial, the subject must:
1. Be willing and able to provide written informed consent for the trial.  The subject 
may also provide consent for Future Biomedical Research.  However, the subject may 
participate in the main trial without participating in Future Biomedical Research.
2. Be ≥18 years of age on day of signing informed consent.
3. Has a confirmed diagnosis of active multiple myeloma and measurable disease 
defined as:

Serum monoclonal protein (M-protein) levels ≥ 0.5 g/dL or

Urine monoclonal protein (M-protein) levels ≥200 mg/24-hours or

for subjects without measurable serum and urine M-protein levels, an 
abnormal serum free light chain ratio (FLC κ/λ) with involved FLC level ≥100 
mg/L. (Normal serum FLC κ/λ value: 0.26 - 1.65).
4. Must have undergone prior treatment with ≥ 2 treatment lines of anti-myeloma 
therapy and must have failed their last line of treatment defined as documented 
disease progression during or within 60 days of completing their last anti-myeloma 
therapy (refractory to last line of treatment). Note: A planned treatment approach 
of induction therapy followed by autologous stem cell transplantation, followed by 
maintenance, is considered one line of therapy.
5. Prior anti-myeloma treatments must have included an IMiD (i.e. lenalidomide or 
thalidomide) AND proteasome inhibitor (i.e. bortezomib, ixazomib or carfilzomib) 
alone or in combination and subject must have failed therapy with an IMiD OR 
proteasome inhibitor defined as one of the following:

Refractory: Resistant to treatment due to lack of response while on therapy or 
documented progressive disease on or within 60 days of completing treatment 
with an IMiD and/or proteasome inhibitor OR

Relapsed and refractory: In case of prior response [≥ partial response (PR)] to 
an IMiD or proteasome inhibitor, subjects must have relapsed within 6 months 
after stopping treatment with an IMiD and/or proteasome inhibitor containing 
regimens
 
 
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6. Be able to provide at screening, archival (≤60 days) or newly obtained bone marrow 
biopsy or aspirate material for disease assessment at the local institution. Subjects 
participating in the biomarker sub-study who signed the biomarker informed consent 
should be able to provide a newly obtained bone marrow aspirate for central analysis.
7. Must have a performance status of 0 or 1 on the Eastern Cooperative Oncology Group 
(ECOG) Performance Scale.
8. Must demonstrate adequate organ function as defined in Table 1; all screening labs 
for safety should be performed within 10 days prior to treatment initiation. 
Table 1
Adequate Organ Function Laboratory Values
System
Laboratory Value
Hematological
Absolute neutrophil count (ANC)
>1,000.0/mcL
Plateletsb
≥75,000.0/mcL
Hemoglobinb
≥7.5 g/dL
Renal
Serum Creatinine OR
Measured or calculateda creatinine clearance
(GFR can also be used in place of creatinine or 
creatinine clearance) 
≤3 mg/dl OR
>50 ml/min
Hepatic
Total bilirubin
≤ 1.5 X ULN OR
Direct bilirubin ≤ ULN for subjects with total 
bilirubin levels > 1.5 ULN
AST (SGOT) and ALT (SGPT)
≤ 2.5 X ULN
Coagulation
International Normalized Ratio (INR) or
Prothrombin Time (PT)
Activated Partial Thromboplastin Time (aPTT)
≤1.5 
X 
ULN 
unless 
subject 
is 
receiving 
anticoagulant therapy as long as PT or PTT is within 
therapeutic range of intended use of anticoagulants
≤1.5 
X 
ULN 
unless 
subject 
is 
receiving 
anticoagulant therapy as long as PT or PTT is within 
therapeutic range of intended use of anticoagulants
a Creatinine clearance should be calculated per central standard.
b Hemoglobin and platelet requirements cannot be met by use of recent transfusion or growth factor support 
(Granulocyte colony stimulating factor - GCSF or erythropoietin) within 2 weeks prior to treatment initiation.
9. Female subjects of childbearing potential should have two negative urine pregnancy 
tests (with a sensitivity of at least 25mIU/ml) prior to the first dose of study 
medication. The pregnancy tests must be obtained within 10-14 days AND within 24
hours prior to receiving the first dose of study medication as per pomalidomide 
pregnancy prevention program.  The study doctor must verify that the results of these 
tests are negative. If the urine test is positive or cannot be confirmed as negative, a 
serum pregnancy test will be required.
10. Female subjects of childbearing potential should be willing to use 2 methods of birth 
control or be surgically sterile, or abstain from heterosexual activity for 28 days prior 
to starting pomalidomide, during the course of the study, during any dose 
interruptions, and through 28 days after last dose of pomalidomide (or 120 days after 
 
 
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the last dose of pembrolizumab). (See Section 5.7.4.3).  Female subjects of child 
bearing potential are those who 1) have achieved menarche at some point, 2) have not 
undergone a hysterectomy or bilateral oophorectomy or 3) have not been naturally 
postmenopausal (amenorrhea following cancer therapy does not rule out childbearing 
potential) for at least 24 consecutive months (ie, has had menses at any time in the 
preceding 24 consecutive months). 
Note: 
Abstinence is acceptable if this is the usual lifestyle and preferred 
contraception for the subject.
11. Male subjects should agree to use an adequate method of contraception starting with 
the first dose of pembrolizumab or pomalidomide through 28 days after last dose of 
pomalidomide (or 120 days after the last dose of pembrolizumab).
Note: Abstinence is acceptable if this is the usual lifestyle and preferred 
contraception for the subject.
12. All subjects must agree to follow the local requirements for pomalidomide 
counseling, pregnancy testing, and birth control; and be willing and able to comply 
with the local requirements (for example, periodic pregnancy tests, safety labs, etc.).
13. Subject is able to swallow capsules and is able to take and tolerate oral medications 
on a continuous basis.
Subject Exclusion Criteria
The subject must be excluded from participating in the trial if the subject:
1. Is currently participating and receiving study therapy or has participated in a study of 
an investigational agent and received study therapy or used an investigation device 
within 4 weeks of the first dose of treatment.
2. Subjects with oligo-secretory myeloma, smoldering multiple myeloma (SMM), 
monoclonal gammopathy of undetermined significance (MGUS), Waldenström's 
macroglobulinemia, or any history of plasma cell leukemia.
3. History of repeated infections, primary amyloidosis, hyperviscosity or POEMS 
syndrome
(plasma 
cell 
dyscrasia 
with 
polyneuropathy, 
organomegaly, 
endocrinopathy, monoclonal protein, and skin changes).
4. Has a known history of immunosuppression or is receiving systemic steroid therapy 
or any other form of systemic immunosuppressive therapy within 7 days prior to the 
first dose of trial treatment. The use of physiologic doses of corticosteroids may be 
approved after consultation with the Sponsor.
Note: A short course of 40 mg dexamethasone (≤4 days) or equivalent for emergency 
use is allowed after previous consultation with the Sponsor. In these cases, baseline 
m-protein values from serum and urine should be obtained before the short steroid 
course and be repeated prior to study drugs administration on Cycle 1 Day 1.
5. Has had a prior monoclonal antibody within 4 weeks prior to study Day 1 or who has 
not recovered (i.e. ≤ Grade 1 or at baseline) from adverse events due to agents 
administered more than 4 weeks earlier. 
 
 
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6. Has had prior antimyeloma therapy including but not limited to dexamethasone, 
IMiDs, proteasome inhibitors, chemotherapy or radiation therapy within 2 weeks 
prior to study Day 1 who has not recovered (i.e. ≤ Grade 1 or at baseline) from 
adverse
events 
due 
to 
a 
previously 
administered 
agent.
Note:  If subject received major surgery, they must have recovered adequately from 
the toxicity and/or complications from the intervention prior to starting therapy.
Note: Toxicity that has not recovered to ≤Grade 1 is allowed if it meets the inclusion 
requirements for laboratory parameters defined in Table 1.
7. Has undergone prior allogeneic hematopoietic stem cell transplantation within the last 
5 years. (Subjects who have had a transplant greater than 5 years ago are eligible as 
long as there are no symptoms of Graft versus Host Disease (GVHD).
8. Has received autologous stem cell transplant (auto-SCT) within 12 weeks before the 
first infusion or are planning for or are eligible for auto-SCT.
9. Treatment with plasmapheresis within 4 weeks prior the first dose of trial treatment.
10. Has known hypersensitivity to thalidomide, lenalidomide, or dexamethasone.
11. Has received previous therapy with pomalidomide.
12. Subjects unable or unwilling to undergo thromboembolic prophylaxis including, as 
clinically indicated, aspirin, Coumadin (warfarin) or low-molecular weight heparin.
13. Subjects with peripheral neuropathy ≥ Grade 2.
14. Has a known additional malignancy that is progressing or requires active treatment
within the last 5 years.  Exceptions include basal cell carcinoma of the skin, 
squamous cell carcinoma of the skin, or in situ cervical cancer that has undergone 
potentially curative therapy.
15. Has active autoimmune disease that has required systemic treatment in past 2 years 
(i.e. with use of disease modifying agents, corticosteroids or immunosuppressive 
drugs).  Replacement therapy (e.g., thyroxine, insulin, or physiologic corticosteroid 
replacement therapy for adrenal or pituitary insufficiency, etc.) is not considered a 
form of systemic treatment.
16. Has a history of (non-infectious) pneumonitis that required steroids or current 
pneumonitis.
17. Has an active infection requiring intravenous systemic therapy.
18. Has known psychiatric or substance abuse disorders that would interfere with 
cooperation with the requirements of the trial.
19. Is pregnant or breastfeeding, or expecting to conceive or father children within the 
projected duration of the trial, starting with the pre-screening or Screening Visit 
through 120 days after the last dose of trial treatment.
20. Has received prior therapy with an anti-PD-1, anti-PD-L1, anti-PD-L2, anti-CD137, 
or anti-Cytotoxic T-lymphocyte-associated antigen-4 (CTLA-4) antibody (including 
ipilimumab or any other antibody or drug specifically targeting T-cell co-stimulation 
or checkpoint pathways).
 
 
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21. Has a known Human Immunodeficiency Virus (HIV), or known active Hepatitis B 
(HBV), or known active Hepatitis C (HCV) infection.
22. Has received a live vaccine within 30 days prior to first dose.
23. Is or has an immediate family member (e.g., spouse, parent/legal guardian, sibling or 
child) who is investigational site or sponsor staff directly involved with this trial.
Trial Treatment(s)
The treatment(s) to be used in this trial are outlined below in Table 2. 
Table 2
Trial Treatment
Study Drug
Dose/Potency
Dose 
Frequency
Route of 
Adminis-
tration
Regimen/
Treatment Period
Use
pembrolizumab
200 mg
Q3W
IV infusion
every 21 days 
experimental 
pomalidomide
4 mg
Days 1 to 21
oral
28-days cycle
Standard of 
care
dexamethasone
40 mga
Days 1, 8, 
15, 22
oral
28-days cycle
Standard of 
care 
a A dexamethasone dose of 20 mg on Days 1, 8, 15, and 22 in subjects aged > 75 years is recommended [45].
After ensuring subjects meet disease related inclusion/exclusion criteria through previous 
consultation with the Sponsor, study personnel will access IVRS/IWRS to obtain 
randomization number and study drug assignment. Cycle 1 treatment must be given within 3 
calendar days of randomization number assignment in IVRS/IWRS.
All supplies indicated in Table 2 above will be provided centrally by the Sponsor or locally 
by the trial site, subsidiary or designee, depending on local country operational or regulatory 
requirements.
For any commercially available product that is provided by the trial site, subsidiary or 
designee every attempt will be made to source these supplies from a single lot/batch number. 
The trial site is responsible to record the lot number, manufacturer and expiry date for any 
locally purchased product as per local guidelines unless otherwise instructed by the Sponsor.
The investigator shall take responsibility for and shall take all steps to maintain appropriate 
records and ensure appropriate supply, storage, handling, distribution and usage of trial 
treatments in accordance with the protocol and any applicable laws and regulations.
Dose Selection/Modification
5.2.1.1
Dose Selection (Preparation)
The rationale for selection of doses to be used in this trial is provided in Section 4.0 –
Background and Rationale 
Subjects in the investigational arm (Arm A) should start treatment with all 3 drugs 
(pembrolizumab, pomalidomide and low dose dexamethasone) on Cycle 1 Day 1 (C1D1). 
 
 
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Subjects will receive 200 mg pembrolizumab by IV infusion within a 30 minute period along 
with pomalidomide PO 4 mg and low dose dexamethasone PO 40 mg. After C1D1, 
pembrolizumab infusions will continue every 21 days (Q3W). Pomalidomide PO 4 mg will 
be given daily on days 1-21 and low dose dexamethasone PO 40 mg will be given daily, on 
days 1, 8, 15 and 22 of repeated 28-day cycles.
In the control arm (Arm B), subjects should start treatment on C1D1 with both drugs, 
pomalidomide PO 4 mg and low dose dexamethasone PO 40 mg. Pomalidomide PO 4 mg 
will be given daily, on days 1-21 and low dose dexamethasone PO 40 mg will be given daily, 
on days 1, 8, 15 and 22 of repeated 28-day cycles. 
NOTE: In both groups, subjects aged >75 years a daily low dose dexamethasone dose of 20 
mg on days 1, 8, 15 and 22 of repeated 28-day cycles is recommended when combining with 
pembrolizumab and pomalidomide or with pomalidomide alone [45]. 
All subjects under treatment with pomalidomide must receive appropriate anti-coagulation 
prophylaxis therapy after an initial assessment of each subject’s underlying risk factors. The 
appropriate anti-coagulation prophylaxis treatment should be selected according to 
institutional practice.
Examples of commonly used thrombo-embolic prophylaxis 
medications include aspirin, low molecular weight heparin, and vitamin K antagonists.
For both groups, if the dose of one drug in the regimen (ie, pembrolizumab, pomalidomide,  
or low dose dexamethasone) is delayed the treatment with the other drugs may continue as 
scheduled. Missed doses should be skipped, not delayed, if not given within the allowed 
window (+/- 3 days). If either pembrolizumab, pomalidomide, or low-dose dexamethasone is 
discontinued due to unacceptable toxicity, subjects can continue to receive study treatment 
with the remaining study drugs without discontinuing from study. Cross-over between the 
arms is not permitted in the study.
Details on the preparation and administration of pembrolizumab are provided in the 
Pharmacy Manual. For additional information regarding pomalidomide or dexamethasone 
please refer to local prescribing information.
5.2.1.2
Dose Modification
5.2.1.2.1 Dose Modification for pembrolizumab
Adverse events (both non-serious and serious) associated with pembrolizumab exposure may 
represent an immunologic etiology.  These AEs may occur shortly after the first dose or 
several months after the last dose of treatment.  Pembrolizumab must be withheld for drug-
related toxicities and severe or life-threatening AEs as per Table 3 and Table 4.  See 
Section 5.6.1 and Events of Clinical Interest Guidance Document for supportive care 
guidelines, including use of corticosteroids.
 
 
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Table 3
Dose Modification Guidelines for Hematological Drug-Related Adverse Events
Toxicity
Grade
Hold 
Treatment 
(Y/N)
Timing for 
restarting 
treatment
Treatment 
Discontinuation 
(after 
consultation 
with Sponsor)
Hematological Toxicity
1, 2, 3
No
N/A
N/A
4
Yes
Toxicity 
resolves to 
Grade 0-1 or 
baseline
Toxicity does 
not resolve 
within 12 weeks 
of last infusion
Permanent 
discontinuation 
should be 
considered for 
any life-
threatening 
event
N/A – Not applicable; Y/N – Yes/No.
 
 
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Table 4
Dose Modification Guidelines for Non-Hematological Drug-Related Adverse 
Events
Toxicity
Hold 
Treatment 
For Grade
Timing for Restarting Treatment
Treatment Discontinuation
Diarrhea/
Colitis
2-3
Toxicity resolves to Grade 0-1.
Toxicity does not resolve within 12 weeks of last dose or 
inability to reduce corticosteroid to 10 mg or less of prednisone 
or equivalent per day within 12 weeks.
4
Permanently discontinue
Permanently discontinue
AST, ALT, 
or Increased 
Bilirubin
2
Toxicity resolves to Grade 0-1
Toxicity does not resolve within 12 weeks of last dose.
3-4
Permanently discontinue
(see exception below)a
Permanently discontinue
Type 1 
diabetes 
mellitus (if 
new onset) 
or Hyper-
glycemia
T1DM or 
3-4
Hold pembrolizumab for new onset 
Type 1 diabetes mellitus or Grade 3-4 
hyperglycemia associated with 
evidence of beta cell failure.
Resume pembrolizumab when patients are clinically and 
metabolically stable.
Hypo-
physitis
2-4
Toxicity resolves to Grade 0-1. 
Therapy with pembrolizumab can be 
continued while endocrine 
replacement therapy is instituted.
Toxicity does not resolve within 12 weeks of last dose or 
inability to reduce corticosteroid to 10 mg or less of prednisone 
or equivalent per day within 12 weeks.
Hyper-
thyroidism 
3
Toxicity resolves to Grade 0-1
Toxicity does not resolve within 12 weeks of last dose or 
inability to reduce corticosteroid to 10 mg or less of prednisone 
or equivalent per day within 12 weeks.
4
Permanently discontinue
Permanently discontinue
Hypo-
thyroidism
Therapy with pembrolizumab can be 
continued while thyroid replacement 
therapy is instituted.
Therapy with pembrolizumab can be continued while thyroid 
replacement therapy is instituted.
Infusion 
Reaction
2b
Toxicity resolves to Grade 0-1
Permanently discontinue if toxicity develops despite adequate 
premedication.
3-4
Permanently discontinue
Permanently discontinue
Pneumonitis
2
Toxicity resolves to Grade 0-1
Toxicity does not resolve within 12 weeks of last dose or 
inability to reduce corticosteroid to 10 mg or less of prednisone 
or equivalent per day within 12 weeks.
3-4 or 
recurrent 
2
Permanently discontinue
Permanently discontinue
Renal 
Failure or 
Nephritis
2
Toxicity resolves to Grade 0-1
Toxicity does not resolve within 12 weeks of last dose or 
inability to reduce corticosteroid to 10 mg or less of prednisone 
or equivalent per day within 12 weeks.
3-4
Permanently discontinue
Permanently discontinue
All Other 
Drug-
Related 
Toxicityc
3 or Severe
Toxicity resolves to Grade 0-1
Toxicity does not resolve within 12 weeks of last dose or 
inability to reduce corticosteroid to 10 mg or less of prednisone 
or equivalent per day within 12 weeks.
4
Permanently discontinue
Permanently discontinue
Note: Permanently discontinue for any severe or Grade 3 (recurrent Grade 2 for pneumonitis) drug-related AE that recurs 
or any life-threatening event.
a For patients with liver metastasis who begin treatment with Grade 2 AST or ALT, if AST or ALT increases by greater than or equal to 
50% relative to baseline and lasts for at least 1 week then patients should be discontinued.
b If symptoms resolve within one hour of stopping drug infusion, the infusion may be restarted at 50% of the original infusion rate (e.g., 
from 100 mL/hr to 50 mL/hr).  Otherwise dosing will be held until symptoms resolve and the subject should be premedicated for the next 
scheduled dose. Refer to Table 8 – Infusion Reaction Treatment Guidelines for further management details.
c Patients with intolerable or persistent Grade 2 drug-related AE may hold study medication at physician discretion.  Permanently 
discontinue study drug for persistent Grade 2 adverse reactions for which treatment with study drug has been held, that do not recover to 
Grade 0-1 within 12 weeks of the last dose.
 
 
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5.2.1.2.2 Dose Modification Guidelines for pomalidomide
The recommended starting dose of pomalidomide is 4 mg once daily orally on Days 1-21 of
repeated 28-day cycles. Pomalidomide may be taken with water. Inform subjects not to 
break, chew, or open the capsules. Pomalidomide should be taken without food (at least 2 
hours before or 2 hours after a meal).
The criteria presented in this section for dose modification are meant as general guidelines, 
and they are based on current US standards of clinical practice. Local standards and 
prescribing information may differ and should be followed.
Pomalidomide dose 
modifications for toxicity must be performed as clinically indicated at the discretion of the 
investigator. Refer to pomalidomide local prescribing information and Table 5 for dose 
modification guidelines.
Table 5
Dose Modification Instructions for pomalidomide for Hematologic Toxicities
Toxicity 
Dose Modification
Neutropenia

ANC <500 per mcL or febrile 
neutropenia (fever more than or equal to 
38.5°C and ANC <1,000 per mcL)

ANC return to more than or equal to 500 
per mcL

For each subsequent drop <500 per mcL

Return to more than or equal to 500 per 
mcL

Interrupt pomalidomide treatment, follow 
CBC weekly.

Resume pomalidomide treatment at 3 mg 
daily

Interrupt pomalidomide treatment

Resume pomalidomide treatment at 1 mg 
less than the previous dose
Thrombocytopenia

Platelets <25,000 per mcL

Platelets return to >50,000 per mcL

For each subsequent drop <25,000 per 
mcL

Return to more than or equal to 50,000 
per mcL

Interrupt pomalidomide treatment, follow 
CBC weekly

Resume pomalidomide treatment at 3 mg 
daily

Interrupt pomalidomide treatment

Resume pomalidomide treatment at 1 mg 
less than previous dose
For other Grade 3 or 4 toxicities, hold treatment and restart treatment at 1 mg less than the
previous dose when toxicity has resolved to less than or equal to Grade 2 at the physician’s
discretion. To initiate a new cycle of pomalidomide, the neutrophil count must be at least 500 
per mcL and the platelet count must be at least 50,000 per mcL. If toxicities occur after dose 
reductions to 1 mg, then discontinue pomalidomide.
Subjects receiving pomalidomide have developed venous thromboembolic events (VTEs) 
(venous thromboembolism) reported as serious adverse reactions. In the pomalidomide 
registrational trial, all subjects were required to receive prophylaxis or anti-thrombotic 
treatment; 81% used aspirin, 16% warfarin, 21% heparin, and 3% clopidogrel. The rate of 
deep vein thrombosis or pulmonary embolism was 3%. Investigator should select, according 
 
 
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to institutional practice, the appropriate anti-coagulation prophylaxis treatment after an 
assessment of each subject’s underlying risk factors.
5.2.1.2.3 Dose Modification Guidelines for dexamethasone  
The recommended starting dose of low dose dexamethasone will be 40 mg once orally on 
Days 1, 8, 15 and 22 (i.e. once weekly) of repeated 28-day cycles. In both groups, subjects 
aged > 75 years a daily low dose dexamethasone dose of 20 mg on days 1, 8, 15 and 22 of
repeated 28-day cycles is recommended [45]. 
The criteria presented in this section for dose modification are meant as general guidelines, 
and they are based on current US standards of clinical practice. Local standards and 
prescribing information may differ and should be followed.
Dexamethasone dose 
modifications for toxicity must be performed as clinically indicated at the discretion of the 
investigator. Refer to dexamethasone local prescribing information, Table 6 and Table 7 for 
dose modification guidelines.
Table 6
Supportive Care Guidelines Specific to Dexamethasone
Body System
Symptom
Recommended Action
Gastrointestinal
Dyspepsia, gastric or duodenal 
ulcer, 
gastritis 
Grade 
1–2 
(requiring medical management)
Treat with H2 blockers, sucralfate, or omeprazole.  
If symptoms persist despite above measures, 
decrease dexamethasone dose by one dose level.
Gastrointestinal
> 
Grade 
3 
(requiring 
hospitalization or surgery)
Hold dexamethasone until symptoms adequately 
controlled.  Restart and decrease one dose level of 
current dose along with concurrent therapy with 
H2 blockers, sucralfate, or omeprazole.  If 
symptoms 
persist 
despite 
above 
measures, 
discontinue dexamethasone and do not resume.
Gastrointestinal
Acute pancreatitis
Discontinue dexamethasone and do not resume.
Cardiovascular
Edema
>Grade 3 (limiting function and 
unresponsive 
to 
therapy 
or 
anasarca)
Diuretics as needed, and decrease dexamethasone 
dose by one dose level; if edema persists despite 
above measures, decrease dose another dose level.  
Discontinue dexamethasone and do not resume if 
symptoms persist despite second reduction.
Neurology
Confusion or Mood alteration 
> Grade 
2 
(interfering 
with 
function 
+/-
interfering 
with 
activities of daily living)
Hold dexamethasone until symptoms resolve.  
Restart with one dose level reduction.  If symptoms 
persist 
despite 
above 
measures, 
discontinue 
dexamethasone do not resume.
Musculoskeletal
Muscle weakness > Grade 2 
(symptomatic and interfering with 
function 
+/-
interfering 
with 
activities of daily living)
Decrease dexamethasone dose by one dose level.  
If weakness persists despite above measures, 
decrease dose by one dose level.  Discontinue 
dexamethasone and do not resume if symptoms 
persist.
Metabolic
Hyperglycemia > Grade 3 or 
higher
Treatment with insulin or oral hypoglycemics as 
needed.  If uncontrolled despite above measures, 
decrease dose by one dose level until levels are 
satisfactory.
 
 
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Table 7
Recommended Dose reduction levels for Dexamethasone
Dose Level
Dexamethasone dose (PO)
0
40 mg
-1
20 mg
-2
12 mg
-3
0 mg
Timing of Dose Administration
Subjects in the investigational arm (Arm A) should start treatment with all 3 drugs 
(pembrolizumab, pomalidomide and low dose dexamethasone) on C1D1. After C1D1, 
pembrolizumab infusions will continue every 21 days (Q3W). Pomalidomide administrations 
will continue daily on days 1-21 and low dose dexamethasone administrations will continue
daily on days 1, 8, 15 and 22 of repeated 28-day cycles.
In the control arm (Arm B), subjects should start treatment on C1D1 with both 
pomalidomide and low dose dexamethasone. Pomalidomide administrations will continue
daily on days 1-21 and low dose dexamethasone administrations will continue daily on days 
1, 8, 15 and 22 of repeated 28-day cycles. 
NOTE: In both groups, subjects aged > 75 years a daily low dose dexamethasone dose of 20 
mg on days 1, 8, 15 and 22 of repeated 28-day cycles is recommended when combining with 
pembrolizumab and pomalidomide or with pomalidomide alone [45].  
All subjects under treatment with pomalidomide must receive appropriate anti-coagulation 
prophylaxis therapy. The appropriate anti-coagulation prophylaxis treatment should be 
selected according to institutional practice. Examples of commonly used thrombo-embolic 
prophylaxis medications include aspirin, low molecular weight heparin, and vitamin K 
antagonists.
Trial treatment of pembrolizumab may be administered up to 3 days before or after the 
scheduled dosing date for each infusion due to administrative reasons. Trial treatment of 
pomalidomide and low dose dexamethasone may be administered up to 3 days before or after 
the scheduled dosing date for administrative reasons per the investigator’s judgment. Missed 
doses should be skipped, not delayed, if not given within the allowed window.
Dosing interruptions are permitted in the case of medical/surgical events or logistical reasons 
(e.g., elective surgery, unrelated medical events, radiotherapy, patient vacation, and holidays) 
not related to study therapy. Subjects should be placed back on study therapy within 28 days
of the scheduled interruption. The reason for interruption should be documented in the 
subject's study record. Dosing interruptions should be discussed with the Sponsor.
Delays for 12 weeks between pembrolizumab doses due to toxicity or delays for 28 days 
between pomalidomide or low dose dexamethasone doses due to toxicity are also permitted.
However, disease response assessments should continue to be performed according to
schedule as detailed on the Trial Flow Chart (Section 6.0), independently of doses delays for 
both treatment groups. Dose delays should be discussed with the Sponsor.
 
 
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For both groups, if the dose of one drug in the regimen (ie, pembrolizumab, pomalidomide,  
or low dose dexamethasone) is delayed or interrupted the treatment with the other drugs may 
continue as scheduled. Missed doses should be skipped, not delayed, if not given within the 
allowed window (+/- 3 days). If either pembrolizumab, pomalidomide, or low-dose
dexamethasone is discontinued due to unacceptable toxicity, subjects can continue to receive 
study treatment with the remaining study drugs without discontinuing from study.
Details on the preparation and administration of pembrolizumab are provided in the 
Pharmacy Manual. For details on the administration of pomalidomide or low dose
dexamethasone refer to the local prescription drug label.
5.2.2.1
Pembrolizumab
Trial treatment of pembrolizumab should start on C1D1 and continue every 21 days (Q3W)
after all procedures/assessments have been completed as detailed on the Trial Flow Chart 
(Section 6.0).  
Pembrolizumab 200 mg will be administered as a 30 minute IV infusion every 21 days 
(Q3W). Sites should make every effort to target infusion timing to be as close to 30 minutes 
as possible.  However, given the variability of infusion pumps from site to site, a window 
of -5 minutes and +10 minutes is permitted (ie, infusion time is 30 minutes: -5 min/+10 min).
Missed doses should be skipped, not delayed, if not given within the allowed window (+/- 3 
days).
The Pharmacy
Manual contains specific instructions for the preparation of the 
pembrolizumab infusion fluid and administration of infusion solution.
5.2.2.2
Pomalidomide
Trial treatment of pomalidomide should start on C1D1. Pomalidomide PO 4 mg will be given 
daily on days 1-21 of repeated 28-day cycles. Subjects should be instructed that if a dose of 
pomalidomide has been missed and it has been less than 12 hours since the subject’s regular 
dosing time, the subject should take pomalidomide as soon as the subject remembers. If it has 
been more than 12 hours, the dose must be skipped. Subjects should not take 2 doses at the 
same time. All subjects under treatment with pomalidomide must receive appropriate anti-
coagulation prophylaxis therapy which should be selected according to institutional practice.
Examples of commonly used thrombo-embolic prophylaxis medications include aspirin, low 
molecular weight heparin, and vitamin K antagonists.
For details on the administration of pomalidomide refer to the local prescribing information.
5.2.2.3
Dexamethasone
Trial treatment of low dose dexamethasone should start on C1D1. Low dose dexamethasone 
PO 40 mg will be given daily, on days 1, 8, 15 and 22 of repeated 28-day cycles. Missed 
doses should be skipped, not delayed, if not given within the allowed window (+/- 3 days). 
For details on the administration of low dose dexamethasone refer to local prescribing 
information.
 
 
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NOTE: In both groups, subjects aged > 75 years a daily low dose dexamethasone dose of 20
mg on days 1, 8, 15 and 22 of repeated 28-day cycles is recommended when combining with 
pembrolizumab and pomalidomide or with pomalidomide alone [45].
Extent of Trial Treatment
All subjects who experience a complete response, very good partial response, a partial 
response, minor response or have stable disease may remain on treatment until documented 
confirmed disease progression, unacceptable adverse event(s) (AEs), intercurrent illness that 
prevents further administration of treatment, subject withdraws consent, pregnancy of the 
subject, noncompliance with trial treatment or procedure requirements or administrative 
reasons.
On 03-JULY-2017, the US FDA placed KN183, KN185 and cohort 1 of KN023 on clinical 
hold based on safety data from KN183 and KN185 presented to the DMC. The FDA 
determined that the risks of pembrolizumab plus pomalidomide or lenalidomide outweighed 
any potential benefit for patients with multiple myeloma.
Based on this decision, the 
treatment phase of KN183 and KN185 is closed effective immediately. All subjects must 
stop study treatment, complete the Discontinuation Visit and move into the long-term safety 
and survival follow-up per protocol.
Trial Blinding/Masking
This is an open-label trial; therefore, the Sponsor, investigator and subject will know the 
treatment administered.
Randomization or Treatment Allocation
Treatment allocation/randomization will occur centrally using an interactive voice response 
system / integrated web response system (IVRS/IWRS).
There are 2 treatment arms.  
Subjects will be assigned randomly in a 1:1 ratio to treatment with pembrolizumab in 
combination with pomalidomide and low dose dexamethasone (investigational arm (Arm A)) 
or pomalidomide and low dose dexamethasone (control arm (Arm B)), respectively.
Stratification
Treatment allocation/randomization will be stratified according to the following factors:
1. Disease status (refractory vs. sensitive to lenalidomide). Subjects are considered to be 
refractory to lenalidomide if:

Resistant to treatment due to lack of response while on therapy or documented 
progressive disease on or within 60 days of completing treatment with 
lenalidomide alone or in combination OR

In case of prior response [≥ partial response (PR)] to lenalidomide, subjects 
must have relapsed within 6 months after stopping treatment with 
lenalidomide monotherapy or in combination. 
 
 
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2. Lines of prior treatment (2 vs. ≥3 prior lines).

Note: A planned treatment approach of induction therapy followed by autologous 
stem cell transplantation, followed by maintenance is considered one line of 
therapy.
Concomitant Medications/Vaccinations (Allowed & Prohibited)
Medications or vaccinations specifically prohibited in the exclusion criteria are not allowed 
during the ongoing trial.  If there is a clinical indication for any medication or vaccination 
specifically prohibited during the trial, discontinuation from trial therapy or vaccination may 
be required.  The investigator should discuss any questions regarding this with the Sponsor 
Clinical Director.  The final decision on any supportive therapy or vaccination rests with the 
investigator and/or the subject's primary physician.  However, the decision to continue the 
subject on trial therapy or vaccination schedule requires the mutual agreement of the 
investigator, the Sponsor and the subject.
Acceptable Concomitant Medications
All treatments that the investigator considers necessary for a subject’s welfare may be 
administered at the discretion of the investigator in keeping with the community standards of 
medical care.  All concomitant medication will be recorded on the case report form (CRF) 
including all prescription, over-the-counter (OTC), herbal supplements, and IV medications 
and fluids.  If changes occur during the trial period, documentation of drug dosage, 
frequency, route, and date may also be included on the CRF.  Subject may remain on anti-
coagulation therapy as long as the PT or PTT is within therapeutic range of the intended use 
of anticoagulants
All concomitant medications received within 28 days before the first dose of trial treatment 
and 30 days after the last dose of trial treatment should be recorded.  Concomitant 
medications administered after 30 days after the last dose of trial treatment should be 
recorded for SAEs and ECIs as defined in Section 7.2.
Prohibited Concomitant Medications
Subjects are prohibited from receiving the following therapies during the Screening and 
Treatment Phase of this trial:

Anti-myeloma therapy or any antineoplastic biological therapy not specified in this 
protocol.

Immunotherapy not specified in this protocol

Chemotherapy not specified in this protocol

Strong CYP1A2 inhibitors (eg, ciprofloxacin and fluvoxamine)

Investigational agents other than pembrolizumab

Radiation therapy
 
 
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Note:  Palliative localized radiation therapy to a site of pre-existing disease is
permitted while on study.
Note: For subjects in the investigational arm (Arm A) concomitant radiation may be 
permitted after consultation with the Sponsor for subjects with confirmed disease 
progression based on the development of new bone lesions or soft tissue 
plasmacytomas or a definite increase in the size of existing bone lesions or soft tissue 
plasmacytomas who in the opinion of the investigator may have a tumor flare reaction 
but otherwise is deriving clinical benefit from study treatment.

Live vaccines within 30 days prior to the first dose of trial treatment and while 
participating in the trial.  Examples of live vaccines include, but are not limited to, the 
following: measles, mumps, rubella, chickenpox, yellow fever, rabies, Bacillus 
Calmette-Guerin (BCG), and oral typhoid vaccine.  Seasonal influenza vaccines for 
injection are generally killed virus vaccines and are allowed; however intranasal 
influenza vaccines (e.g. FluMist®) are live attenuated vaccines, and are not allowed.

Glucocorticoids for any purpose other than to modulate symptoms from an adverse 
event, serious adverse event, or for use as a pre-medication when required. 
Replacement doses of steroids (for example, prednisone 5-7.5 mg daily) are permitted 
while on study.

Oral contraceptive
Subjects who, in the assessment by the investigator and after consultation with the Sponsor, 
require the use of any of the aforementioned treatments for clinical management should be 
removed from the trial.  Subjects may receive other medications that the investigator deems 
to be medically necessary.
The Exclusion Criteria in Section 5.1.3 describes other medications which are prohibited in 
this trial.
There are no prohibited therapies during the Post-Treatment Follow-up Phase. Subjects must 
be discontinued from the active follow-up phase if they begin a non-trial treatment for their 
underlying disease.
Rescue Medications & Supportive Care
Supportive Care Guidelines
Subjects should receive appropriate supportive care measures as deemed necessary by the 
treating investigator.  Suggested supportive care measures for the management of adverse 
events with potential immunologic etiology are outlined below and in greater detail in the 
ECI guidance document.  Where appropriate, these guidelines include the use of oral or
intravenous treatment with corticosteroids as well as additional anti-inflammatory agents if 
symptoms do not improve with administration of corticosteroids.  Note that several courses 
of steroid tapering may be necessary as symptoms may worsen when the steroid dose is 
decreased.  For each disorder, attempts should be made to rule out other causes such as 
metastatic disease or bacterial or viral infection, which might require additional supportive 
 
 
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care.  The treatment guidelines are intended to be applied when the investigator determines 
the events to be related to pembrolizumab.
Note:  if after the evaluation the event is determined not to be related, the investigator is 
instructed to follow the ECI reporting guidance but does not need to follow the treatment 
guidance (as outlined in the ECI guidance document).  Refer to Section 5.2.1 for dose 
modification.
It may be necessary to perform conditional procedures such as bronchoscopy, endoscopy, or 
skin photography as part of evaluation of the event.  Suggested conditional procedures, as 
appropriate, can be found in the ECI guidance document.

Pneumonitis:
o
For Grade 2 events, treat with systemic corticosteroids. When symptoms 
improve to Grade 1 or less, steroid taper should be started and continued over no 
less than 4 weeks.
o
For Grade 3-4 events, immediately treat with intravenous steroids. Administer 
additional anti-inflammatory measures, as needed.

Add prophylactic antibiotics for opportunistic infections in the case of 
prolonged steroid administration.

Diarrhea/Colitis:
Subjects should be carefully monitored for signs and symptoms of enterocolitis (such 
as diarrhea, abdominal pain, blood or mucus in stool, with or without fever) and of 
bowel perforation (such as peritoneal signs and ileus).
o
All subjects who experience diarrhea/colitis should be advised to drink liberal 
quantities of clear fluids.  If sufficient oral fluid intake is not feasible, fluid and 
electrolytes should be substituted via IV infusion.  For Grade 2 or higher diarrhea, 
consider gastrointestinal (GI) consultation and endoscopy to confirm or rule out 
colitis.
o
For Grade 2 diarrhea/colitis
that persists > 3 days, administer oral 
corticosteroids.
o
For Grade 3 or 4 diarrhea/colitis that persists > 1 week, treat with intravenous 
steroids followed by high dose oral steroids.
o
When symptoms improve to Grade 1 or less, steroid taper should be started and 
continued over no less than 4 weeks.

Type 1 diabetes mellitus (if new onset, including diabetic ketoacidosis [DKA]) or 
≥ Grade 3 Hyperglycemia, if associated with ketosis (ketonuria) or metabolic 
acidosis (DKA)
o
For T1DM or Grade 3-4 Hyperglycemia

Insulin replacement therapy is recommended for Type I diabetes mellitus 
and for Grade 3-4 hyperglycemia associated with metabolic acidosis or 
ketonuria.
 
 
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
Evaluate subjects with serum glucose and a metabolic panel, urine ketones, 
glycosylated hemoglobin, and C-peptide.

Hypophysitis:
o
For Grade 2 events, treat with corticosteroids. When symptoms improve to 
Grade 1 or less, steroid taper should be started and continued over no less than 
4 weeks. Replacement of appropriate hormones may be required as the steroid 
dose is tapered.
o
For Grade 3-4 events, treat with an initial dose of IV corticosteroids followed by 
oral corticosteroids. When symptoms improve to Grade 1 or less, steroid taper 
should be started and continued over no less than 4 weeks.
Replacement of 
appropriate hormones may be required as the steroid dose is tapered.

Hyperthyroidism or Hypothyroidism:
Thyroid disorders can occur at any time during treatment. Monitor subjects for 
changes in thyroid function (at the start of treatment, periodically during treatment, 
and as indicated based on clinical evaluation) and for clinical signs and symptoms of 
thyroid disorders.
o
Grade 2 hyperthyroidism events (and Grade 2-4 hypothyroidism):

In hyperthyroidism, non-selective beta-blockers (eg,
propranolol) are 
suggested as initial therapy.

In hypothyroidism, thyroid hormone replacement therapy, with levothyroxine 
or liothyronine, is indicated per standard of care.
o
Grade 3-4 hyperthyroidism

Treat with an initial dose of IV corticosteroid followed by oral corticosteroids. 
When symptoms improve to Grade 1 or less, steroid taper should be started 
and continued over no less than 4 weeks.  Replacement of appropriate 
hormones may be required as the steroid dose is tapered.

Hepatic:
o
For Grade 2 events, monitor liver function tests more frequently until returned to 
baseline values (consider weekly).

Treat with IV or oral corticosteroids
o
For Grade 3-4 events, treat with intravenous corticosteroids for 24 to 48 hours.
o
When symptoms improve to Grade 1 or less, a steroid taper should be started and 
continued over no less than 4 weeks.

Renal Failure or Nephritis:
o
For Grade 2 events, treat with corticosteroids.
o
For Grade 3-4 events, treat with systemic corticosteroids.
o
When symptoms improve to Grade 1 or less, steroid taper should be started and 
continued over no less than 4 weeks.
 
 
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
Management of Infusion Reactions:  Signs and symptoms usually develop during or 
shortly after drug infusion and generally resolve completely within 24 hours of 
completion of infusion.
Table 8 shows treatment guidelines for subjects who experience an infusion reaction 
associated with administration of pembrolizumab.
Table 8
Infusion Reaction Treatment Guidelines
NCI CTCAE Grade
Treatment
Premedication at 
subsequent dosing
Grade 1
Mild 
reaction; 
infusion 
interruption 
not 
indicated; 
intervention not indicated
Increase monitoring of vital signs as 
medically indicated until the subject is 
deemed medically stable in the opinion 
of the investigator.
None
Grade 2
Requires infusion interruption 
but 
responds 
promptly 
to 
symptomatic treatment (e.g., 
antihistamines, 
NSAIDS, 
narcotics, 
IV 
fluids); 
prophylactic 
medications 
indicated for ≤24 hrs.
Stop 
Infusion 
and 
monitor 
symptoms.
Additional appropriate medical therapy 
may include but is not limited to:
IV fluids
Antihistamines
Nonsteroidal 
anti-inflammatory 
drugs (NSAIDs)
Acetaminophen
Narcotics
Increase monitoring of vital signs as 
medically indicated until the subject is 
deemed medically stable in the opinion 
of the investigator.
If symptoms resolve within one hour of 
stopping drug infusion, the infusion 
may be restarted at 50% of the original 
infusion rate (e.g., from 100 mL/hr to 
50 mL/hr.).  Otherwise dosing will be 
held until symptoms resolve and the 
subject should be premedicated for the 
next scheduled dose.
Subjects who develop Grade 2 
toxicity 
despite 
adequate 
premedication 
should 
be 
permanently 
discontinued 
from 
further 
trial 
treatment 
administration.
Subject 
may 
be
premedicated 
1.5h 
(± 30 min) prior to infusion 
of pembrolizumab with:
Diphenhydramine 50 mg 
orally (PO) (or equivalent 
dose of antihistamine).
Acetaminophen 
500-1000 
mg PO (or equivalent dose 
of antipyretic).
 
 
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NCI CTCAE Grade
Treatment
Premedication at 
subsequent dosing
Grades 3 or 4
Grade 3:
Prolonged (ie,
not rapidly 
responsive 
to 
symptomatic 
medication 
and/or 
brief 
interruption 
of 
infusion); 
recurrence 
of 
symptoms 
following initial improvement; 
hospitalization indicated for 
other clinical sequelae (e.g.,
renal impairment, pulmonary 
infiltrates)
Grade 4:
Life-threatening; pressor or 
ventilatory support indicated
Stop Infusion.
Additional appropriate medical therapy 
may include but is not limited to:
IV fluids
Antihistamines
NSAIDS
Acetaminophen
Narcotics
Oxygen
Pressors
Corticosteroids
Epinephrine
Increase monitoring of vital signs as 
medically indicated until the subject is 
deemed medically stable in the opinion 
of the investigator.
Hospitalization may be indicated.
Subject is permanently discontinued 
from 
further 
trial 
treatment 
administration.
No subsequent dosing
Appropriate resuscitation equipment should be available in the room and a physician readily available 
during the period of drug administration.
Prophylaxis or anti-thrombotic supportive treatment
Subjects receiving pomalidomide have developed venous thromboembolic events (VTEs) 
(venous thromboembolism) reported as serious adverse reactions. In the pomalidomide 
registrational trial, all subjects were required to receive prophylaxis or anti-thrombotic 
treatment; 81% used aspirin, 16% warfarin, 21% heparin, and 3% clopidogrel. The rate of 
deep vein thrombosis or pulmonary embolism was 3%. 
Investigator should select, according to institutional practice, the appropriate anti-coagulation 
prophylaxis treatment after an assessment of each subject’s underlying risk factors. Examples 
of commonly used thrombo-embolic prophylaxis medications include aspirin, low molecular 
weight heparin, and vitamin K antagonists.
Tumor Lysis Syndrome
Tumor lysis syndrome (TLS) may occur in subjects treated with pomalidomide. Subjects at 
risk for TLS are those with high tumor burden prior to treatment. These subjects should be 
monitored closely, and appropriate precautions taken.
Radiotherapy
The use of radiotherapy while on study must be recorded in the trial database. 
Localized palliative radiation therapy to a site of pre-existing disease may be permitted while 
on study for subjects in both treatment arms. 
 
 
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For subjects in the investigational arm (Arm A), definitive radiation may be permitted after 
consultation with the Sponsor, if disease progression is confirmed based on the development 
of new bone lesions or soft tissue plasmacytomas or a definite increase in the size of existing 
bone lesions or soft tissue plasmacytomas when in the opinion of the investigator the subject 
may have a tumor flare reaction but otherwise is deriving clinical benefit from study 
treatment and meet the additional criteria for treatment post progression defined on Section 
7.1.2.8.6.
Following approval by the Sponsor, the subject may reinitiate or continue on treatment with 
pomalidomide and low dose dexamethasone without interruption during the course of 
radiation therapy if the investigator believes that the risk of excessive bone marrow 
suppression or other toxicity is acceptable, and it is in the best interest of the subject to do so.
For subjects in the investigational arm (Arm A), treatment with pembrolizumab must be 
withheld while receiving radiation therapy and may be restarted only after its completion.
However, subjects in the control arm (Arm B) who develop a new lesion or a definite 
increase in the size of existing bone lesions or soft tissue plasmacytomas that meets the 
criteria for confirmed disease progression according to IMWG, treatment must be 
discontinued for progressive disease regardless of whether radiation therapy is initiated.
Diet/Activity/Other Considerations
Diet
Subjects should maintain a normal diet unless modifications are required to manage an AE 
such as diarrhea, nausea, or vomiting. Additionally, pomalidomide should be taken without 
food (at least 2 hours before or 2 hours after a meal).
Pomalidomide Risk Minimization Program
Because of the embryo-fetal risk, pomalidomide is available only through a restricted 
program under a Risk Evaluation and Mitigation Strategy (REMS) called “POMALYST 
REMSTM” in the United States and for study sites outside of the United States through 
country specific risk minimization programs. Compliance with the POMALYST REMSTM
program in the United States or with any country specific risk minimization program is 
mandatory for all subjects enrolled in this study.
Required components of the POMALYST REMSTM program for subjects enrolled in the 
United States include the following:

Prescribers must be certified with the POMALYST REMSTM program by enrolling 
and complying with the REMS requirements.

Subjects must sign a Patient-Prescriber agreement form and comply with the REMS 
requirements. In particular, female subjects of reproductive potential who are not 
pregnant must comply with the pregnancy testing and contraception requirements and 
males must comply with contraception requirements.
 
 
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
Pharmacies must be certified with the POMALYST REMSTM program, must only 
dispense to subjects who are authorized to receive pomalidomide, and comply with 
REMS requirements.
Further information about the POMALYST REMSTM program in the United States is 
available at Celgene Corporation (
).
Pomalidomide Pregnancy Prevention Plan for Subjects in Clinical Trials
The Pregnancy Prevention Plan (PPP) applies to all subjects receiving pomalidomide within 
a clinical trial. The following PPP documents are included:
A. The Pomalidomide Risks of Fetal Exposure, Pregnancy Testing Guidelines and 
Acceptable Birth Control Methods document (Section 5.7.4) provides the following 
information:

Potential risks to the fetus associated with pomalidomide exposure

Definition of female of childbearing potential (FCBP)/female not of childbearing 
potential (FNCBP)

Requirements for counseling of all subjects receiving pomalidomide about 
pregnancy precautions and the potential risks of fetal exposure to pomalidomide

Acceptable birth control methods for both female subjects of childbearing 
potential and male subjects receiving pomalidomide in the study

Pregnancy testing requirements for subjects receiving pomalidomide who are 
FCBP
B. The Pomalidomide Education and Counseling Guidance Document for each gender 
(female and male; Section 12.9 and Section 12.10 respectively) must be completed 
and signed by a trained counselor at the participating clinical center prior to each 
dispensing of pomalidomide. A copy of this document must be maintained in the 
subject’s records for each dispense.
C. The Pomalidomide Information Sheet (Section 12.11) will be given to each subject
receiving pomalidomide. The subject must read this document prior to starting 
pomalidomide and each time the subject receives a new supply of pomalidomide.
Pomalidomide Risks of Fetal Exposure, Pregnancy Testing Guidelines and 
Acceptable Birth Control Methods
5.7.4.1
Risks Associated with Pregnancy
Pomalidomide was teratogenic in both rats and rabbits when administered during the period 
of organogenesis. Pomalidomide is an analogue of thalidomide. Thalidomide is a known 
human teratogen that causes severe life-threatening human birth defects. If pomalidomide is 
taken during pregnancy, it can cause birth defects or death to an unborn baby.
 
 
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The teratogenic effect of pomalidomide in humans cannot be ruled out. Therefore, a 
pregnancy prevention program must be followed.
5.7.4.1.1 Definition of Females of Childbearing Potential
A FCBP is a female who: 1) has achieved menarche at some point, 2) has not undergone a 
hysterectomy or bilateral oophorectomy or 3) has not been naturally postmenopausal 
(amenorrhea following cancer therapy does not rule out childbearing potential) for at least 
24 consecutive months (ie, has had menses at any time in the preceding 24 consecutive 
months).
5.7.4.1.2 Definition of Females Not of Childbearing Potential
Females who do not meet the above definition of FCBP should be classified as FNCBP.
5.7.4.2
Counseling
5.7.4.2.1 Females of Childbearing Potential
For a FCBP, pomalidomide is contraindicated unless all of the following are met (ie, all 
FCBP must be counseled concerning the following risks and requirements prior to the start of 
pomalidomide): 

She understands the potential teratogenic risk to the unborn child

She understands the need for effective contraception, without interruption, 28 
days
before starting pomalidomide, throughout the entire duration of 
pomalidomide, during dose interruptions and for at least 28 days after the last 
dose of pomalidomide

She understands and agrees to inform the investigator if a change or stop of 
method of contraception is needed

She must be capable of complying with effective contraceptive measures

She is informed and understands the potential consequences of pregnancy and the 
need to notify her study doctor immediately if there is a risk of pregnancy

She understands the need to commence pomalidomide as soon as it is dispensed 
following a negative pregnancy test

She understands and accepts the need to undergo pregnancy testing based on the 
frequency outlined in this plan (Section 7.1.5.2) and in the Informed Consent

She acknowledges that she understands the hazards pomalidomide can cause to an 
unborn fetus and the necessary precautions associated with the use of 
pomalidomide.
 
 
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The investigator must ensure that a FCBP:

Complies with the conditions of the pregnancy prevention plan, including 
confirmation that she has an adequate level of understanding

Acknowledges the aforementioned requirements.
5.7.4.2.2 Females Not of Childbearing Potential
For a FNCBP, pomalidomide is contraindicated unless all of the following are met (ie, all 
FNCBP must be counseled concerning the following risks and requirements prior to the start 
of pomalidomide): 

She acknowledges she understands the hazards pomalidomide can cause to an 
unborn fetus and the necessary precautions associated with the use of 
pomalidomide.
5.7.4.2.3 Males
The effect of pomalidomide on sperm development is not known and has not been studied. 
The risk to an unborn baby in females of child bearing potential whose male partner is 
receiving pomalidomide is unknown at this time. Therefore, male subjects taking 
pomalidomide must meet the following conditions (ie, all males must be counseled 
concerning the following risks and requirements prior to the start of pomalidomide):

Understand the potential teratogenic risk if engaged in sexual activity with a 
pregnant female or a FCBP

Understand the need for the use of a condom even if he has had a vasectomy, if 
engaged in sexual activity with a pregnant female or a FCBP

Understand the potential teratogenic risk if the subject donates semen or sperm.
5.7.4.3
Contraception
5.7.4.3.1 Female Subjects of Childbearing Potential
Females of childbearing potential enrolled in this protocol must agree to use two reliable 
forms of contraception simultaneously or to practice complete abstinence (True abstinence is 
acceptable when this is in line with the preferred and usual lifestyle of the subject. Periodic 
abstinence [eg calendar, ovulation, symptothermal or post-ovulation methods] and 
withdrawal are not acceptable methods of contraception.) from heterosexual contact during 
the following time periods related to this study: 1) for at least 28 days before starting 
pomalidomide; 2) while taking pomalidomide; 3) during dose interruptions; and 4) for at 
least 28 days after the last dose of pomalidomide. 
The two methods of reliable contraception must include one highly effective method and one 
additional effective (barrier) method. If the below contraception methods are not appropriate 
for the FCBP, she must be referred to a qualified provider of contraception methods to 
 
 
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determine the medically effective contraception method appropriate to the subject. The 
following are examples of highly effective and additional effective methods of contraception:

Examples of highly effective methods:
o
Intrauterine device (IUD)
o
Hormonal (birth control pills, injections, implants, levonorgestrel-
releasing intrauterine system [IUS], medroxyprogesterone acetate depot 
injections, ovulation inhibitory progesterone-only pills [e.g. desogestrel])
o
Tubal ligation
Partner’s vasectomy
o
Examples of additional effective methods:
o
Male condom
o
Diaphragm
o
Cervical Cap
Because of the increased risk of venous thromboembolism in subjects with multiple myeloma 
taking pomalidomide and dexamethasone, combined oral contraceptive pills are not 
recommended. If a subject is currently using combined oral contraception the subject should 
switch to another one of the highly effective methods listed above. The risk of venous 
thromboembolism continues for 4 to 6 weeks after discontinuing combined oral 
contraception. The efficacy of contraceptive steroids may be reduced during co-treatment 
with dexamethasone.
Implants and levonorgestrel-releasing intrauterine systems are associated with an increased 
risk of infection at the time of insertion and irregular vaginal bleeding. Prophylactic 
antibiotics should be considered particularly in subjects with neutropenia. 
5.7.4.3.2 Male Subjects
Male subjects must practice complete abstinence (True abstinence is acceptable when this is 
in line with the preferred and usual lifestyle of the subject. Periodic abstinence [eg calendar, 
ovulation, symptothermal or post-ovulation methods] and withdrawal are not acceptable 
methods of contraception.) or agree to use a condom during sexual contact with a pregnant 
female or a FCBP while taking pomalidomide, during dose interruptions and for at least 28 
days after the last dose of pomalidomide, even if he has undergone a successful vasectomy. 
5.7.4.4
Pregnancy Testing
Medically supervised pregnancy tests with a minimum sensitivity of 25 mIU/mL must be 
performed for FCBP.
Females of childbearing potential must have two negative pregnancy tests (sensitivity of at 
least 25 mIU/mL) prior to starting pomalidomide. The first pregnancy test must be performed 
within 10 to 14 days prior to the start of pomalidomide and the second pregnancy test must 
be performed within 24 hours prior to the start of pomalidomide. The subject may not receive 
 
 
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pomalidomide until the study doctor has verified that the results of these pregnancy tests are 
negative.
Females of childbearing potential with regular or no menstrual cycles must agree to have 
pregnancy tests weekly for the first 28 days of study participation and then every 28 days 
while taking pomalidomide, at study discontinuation, and at Day 28 following the last dose 
of pomalidomide. 
Females of childbearing potential with irregular menstrual cycles must agree to have 
pregnancy tests weekly for the first 28 days of study participation and then every 14 days 
while taking pomalidomide, at study discontinuation, and at Days 14 and 28 following the 
last dose of pomalidomide
5.7.4.5
Pregnancy Precautions for Pomalidomide Use
5.7.4.5.1 Before Starting Pomalidomide
Female Subjects of Childbearing Potential
Females of childbearing potential must have two negative pregnancy tests (sensitivity of at 
least 25 mIU/mL) prior to starting pomalidomide. The first pregnancy test must be performed 
within 10 to 14 days prior to the start of pomalidomide and the second pregnancy test must 
be performed within 24 hours prior to the start of pomalidomide. The subject may not receive 
pomalidomide until the study doctor has verified that the results of these pregnancy tests are 
negative.
Females of childbearing potential must use two reliable forms of contraception 
simultaneously, or practice complete abstinence (True abstinence is acceptable when this is 
in line with the preferred and usual lifestyle of the subject. Periodic abstinence [eg calendar, 
ovulation, symptothermal or post-ovulation methods] and withdrawal are not acceptable 
methods of contraception.) from heterosexual contact for at least 28 days before starting 
pomalidomide.
Male Subjects
Male subjects must agree to practice complete abstinence (True abstinence is acceptable 
when this is in line with the preferred and usual lifestyle of the subject. Periodic abstinence 
[eg calendar, ovulation, symptothermal or post-ovulation methods] and withdrawal are not 
acceptable methods of contraception.) or agree to use a condom during sexual contact with a 
pregnant female or a FCBP while taking pomalidomide, during dose interruptions and for at 
least 28 days after the last dose of pomalidomide, even if he has undergone a successful 
vasectomy. 
 
 
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5.7.4.5.2 During and After Study Participation
Female Subjects

Females of childbearing potential with regular or no menstrual cycles must agree 
to have pregnancy tests weekly for the first 28 days of study participation and 
then every 28 days while taking pomalidomide, at study discontinuation, and at 
Day 28 following the last dose of pomalidomide. 

Females of childbearing potential with irregular menstrual cycles must agree to 
have pregnancy tests weekly for the first 28 days of study participation and then 
every 14 days while taking pomalidomide, at study discontinuation, and at 
Days 14 and 28 following the last dose of pomalidomide. 

At each visit, the investigator must confirm with the FCBP that she is continuing 
to use two reliable methods of birth control if not committing to complete 
abstinence, or confirm commitment to complete abstinence.

If a FCBP considers the need to change or to stop a method of contraception, the 
investigator must be notified immediately.

Counseling about pregnancy precautions and the potential risks of fetal exposure 
must be conducted at a minimum of every 28 days. 

If pregnancy or a positive pregnancy test does occur in a subject, pomalidomide
must be immediately discontinued.

Pregnancy testing and counseling must be performed if a subject misses her 
period or if her pregnancy test or her menstrual bleeding is abnormal. 
Pomalidomide must be discontinued during this evaluation.

Females must agree to abstain from breastfeeding while taking pomalidomide and 
for at least 28 days after the last dose of pomalidomide.
Male Subjects

Must practice complete abstinence (True abstinence is acceptable when this is in 
line with the preferred and usual lifestyle of the subject. Periodic abstinence [eg 
calendar, ovulation, symptothermal or post-ovulation methods] and withdrawal 
are not acceptable methods of contraception.) or use a condom during sexual 
contact with a pregnant female or a FCBP while receiving pomalidomide, during 
dose interruptions and for at least 28 days after the last dose of pomalidomide, 
even if he has undergone a successful vasectomy.

Must not donate semen or sperm while receiving pomalidomide, during dose 
interruptions or for at least 28 days after the last dose of pomalidomide.

Counseling about pregnancy precautions and the potential risks of fetal exposure 
must be conducted at a minimum of every 28 days.
 
 
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
If pregnancy or a positive pregnancy test does occur in the partner of a male 
subject
while taking pomalidomide, the investigator must be notified 
immediately.
5.7.4.5.3 Additional Precautions

Subjects should be instructed to never give pomalidomide to another person.

Subjects should be instructed to return any unused capsules to the study doctor.

Subjects should not donate blood while receiving pomalidomide, during dose 
interruptions and for at least 28 days after the last dose of pomalidomide.

No more than a 28-day pomalidomide supply may be dispensed with each cycle 
of pomalidomide. 

If a subject inadvertently becomes pregnant while on treatment with 
pembrolizumab, pomalidomide and low dose dexamethasone, the subject will 
immediately be removed from the study and the Sponsor should be notified by the 
site without delay within 24 hours.  

Study investigators from United States sites should report any suspected fetal 
exposure to pomalidomide to Celgene Corporation 
 and to 
FDA via the MedWatch Program 
Subject Withdrawal/Discontinuation Criteria
Subjects may withdraw consent at any time for any reason or be dropped from the trial at the 
discretion of the investigator should any untoward effect occur.  In addition, a subject may be 
withdrawn by the investigator or the Sponsor if enrollment into the trial is inappropriate, the 
trial plan is violated, or for administrative and/or other safety reasons.  Specific details 
regarding discontinuation or withdrawal procedures; including specific details regarding 
withdrawal from Future Biomedical Research, are provided in Section 7.1.4 – Other 
Procedures.
A subject must be discontinued from the trial for any of the following reasons:
●
The subject or legal representative (such as a parent or legal guardian) withdraws 
consent.
A subject must be discontinued from treatment (but may continue to be monitored in the 
trial) for any of the following reasons:

The subject or legal representative (such as a parent or legal guardian) withdraws 
consent for treatment but agrees to continue to participate in the regularly scheduled 
study activities.

Documented disease progression as assessed by the investigator. (2 consecutive 
assessments are needed for disease progression. Clinical deterioration will not be 
considered progression). Note: Subjects with documented disease progression may 
continue to receive trial treatment, at the discretion of the study investigator prior 
consultation with the Sponsor, if they meet the criteria outlined in Section 7.1.2.8.6
 
 
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
Unacceptable adverse experiences as described in Sections 5.2.1.2, and 5.6.1.

Intercurrent illness that prevents further administration of treatment.

The subject has a confirmed positive serum pregnancy test.

Subjects who receive any non-protocol specified anti-myeloma therapy prior to 
documented progression will be discontinued from all study treatment (including 
pomalidomide and low dose dexamethasone); however, tumor assessments must 
continue at 4 week intervals until documented progression.

Noncompliance with trial treatment or procedure requirements.
Subjects experiencing a > 12 weeks delay between pembrolizumab doses in 
the investigational arm (Arm A) or > 28 day delay for both pomalidomide and 
low dose dexamethasone in the control arm (Arm B) due to an adverse 
event(s) related to study treatment must be discontinued from treatment.
Subjects experiencing >28 days delays in all study drugs due medical/surgical 
events or logistical reasons unrelated to study therapy must be discontinued
from treatment. 
NOTE: For both groups, if either pembrolizumab, pomalidomide, or low dose 
dexamethasone is discontinued due to unacceptable toxicity, subjects can continue to 
receive study treatment with the remaining study drugs without discontinuing from 
study.

The subject is lost to follow-up.

Administrative reasons.
The End of Treatment and Follow-up Visit procedures are listed in Section 6 (Flow Chart) 
and Section 7.1.5 (Visit Requirements).  After the end of treatment, each subject will be 
followed for 30 days for AE monitoring (SAEs will be collected for 90 days after the end of 
treatment as described in Section 7.2.3.1).  Subjects who discontinue for reasons other than 
progressive disease will have post-treatment follow-up for disease status until disease 
progression, initiating a non-study cancer treatment, withdrawing consent or becoming lost to 
follow-up. Prior to discontinuing patients from therapy, consult with Sponsor and submit the 
Treatment Termination & Disease Assessment Termination Form.  After documented disease 
progression or the start of new antineoplastic therapy each subject will be followed for 
overall survival until death, withdrawal of consent, or the end of the study, whichever occurs 
first.
Subject Replacement Strategy
A subject who discontinues from the trial will not be replaced.
 
 
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Beginning and End of the Trial
The overall trial begins when the first subject signs the informed consent form.  The overall 
trial ends when the last subject completes the last study-related phone-call or visit,
discontinues from the trial or is lost to follow-up (i.e. the subject is unable to be contacted by 
the investigator), or the Sponsor ends the trial, whichever occurs first.
Clinical Criteria for Early Trial Termination
Early trial termination will be the result of the criteria specified below:
1. Quality or quantity of data recording is inaccurate or incomplete,
2. Poor adherence to protocol and regulatory requirements,
3. Plans to modify or discontinue the development of pembrolizumab.
4. A request made by the U.S. Food and Drug Administration or other similar Health 
Authority due to safety concerns.
In the event of Sponsor decision to no longer supply pembrolizumab, ample notification will 
be provided so that appropriate adjustments to subject treatment can be made.
 
 
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6.0 TRIAL FLOW CHART
Trial Flow Chart
Trial Period:
Screening 
Phase
Treatment Cycles
End of Treatment
Post-treatment
Cycles 1-3 to be repeated beyond 3 cycles
Treatment Cycle/Title:
(28 days cycles)
Screening
(Visit 1)
Cycle 1
Cycle 2
Cycle 3 
Discon15
Post-
Treatment 
Safety 
Follow-up
Efficacy 
Follow-up 
Visits
Survival 
Follow-up
Cycle Day (visit day)
(± 3 days after C1D1 unless otherwise specified)
(-28 to -1
days)
1
(+ 3 
days)
22
1
15
1
8
At time of 
Discon
30 days 
post Discon
Every 4
weeks post 
Discon
(± 7 days)
Every 12 
weeks
(± 7 days)
or as 
directed by 
the Sponsor
Administrative Procedures
Informed Consent
X
Informed 
Consent 
for 
Future 
Biomedical 
Research
X
Inclusion/Exclusion Criteria
X
Subject Identification Card
X
Demographics and Medical History
X
Prior anti-myeloma treatment history
X
International Staging System (ISS)
X
Prior and Concomitant Medication Review2
X
X
X
X
X
X
X
X
X
Register POMALYST REMS™ program or 
country risk mitigation program
X
Pregnancy Prevention Counseling 11
X
X
X
X
Obtain randomization number and study drug 
assignment using IVRS/IWRS 10
X
Pembrolizumab Administration
See Section 6.1.1
Pomalidomide Administration
Dexamethasone Administration
Post-study anticancer therapy status
X
X
X
Survival Status16
X
 
 
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Trial Period:
Screening 
Phase
Treatment Cycles
End of Treatment
Post-treatment
Cycles 1-3 to be repeated beyond 3 cycles
Treatment Cycle/Title:
(28 days cycles)
Screening
(Visit 1)
Cycle 1
Cycle 2
Cycle 3 
Discon15
Post-
Treatment 
Safety 
Follow-up
Efficacy 
Follow-up 
Visits
Survival 
Follow-up
Cycle Day (visit day)
(± 3 days after C1D1 unless otherwise specified)
(-28 to -1
days)
1
(+ 3 
days)
22
1
15
1
8
At time of 
Discon
30 days 
post Discon
Every 4
weeks post 
Discon
(± 7 days)
Every 12 
weeks
(± 7 days)
or as 
directed by 
the Sponsor
Clinical Procedures/Assessments
Review Adverse Events 2
X
X
X
X
X
X
X
X
X
X
Full Physical Examination
X
X
X
X
X
Directed Physical Examination (Arm A)
X
X
X
Vital Signs and Weight 2, 12
X
X
X
X
X
X
X
X
12-Lead Electrocardiogram
X
ECOG Performance Status
X
X
X
X
X
Skeletal survey 
X
MRI or CT or PET/CT for extramedullary soft 
tissue plasmacytoma
X
Disease Response Assessment by IMWG 2011
criteria13
X13
X
X
X
X
X
Laboratory Procedures/Assessments:  analysis performed by local laboratory
Pregnancy Test – Urine or Serum -HCG 1
X
X
X
X
X
X
Archival or new Bone Marrow Biopsy or 
Aspirate 5
X
Laboratory Procedures/Assessments: analysis performed by central laboratory
PT/INR and aPTT 
X 3
CBC with Differential 2,13
X 3
X13
X
X
X
X
X
X
X
Comprehensive blood Chemistry Panel 2,13
X 3
X13
X
X
X
X
X
X
X
LDH 
X 3
X
X
X
Urinalysis
X 3
X
X
T3, (or FT3 per local standard), FT4 and TSH
X 3
X
X
Serum protein  electrophoresis with M-protein 
quantitation
X
X
X
X
X
X
X 4
Serum immunofixation
X
X
X
X
X
X
X 4
Quantitative Serum Immunoglobulin
X
X
X
X
X
X
X 4
Serum free light chain assay 
X
X
X
X
X
X
X 4
 
 
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Trial Period:
Screening 
Phase
Treatment Cycles
End of Treatment
Post-treatment
Cycles 1-3 to be repeated beyond 3 cycles
Treatment Cycle/Title:
(28 days cycles)
Screening
(Visit 1)
Cycle 1
Cycle 2
Cycle 3 
Discon15
Post-
Treatment 
Safety 
Follow-up
Efficacy 
Follow-up 
Visits
Survival 
Follow-up
Cycle Day (visit day)
(± 3 days after C1D1 unless otherwise specified)
(-28 to -1
days)
1
(+ 3 
days)
22
1
15
1
8
At time of 
Discon
30 days 
post Discon
Every 4
weeks post 
Discon
(± 7 days)
Every 12 
weeks
(± 7 days)
or as 
directed by 
the Sponsor
24hr urine protein electrophoresis with M-
protein quantitation
X
X
X
X
X
X
X 4
24hr urine immunofixation
X
X
X
X
X
X
X 4
2 microglobulin 
X
Archival or new Bone Marrow Biopsy or 
Aspirate
for 
Minimal 
Residual 
Disease 
Characterization14
X
Bone Marrow Aspirate 5
X
X
X
Whole 
Blood 
for 
Correlative 
Studies 
(RNA/DNA) 9
X
X
X
Blood for biomarker studies (Plasma and serum)
X
Anti-pembrolizumab
Antibodies 
for 
the 
investigational arm (Arm A) only 6
X
X
X
X
Pharmacokinetics for the investigational arm
(Arm A) only 6
X
X
X
X
Blood for Genetic Analysis 7
X
Patient Reported Outcomes
EuroQol EQ-5D 8
X
X
X
X
X
EORTC QLQ-C30 8
X
X
X
X
X
EORTC QLQ-MY20 8
X
X
X
X
X
1.
For females of child bearing potential two negative pregnancy tests (sensitivity of at least 25mIU/ml) must be obtained within 10-14 days AND within 24 hours prior to C1D1, weekly during 
Cycle 1and then monthly in women with regular menstrual cycles, or every 2 weeks in women with irregular menstrual cycles Refer to Section 7.1.5.2 Pregnancy Testing for additional 
details.
2.
Control arm (Arm B) only, measure CBC with differential, comprehensive blood chemistry panel, vital signs, review adverse events, prior and concomitant medications and perform physical 
exam on Day 1 of each cycle. Subjects in Arm B only need one visit per month on Day 1 of each cycle. For subjects who discontinue pembrolizumab in Arm A, but continue on the study, 
subsequent visits are also only needed once per month.
3.
Safety laboratory tests for screening are to be performed within 10 days prior to the first dose of trial treatment.  Safety labs do not need to be repeated on C1D1. See Section 7.1.3 for details 
regarding laboratory tests.
4.
Myeloma laboratory testing should be performed in the follow-up period for all subjects who discontinue study treatment for reasons other than disease progression.
 
 
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Trial Period:
Screening 
Phase
Treatment Cycles
End of Treatment
Post-treatment
Cycles 1-3 to be repeated beyond 3 cycles
Treatment Cycle/Title:
(28 days cycles)
Screening
(Visit 1)
Cycle 1
Cycle 2
Cycle 3 
Discon15
Post-
Treatment 
Safety 
Follow-up
Efficacy 
Follow-up 
Visits
Survival 
Follow-up
Cycle Day (visit day)
(± 3 days after C1D1 unless otherwise specified)
(-28 to -1
days)
1
(+ 3 
days)
22
1
15
1
8
At time of 
Discon
30 days 
post Discon
Every 4
weeks post 
Discon
(± 7 days)
Every 12 
weeks
(± 7 days)
or as 
directed by 
the Sponsor
5.
Bone marrow analysis for all subjects at baseline will include bone marrow morphology, IHC, and Cytogenetics by FISH panel for disease status assessment at local institution. If FISH is not 
available, then do standard karyotyping. An archival or newly obtained sample may be used at Screening. For subjects (selected sites ONLY) who agree to participate in the optional biomarker 
sub-study, freshly obtained bone marrow aspirate samples will be collected at C1D1, C2D1 and at time of discontinuation. 
a
Note: If the subject signs the Future Biomedical Research (FBR) consent, any leftover tissues that would ordinarily be discarded at the end of the trial will be retained for FBR.  A copy of 
the local pathology report, with subject information removed, should also be sent to the lab to accompany the biopsy specimen.
6.
Pre-dose trough PK and anti-pembrolizumab antibody samples will be collected (Arm A only) at C1D1, C1D22, C2D15, C5D15 and every 4 pembrolizumab infusions thereafter, and 30 days 
after discontinuation of study drug (or until the subject starts new anti-cancer therapy).  Pharmacokinetic/anti-drug antibody (PK/ADA) samples may be used to conduct additional safety 
analysis, if needed.
7.
This sample should be drawn for planned analysis of the association between genetic variants in DNA and drug response. If there is either a documented law or regulation prohibiting 
collection, or if the IRB/IEC does not approve the collection of the sample for these purposes, then this sample will not be collected at that site. If the sample is collected, leftover extracted 
DNA will be stored for future biomedical research if the subject signs the FBR consent. If the planned genetic analysis is not approved, but FBR is approved and consent is given, this sample 
will be collected for the purpose of FBR
8.
Patient reported outcomes (PROs) are assessed on day 1 of every 28-day cycle through Cycle 4 and then every 3 cycles (ie, Cycle 7, 10, 13, etc.) while the subject is receiving study treatment, 
at treatment discontinuation, and at 30 days post treatment discontinuation (post-treatment safety follow-up)
9.
Whole blood for correlative studies should only be collected at C1D1, C2D1 and at discontinuation.
10.
Cycle 1 treatment must be given within 3 days of randomization number assignment in IVRS/IWRS after ensuring subjects meet disease criteria through previous consultation with the 
Sponsor
11.
The Pomalidomide Education and Counseling Guidance Document must be completed for all subjects and signed by a trained counselor prior to each dispensing of pomalidomide in 
accordance with the POMALYST REMS™/country specific risk mitigation program. A copy of this document must be maintained in the subject’s records for each dispense for all 
countries/sites where pomalidomide is provided centrally by the Sponsor.
12.
Investigational arm (Arm A) should have vital signs measurements on Day 1 of each cycle and on the day of pembrolizumab infusion before and immediately after each administration of the 
study drug. Weight measurement not required post infusion.
13.
Disease Response Assessment by IMWG 2011 criteria, CBC with Differential, and Comprehensive blood Chemistry Panel do not need to be performed on Day 1, Cycle 1.  
14.
All subjects enrolled in this study must be able to provide an archived or newly obtained bone marrow biopsy or aspirate sample for minimal residual disease (MRD) characterization by 
central analysis at screening, at the time of achieving a CR and at 6 months and 1 year after achieving a CR.
15.
On 03-JULY-2017, the US FDA placed KN183, KN185 and cohort 1 of KN023 on clinical hold based on safety data from KN183 and KN185 presented to the DMC. The FDA determined 
that the risks of pembrolizumab plus pomalidomide or lenalidomide outweighed any potential benefit for patients with multiple myeloma. Based on this decision, the treatment phase of 
KN183 and KN185 is closed effective immediately. All subjects must stop study treatment, complete the Discontinuation Visit and move into the long-term safety and survival follow-up per 
protocol.
16.
After confirmed disease progression or start of new anti-myeloma therapy, the subject should be contacted approximately every 12 weeks to assess for survival status. Updated survival status 
may be requested by the Sponsor at any time during the course of the study. Upon Sponsor notification, all subjects who do not/will not have a scheduled study visit or study contact during 
the Sponsor-defined time period will be contacted for their survival status (excluding subjects who have previously recorded a death event in the collection tool).
 
 
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Trial Treatment Administration Schedule
Each Cycle = 28 Days (Cycles 1-3 To be repeated beyond 3 cycles)
Cycle 1
Cycle 2 
Cycle 3
Group A Investigational Arm (Arm A)e
Trial Treatment/ Cycle Day
(± 3 days window after C1D1)
Days
1-7
(wk 1)
Days    
8-14
(wk 2)
Days  
15-21
(wk 3)
Days    
22-28
(wk 4)
Days
1-7
(wk 1)
Days    
8-14
(wk 2)
Days  
15-21
(wk 3)
Days    
22-28
(wk 4)
Days
1-7
(wk 1)
Days    
8-14
(wk 2)
Days  
15-21
(wk 3)
Days    
22-28
(wk 4)
Pembrolizumab (Q3W) a
1
22
15
8
Pomalidomide b
1 to 21
1 to 21
1 to 21
Dexamethasone c
1
8
15
22
1
8
15
22
1
8
15
22
Pill count for Pomalidomide and 
Dexamethasone d
1
1
1
Group B Control  Arm (Arm B)e
Pomalidomide b
1 to 21
1 to 21
1 to 21
Dexamethasone c
1
8
15
22
1
8
15
22
1
8
15
22
a) Pembrolizumab will be administered as 200 mg every 21 days (3 weeks) as an IV infusion over 30 minutes. 
b) Pomalidomide will be administered as 4 mg PO, once daily on Days 1 to 21 of repeated 28-day cycles.  Pomalidomide must be prescribed through and in compliance with the POMALYST REMSTM
program or refer to local prescription drug label.
c) Low dose dexamethasone will be administered as 40 mg PO, once daily on Days 1, 8, 15 and 22 of repeated 28-day cycles.  A low dose dexamethasone dose of 20 mg on Days 1, 8, 15 and 22 in 
subjects aged > 75 years is recommended.  Refer to the local prescription drug label.
d) Site should document drug accountability as per their institutional guidelines.
e) On 03-JULY-2017, the US FDA placed KN183, KN185 and cohort 1 of KN023 on clinical hold based on safety data from KN183 and KN185 presented to the DMC. The FDA determined that the 
risks of pembrolizumab plus pomalidomide or lenalidomide outweighed any potential benefit for patients with multiple myeloma. Based on this decision, the treatment phase of KN183 and KN185 is 
closed effective immediately. All subjects must stop study treatment, complete the Discontinuation Visit and move into the long-term safety and survival follow-up per protocol.
 
 
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7.0 TRIAL PROCEDURES
Trial Procedures
The Trial Flow Chart - Section 6.0 summarizes the trial procedures to be performed at each 
visit.  Individual trial procedures are described in detail below.  It may be necessary to 
perform these procedures at unscheduled time points if deemed clinically necessary by the 
investigator.
Furthermore, additional evaluations/testing may be deemed necessary by the investigator and 
or the Sponsor for reasons related to subject safety. In some cases, such evaluation/testing 
may be potentially sensitive in nature (e.g., HIV, Hepatitis C, etc.), and thus local regulations 
may require that additional informed consent be obtained from the subject.  In these cases, 
such evaluations/testing will be performed in accordance with those regulations.
Administrative Procedures
7.1.1.1
Informed Consent
The investigator or qualified designee must obtain documented consent from each potential 
subject or each subject’s legally acceptable representative prior to participating in a clinical 
trial or Future Biomedical Research.
7.1.1.1.1 General Informed Consent
Consent must be documented by the subject’s dated signature or by the subject’s legally 
acceptable representative’s dated signature on a consent form along with the dated signature 
of the person conducting the consent discussion. 
A copy of the signed and dated consent form should be given to the subject before 
participation in the trial.
The initial informed consent form, any subsequent revised written informed consent form 
and any written information provided to the subject must receive the IRB/ERC’s 
approval/favorable opinion in advance of use.  The subject or his/her legally acceptable 
representative should be informed in a timely manner if new information becomes available 
that may be relevant to the subject’s willingness to continue participation in the trial.  The 
communication of this information will be provided and documented via a revised consent 
form or addendum to the original consent form that captures the subject’s dated signature or 
by the subject’s legally acceptable representative’s dated signature.
Specifics about a trial and the trial population will be added to the consent form template at 
the protocol level.  
The informed consent will adhere to IRB/ERC requirements, applicable laws and regulations 
and Sponsor requirements.
 
 
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7.1.1.1.2 Consent and Collection of Specimens for Future Biomedical Research
The investigator or qualified designee will explain the Future Biomedical Research consent 
to the subject, answer all of his/her questions, and obtain written informed consent before 
performing any procedure related to Future Biomedical Research.  A copy of the informed 
consent will be given to the subject.
7.1.1.2
Inclusion/Exclusion Criteria
All inclusion and exclusion criteria will be reviewed by the investigator or qualified designee 
to ensure that the subject qualifies for the trial.
7.1.1.3
Subject Identification Card
All subjects will be given a Subject Identification Card identifying them as participants in a 
research trial.  The card will contain trial site contact information (including direct telephone 
numbers) to be utilized in the event of an emergency.  The investigator or qualified designee 
will provide the subject with a Subject Identification Card immediately after the subject 
provides written informed consent.
The subject identification card also contains contact information for the emergency 
unblinding call center so that a health care provider can obtain information about trial 
medication/vaccination in emergency situations where the investigator is not available.
7.1.1.4
Medical History
A medical history will be obtained by the investigator or qualified designee. Medical history 
will include all active conditions, and any condition diagnosed within the prior 10 years that 
are considered to be clinically significant by the investigator. Details regarding the subject’s 
cancer will be recorded separately and not listed as medical history.
Prior history of acute and chronic GVHD, maximum grade, and dates will be collected.
7.1.1.5
Prior and Concomitant Medications Review
7.1.1.5.1 Prior Medications
The investigator or qualified designee will review prior medication use, including any 
protocol-specified washout requirement, and record prior medication taken by the subject 
within 28 days before the first dose of trial treatment. Treatment for the disease for which the 
subject has enrolled in the study will be recorded separately and not listed as a prior 
medication.
7.1.1.5.2 POMALYST REMS™ program
Because of the embryo-fetal risk, pomalidomide is available only through a restricted 
program under a Risk Evaluation and Mitigation Strategy (REMS) called “POMALYST 
REMS.” in the United States and for study sites outside of the United States through country 
specific risk minimization programs. Refer to Section 5.7.2 for further details.
 
 
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7.1.1.5.3 Concomitant Medications
The investigator or qualified designee will record medication, if any, taken by the subject 
during the trial through the Safety Follow-up Visit.  Record all medications taken for SAEs 
as defined in Section 7.2.
7.1.1.5.4 Prior Cancer Treatment Details
The investigator or qualified designee will review all prior cancer treatments including but 
not limited to systemic treatments, prior transplantation, radiation, and surgeries and record 
in the trial database.
7.1.1.5.5 Subsequent Anti-myeloma Therapy Status
The investigator or qualified designee will review all new anti-myeloma therapy initiated 
after the last dose of trial treatment.  Collect any SCT details, including the conditioning 
regimen, date, and type of transplant.  If a subject initiates a new anti-myeloma therapy
within 30 days after the last dose of trial treatment, the 30 day Safety Follow-up Visit must 
occur before the first dose of the new therapy.  Once new anti-myeloma therapy has been 
initiated the subject will move into survival follow-up.
7.1.1.6
Assignment of Screening Number
All consented subjects will be given a unique screening number that will be used to identify 
the subject for all procedures that occur prior to randomization or treatment allocation.  Each 
subject will be assigned only one screening number. Screening numbers must not be re-used 
for different subjects.
Any subject who is screened multiple times will retain the original screening number 
assigned at the initial screening visit.
Specific details on the Screening Visit requirements (screening/rescreening) are provided in 
Section 7.1.5.1.  
7.1.1.7
Assignment of Treatment/Randomization Number
All eligible subjects will be randomly allocated and will receive a treatment/randomization 
number.  The treatment/randomization number identifies the subject for all procedures 
occurring after treatment allocation/randomization.  Once a treatment/randomization number 
is assigned to a subject, it can never be re-assigned to another subject.
A single subject cannot be assigned more than 1 treatment/randomization number.
7.1.1.8
Trial Compliance (Medication/Diet/Activity/Other)
Interruptions from the protocol specified treatment are permitted in the case of medical/ 
surgical events or logistical reasons (eg, elective surgery, unrelated medical events, 
radiotherapy, patient vacation, and holidays) not related to study therapy. Subjects should be 
placed back on study therapy within 28 days of the scheduled interruption. Delays for 12
weeks between pembrolizumab doses due to toxicity or delays for 28 days between 
pomalidomide or low dose dexamethasone doses due to toxicity are also permitted previous 
consultation with the Sponsor. For both groups, if the dose of one drug in the regimen 
 
 
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(ie, pembrolizumab, pomalidomide, or low dose dexamethasone) is delayed the treatment 
with the other drugs may continue as scheduled. Missed doses should be skipped, not 
delayed, if not given within the allowed window (+/- 3 days). If either pembrolizumab,
pomalidomide, or low dose dexamethasone is discontinued due to unacceptable toxicity,
subjects can continue to receive study treatment with the remaining study drugs without 
discontinuing from study. Study treatment interruptions require consultation between the 
investigator and the Sponsor and written documentation of the collaborative decision on 
subject management.
Administration of pembrolizumab will be witnessed by the investigator and/or trial staff.
The total volume of pembrolizumab infused will be compared to the total volume prepared to 
determine compliance with each dose administered.
For those medications taken at home (pomalidomide and low dose dexamethasone), subjects 
will be provided with a medication diary in which to record study drug doses and will be 
instructed to bring this diary and study drug containers (pomalidomide and dexamethasone) 
to clinic visits.
The instructions for preparing and administering pembrolizumab will be provided in the 
Pharmacy Manual. For instructions about administration of pomalidomide or low dose
dexamethasone refer to local prescribing information.
Prior to discontinuing patients from therapy, consult with Sponsor and submit the Treatment 
Termination & Disease Assessment Termination Form.  
Clinical Procedures/Assessments
7.1.2.1
Oncologic Disease Details
The investigator or qualified designee will obtain prior and current details regarding 
oncologic disease status.
7.1.2.2
International Staging System (ISS) 
Use the International Staging System (ISS) at Screening for subject classification [54] (Refer 
to Section 12.8)
7.1.2.3
Adverse Event Monitoring
The investigator or qualified designee will assess each subject to evaluate for potential new 
or worsening AEs as specified in the Trial Flow Chart and more frequently if clinically 
indicated.  Adverse experiences will be graded and recorded throughout the study and during 
the follow-up period according to NCI CTCAE Version 4.0 (see Section 12.6).  Toxicities 
will be characterized in terms regarding seriousness, causality, toxicity grading, and action 
taken with regard to trial treatment.
All AEs of unknown etiology associated with pembrolizumab exposure should be evaluated 
to determine if it is possibly an ECI of a potentially immunologic etiology (irAE).  See 
Section 5.6.1.1 and the separate guidance document in the administrative binder regarding 
the identification, evaluation, and management of AEs of a potential immunological etiology.
 
 
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Refer to Section 7.2 for detailed information regarding the assessment and recording of AEs.
7.1.2.4
Electrocardiogram
A standard 12-lead ECG will be performed using local standard procedures at screening.  
Clinically significant abnormal findings should be recorded as medical history.
7.1.2.5
Full Physical Exam
The investigator or qualified designee will perform a complete physical exam during the 
screening period.  At this visit, clinically significant abnormal findings should be recorded as 
medical history.  A full physical exam should be performed during screening (height only 
taken at screening) and repeated as per the frequency defined in the Study Flow Chart.  After 
the first dose of trial treatment new clinically significant abnormal findings should be 
recorded as AEs.  Full physical exams should be done in accordance with local requirements.
7.1.2.5.1 Directed Physical Exam
For visits that do not require a full physical exam per the Trial Flow Chart, the investigator or 
qualified designee will perform a directed physical exam as clinically indicated prior to trial 
treatment administration.  Subjects should have full physical exam on Day 1 of each cycle.  
New clinically significant abnormal findings should be recorded as AEs.  Directed physical 
exams should be done in accordance with local requirements.
7.1.2.6
Vital Signs
The investigator or qualified designee will take vital signs at screening, prior to the 
administration of each dose of trial treatment and at treatment discontinuation as specified in 
the Trial Flow Chart (Section 6.0). Subjects in the control arm (Arm B) should have vital 
signs measurements only on Day 1 of each cycle; subjects in the investigational arm (Arm A)
should have vital signs measurements on Day 1 of each cycle and on the day of 
pembrolizumab infusion before and immediately after each administration of the study drug.
Vital signs should include temperature, pulse, respiratory rate, weight and blood pressure.  
Height will be measured at screening only. Weight measurement is not required post 
infusion.
7.1.2.7
Eastern Cooperative Oncology Group (ECOG) Performance Status
The investigator or qualified designee will assess ECOG status (see Section 12.5) at 
screening, on Day 1 of each 28-days cycle and discontinuation of trial treatment as specified 
in the Trial Flow Chart (see Section 6.0).
 
 
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7.1.2.8
Assessment of Disease and Tumor Response
7.1.2.8.1 Criteria for Assessment of Measurable Disease for Subject’s Eligibility.
Investigators will use central myeloma laboratory results to determine subject eligibility. 
Subjects will be considered to have measurable disease if:

Serum monoclonal protein (M-protein) levels ≥ 0.5 g/dL OR

Urine monoclonal protein (M-protein) levels ≥200 mg/24-hours OR

for subjects without measurable serum and urine M-protein levels, an abnormal 
serum free light chain ratio (FLC κ/λ) with involved FLC level ≥100 mg/L. (Normal 
serum FLC κ/λ value: 0.26 - 1.65).
Note: If a short course of 40 mg dexamethasone (≤4 days) or equivalent for emergency use is 
used after previous consultation with the Sponsor baseline m-protein values from serum and 
urine should be obtained before the short steroid course and be repeated prior to study drugs 
administration on Cycle1 Day 1.
7.1.2.8.2 Criteria for Assessment of Disease Response
Clinical Adjudication Committee (CAC) and investigators assessment of antitumor activity 
for both treatment arms will be based on the International Myeloma Working Group response 
criteria (IMWG 2011 criteria [1], See Appendix 12.7). The IMWG 2011 criteria will be 
applied by the site as the primary measure for assessment of disease response and as a basis 
for all protocol guidelines related to disease status (eg, discontinuation of trial treatment).
The IMWG criteria will also be applied by the CAC as the primary measure for assessment 
of tumor response and date of disease progression. 
A subject will be assessed on disease progression according to IMWG criteria if any of the 
following occurs:

Increase of ≥ 25% from lowest response value (nadir) in any of the following:
Serum M-component and/or (the absolute increase must be ≥ 0.5 g/dL). 
Increases of ≥1 g/dL as sufficient to define disease progression if starting m-
component is ≥ 5 g/dL.
Urine M-component and/or (the absolute increase must be ≥200 mg/24 h)
Only in subjects without measurable serum and urine M-protein levels; the 
difference between involved and uninvolved FLC levels. The absolute 
increase must be > 10 mg/dL
Only in subjects without measurable serum and urine M protein levels and 
without measurable disease by FLC levels; bone marrow plasma cell 
percentage; the absolute percentage must be ≥ 10%

Definite development of new bone lesions or soft tissue plasmacytomas or definite 
increase in the size of existing bone lesions or soft tissue plasmacytomas.

Development of hypercalcemia (corrected serum calcium > 11.5 mg/dL) that can be 
attributed solely to the plasma cell proliferative disorder.
 
 
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All categories above require two consecutive assessments made at any time before
classification as disease progression and/or the institution of any new anti-myeloma therapy.
Bone marrow assessments need not to be confirmed. 
The central laboratory vendor will receive serum and urine samples from the sites, including 
baseline, for myeloma laboratory testing on day 1 of every 28 day cycle. For urine myeloma 
laboratory testing, 24-hour urine collection is mandatory for all subjects enrolled in the study 
in order to assess response based on IMWG criteria. Disease response assessment should be 
performed every 4 weeks regardless of study treatment delays.
For assessment of disease response, both the investigator and the CAC will analyze results 
from a full myeloma laboratory panel (serum and urine electrophoresis, serum and urine 
immunofixation, immunoglobulin quantification, and free light change assay) along with 
calcium, creatinine and hemoglobin laboratory results, radiographic image (x-ray survey or 
CT/PET as clinically indicated) for subjects with bone disease and a bone marrow biopsy or 
aspirate (for confirmation of complete response or disease progression via increase in plasma 
cell percentage).
Myeloma Laboratory Testing Disease Measurements
Myeloma Laboratory Panel
For all subjects, the central laboratory vendor will receive serum and urine samples from the 
sites, including baseline, for myeloma laboratory testing on day 1 of every 28 days cycle
regardless of study treatment delays. For urine myeloma laboratory testing 24-hour urine 
collection is mandatory for all subjects enrolled in the study in order to assess response based 
on IMWG criteria. A full myeloma laboratory panel will be performed consisting of serum 
and urine electrophoresis, serum and urine immunofixation, immunoglobulin quantification,
and free light change assay. Results will be communicated in an expedited manner to the 
sites.
Note: If a short course of 40 mg dexamethasone (≤4 days) or equivalent for emergency use is 
used after previous consultation with the Sponsor baseline m-protein values from serum and 
urine should be obtained before the short steroid course and be repeated prior to study drugs 
administration on Cycle1 Day 1.
More information can be found in the Laboratory Manual.
Imaging for subjects with Myeloma Bone Disease
Skeletal survey by conventional radiography must be performed at baseline (within 28 days 
of C1D1) to determine the extent of the subject’s myeloma bone disease. The use of 
conventional or low dose CT scan or MRI bone survey is acceptable. A skeletal survey 
performed as standard of care prior to signing consent can be used for screening if performed 
within 28 days of C1D1.
During the course of the trial skeletal surveys should be performed as clinically indicated. If 
suspected disease progression, the same modality of imaging used at screening should be 
performed for assessment of progression. The development of a compression fracture does 
 
 
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not necessarily exclude antitumor response if not related to disease progression. Bone lesions 
should be considered as non-measurable disease and recorded as such.
For subjects with extramedullary soft tissue plasmacytomas a MRI, CT or PET/CT should be 
performed at baseline within 28 days of C1D1. A MRI, CT or PET/CT performed as standard 
of care prior to signing consent can be used for screening if performed within 28 days of 
C1D1. During the course of the study subsequent imaging should be performed as clinically 
indicated (whether or not an extramedullary soft tissue plasmacytoma was present at 
baseline) and at the time of a complete remission (CR) or stringent complete remission (sCR)
assessment. The same modality of imaging used at screening should be performed for 
subsequent assessments.
Copies of all imaging studies used for tumor response assessment, including baseline should 
be available for review by the Sponsor.
At any time a subject develops bone pain or there is a suspicion of new bone disease or 
extramedullary soft tissue plasmacytoma indicative of disease progression, appropriate 
imaging according to clinical practice should be performed to confirm disease progression.
7.1.2.8.3 Timing of Disease Assessments
Antitumor activity for both treatment arms will be based on the International Myeloma 
Working Group response criteria (IMWG criteria [1]) and will be performed every 28-day 
treatment cycle regardless of study treatment delays. Refer to Table 9.
Table 9
Disease Response Assessments
Indication
Assessment Frequency
rrMM
Every 28-days (~ 4 weeks) following first 
assessment baseline.
7.1.2.8.4 Initial Disease Assessment
Initial disease assessments must be performed within 28 days prior to the first dose of trial 
treatment (See 6.0 – Trial Flow Charts).   
Bone marrow aspirates or biopsies performed as part of standard of care prior to signing 
informed consent may be used for screening if performed within 60 days of Day 1.  Refer to 
Procedures Manual for additional details.
Myeloma laboratory testing at baseline for disease assessment should be performed within 28 
days prior to the first dose of trial treatment. Sites should prioritize sending serum and urine 
samples to the central laboratory vendor from subjects in screening. Central laboratory 
vendor will communicate results to site in an expedite manner.
NOTE: If a short course of 40 mg dexamethasone (≤4 days) or equivalent for emergency use 
is used after previous consultation with the Sponsor baseline m-protein values from serum 
and urine should be obtained before the short steroid course and be repeated prior to study 
drugs administration on Cycle1 Day 1.
 
 
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NOTE: For urine myeloma laboratory testing 24-hour urine collection is mandatory for all 
subjects enrolled in the study in order to assess response based on IMWG criteria.
7.1.2.8.5 Disease Assessment During Trial
For all subjects, the central laboratory vendor will receive serum and urine samples from the 
sites on day 1 of every 28 days cycle for myeloma laboratory central testing during the trial 
independently of study treatment delays. For urine myeloma laboratory testing 24-hour urine 
collection is mandatory for all subjects enrolled in the study.
Myeloma disease assessments should be performed by the investigator every 28 days and 
will be based on the IMWG criteria. There is a ±3 day window for assessments performed 
after Day 1. Disease assessments should not be delayed for delays in cycle starts.
Disease assessments should continue to be performed until documented disease progression, 
the start of new anti-cancer treatment, withdrawal of consent, death, or the end of the study, 
whichever occurs first.  Two consecutive results from myeloma laboratory tests are needed to 
confirm biochemical-based disease progression. Subjects who have disease progression may 
continue on treatment if they meet the criteria for treatment beyond disease progression 
defined in Section 7.1.2.8.6.
Prior to discontinuing patients from therapy, consult with Sponsor and submit the Treatment 
Termination & Disease Assessment Termination Form.  
7.1.2.8.6 Treatment Beyond Disease Progression
In the setting where a subject in the investigational arm (Arm A) receiving pembrolizumab in 
combination with pomalidomide and low dose dexamethasone is assessed by the investigator
as confirmed PD according to IMWG criteria [1] based on:

the development of new bone lesions or soft tissue plasmacytomas OR

a definite increase in the size of existing bone lesions or soft tissue plasmacytomas
Study treatment consisting on pembrolizumab, pomalidomide and low dose dexamethasone
may be continued upon Sponsor consultation if the investigator considers the subject is 
deriving clinical benefit and providing subsequent radiographic imaging and laboratory 
testing shows evidence of reduction in tumor burden from the prior time point where initial 
PD was observed.  If repeat imaging and laboratory testing shows a reduction in the tumor 
burden compared to the initial result demonstrating PD, treatment may be 
continued/resumed.  If repeat imaging and laboratory testing confirms progressive disease, 
subjects will be discontinued from study therapy.  However, laboratory and/or imaging 
testing should occur at any time where there is clinical suspicion of progression.
Subjects may continue to receive study treatment after an initial PD assessment if the 
following criteria are met:

Absence of signs and symptoms (including worsening of laboratory values other than 
myeloma laboratory results) indicating disease progression

No decline in ECOG performance status
 
 
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
Absence of rapid progression of disease

Absence of progressive disease at a critical anatomical site.
7.1.2.8.7 Biopsy Collection and Correlative Studies Blood Collection
All subjects enrolled into this study must be able to provide an archived or newly obtained 
bone marrow biopsy OR aspirate sample for disease characterization by the local laboratory 
at screening. Bone marrow analysis will include bone marrow morphology, IHC, 
cytogenetics by standard FISH panel. If FISH is not available, then do standard karyotyping.  
During the course of the study, bone marrow biopsies or aspirate for disease characterization
should be performed as clinically indicated.
All subjects enrolled in this study must be able to provide an archived or newly obtained 
bone marrow biopsy or aspirate sample for minimal residual disease (MRD) characterization 
by central analysis at screening, at the time of achieving a CR and at 6 months and 1 year 
after achieving a CR.
Additionally, a subset of subjects (up to 50 subjects per arm) from selected sites only could 
choose to participate in a Bone marrow sub-study and may choose to provide a newly 
obtained bone marrow aspirate sample at baseline (screening or C1D1), C2D1 and at the time 
of discontinuation to undergo testing for the purposes of biomarker characterization.
Refer to Procedures Manual for additional details.
Bone marrow aspirates will be collected as per Table 10:
Table 10
Bone Marrow Biopsy or Aspirates Assessments
Indication
Timing of Biopsy
Bone marrow biopsy OR aspirates
(ALL subjects)
Screening, confirmation of CR, 6 months and 1 year after achieving a CR; 
or as clinically indicated.
Bone marrow aspirates for Bone 
Marrow Sub-Study (selected sites 
only, central laboratory)
Newly obtained aspirate at baseline (Screening or C1D1), C2D1, and at 
the time of discontinuation
Whole blood for correlative biomarker studies should be collected per Table 11:
Table 11
Blood Collection for Correlative Biomarker Studies
Indication
Timing of Correlative Blood Collection
Whole blood (RNA/DNA)
Cycle 1 Day 1, Cycle 2 Day 1 and at discontinuation.
(See Section 6.0 for Trial Flow Chart and Procedures Manual for 
further details).
 
 
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7.1.2.9
Patient Reported Outcomes (PROs)
Patient reported outcomes (PROs) are assessed on day 1 of every 28-day cycle through Cycle 
4 and then every 3 cycles (ie, Cycle 7, 10, 13, etc.) while the subject is receiving study 
treatment, at treatment discontinuation, and at 30 days post treatment discontinuation (post-
treatment safety follow-up) PROs are to be administered by trained site personnel and 
completed electronically by subjects themselves. It is strongly recommended that all 
electronic PROs (ePROs) are administered prior to drug administration, adverse event 
evaluation and disease status notification; an exception to this recommendation may occur at 
the treatment Discontinuation Visit.  The PROs should be administered in the following 
order: EuroQol EQ-5D first, then EORTC QLQ-C30 and EORTC MY20 at the time points 
specified in the Trial Flow Charts.
Laboratory Procedures/Assessments
Details regarding specific laboratory procedures/assessments to be performed in this trial are 
provided below.
7.1.3.1
Laboratory Safety Evaluations (Hematology, Chemistry and Urinalysis)
Laboratory tests for hematology, chemistry and urinalysis are specified in Table 12.  
 
 
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Table 12
Laboratory Tests
Hematologyf
Chemistry
Urinalysis
Other
Hematocrit
Albumin
Blood
Serum β-human chorionic 
gonadotropin (β-hCG)a
Hemoglobin
Alkaline phosphatase
Glucose
PT (INR)d
Platelet count
Alanine aminotransferase (ALT)
Protein
aPTTd
WBC (total and 
differential)
Aspartate aminotransferase 
(AST)
Specific gravity
Total Triiodothyronine 
(T3)e
Red Blood Cell 
Count
Calcium
Microscopic exam, if 
abnormal results are 
noted
Free thyroxine (free T4)
Absolute 
Neutrophil Count
Bicarbonate/Carbon dioxideb
Urine pregnancy testa
Thyroid stimulating 
hormone (TSH)
Absolute 
Lymphocyte Count
Blood for FBR
Chloride
Blood for Proteomics
Creatinine
Blood for Genetics
Glucose
Blood for Transcriptional 
Analysis
Phosphorus
Potassium
Sodium
Total Bilirubin
Direct Bilirubin, if total bilirubin 
is elevated above ULN
Total protein
Blood Urea Nitrogen
Uric acid
Ureac
a.
Perform on women of childbearing potential only.  Urine pregnancy test is preferred.  If the urine test is 
positive or cannot be confirmed as negative, a serum pregnancy test will be required.
b.
Test only if part of Standard of Care locally.
c.
Blood Urea Nitrogen is preferred; if not available urea may be tested.
d.
Coagulation factors (PT/INR and aPTT) should be tested as part of the screening procedures for all 
subjects.  Any subject receiving anticoagulant therapy should have coagulation factors monitored closely 
throughout the trial.
e.
Total T3 is preferred, if not available free T3 may be tested.
f.
Absolute values or percentage per central laboratory.
All laboratory tests will be performed by a central laboratory on day 1 of each cycle and 
previous to pembrolizumab infusions for the investigational arm (Arm A). Specific 
laboratory tests may be performed locally, in parallel to central laboratory tests, at the 
investigator discretion to ensure subject’s safety prior to treatment.  Laboratory tests for 
screening should be performed within 10 days prior to the first dose of treatment. Safety labs 
do not need to be repeated on C1D1.  After Cycle 1, pre-dose laboratory procedures can be 
conducted up to 72 hours prior to dosing.  Results must be reviewed by the investigator or 
qualified designee and found to be acceptable prior to each dose of trial treatment
 
 
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7.1.3.2
Pharmacokinetic/Pharmacodynamic Evaluations
Both PK and anti-pembrolizumab antibody samples for subjects who receive pembrolizumab
in the investigational arm (Arm A):
Pre-dose trough PK and anti-pembrolizumab antibody samples will be collected at C1D1, 
C1D22, C2D15, C5D15 and every 4 pembrolizumab infusions thereafter, and 30 days after 
discontinuation of study drug (or until the subject starts new anti-cancer therapy). All pre-
dose trough samples should be drawn within 24 hours before infusion of pembrolizumab.
7.1.3.2.1 Pharmacokinetic Evaluations
To further evaluate pembrolizumab immunogenicity and pembrolizumab exposure in this 
indication, and also to evaluate exposure of the proposed dosing regimen, sample collections 
for analysis of anti-drug antibodies (ADA) and PK are currently planned as shown in the 
Trial Flowchart (Sections 6.1).  Blood samples will be obtained to measure pharmacokinetics 
of serum pembrolizumab.  The pembrolizumab serum maximum concentration (Cmax) and 
minimum concentration (Ctrough) at planned visits and times will be summarized.  If ongoing 
ADA and/or PK results continue to be consistent with existing ADA and/or PK data from 
other pembrolizumab clinical trials, it may be decided to discontinue or reduce further 
sample collection in this study.
Pharmacokinetic data will also be analyzed using nonlinear mixed effects modeling.  Based 
on PK data obtained in this study as well as PK data obtained from other studies, a 
population PK analysis will be performed to characterize pharmacokinetic parameters 
(Clearance [CL], Volume of distribution [V]) and evaluate the effect of extrinsic and 
intrinsic factors to support proposed dosing regimen. Pharmacokinetic data will also be used 
to explore the exposure-response relationships for pembrolizumab antitumor activity/efficacy 
as well as safety in the proposed patient population, if feasible. The results of these analyses, 
if performed, will be reported separately.  Samples obtained for PK or ADA may be used to 
conduct additional safety analysis, if needed.
Blood collection for serum pembrolizumab sample collection, storage and shipment 
instructions for serum samples will be provided in the procedure manual.  Pharmacokinetic 
samples should be drawn according to the PK collection schedule for subjects who receive 
pembrolizumab.  Every effort should be taken to collect samples at 30 days (±3 days) after 
end of pembrolizumab treatment.
7.1.3.2.2 Blood Collection for Serum Pembrolizumab
Sample collection, storage and shipment instructions for serum samples will be provided in 
the procedure manual.  PK samples should be drawn according to the PK collection schedule 
for subjects who receive pembrolizumab.  Every effort should be taken to collect samples at 
30 days after end of pembrolizumab treatment.  
Note: If ongoing ADA and PK results continue to be consistent with existing ADA and PK 
data from other pembrolizumab clinical trials, it may be decided to discontinue further 
sample collection in this study.
 
 
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7.1.3.2.3 Blood Collection for Anti- pembrolizumab Antibodies
Sample collection, storage and shipment instructions for serum samples will be provided in 
the procedure manual. Anti-pembrolizumab antibody samples should be drawn according to 
the ADA collection schedule for subjects who receive pembrolizumab. Every effort should 
be taken to collect samples at 30 days after end of pembrolizumab treatment for ADA.  
Simultaneous PK sampling is required for interpretation of ADA analysis.
Note: If ongoing ADA and PK results continue to be consistent with existing ADA and PK 
data from other pembrolizumab clinical trials, it may be decided to discontinue further 
sample collection in this study.
7.1.3.3
Planned Genetic Analysis Sample Collection
Sample collection, storage and shipment instructions for Planned Genetic Analysis samples 
will be provided in the procedure manual.
7.1.3.4
Future Biomedical Research Sample Collection
The following specimens are to be obtained as part of Future Biomedical Research:

Leftover DNA for future use

Leftover bone marrow aspirate samples
Other Procedures
7.1.4.1
Withdrawal/Discontinuation
Subjects who discontinue/withdraw from treatment prior to completion of the treatment 
regimen should be encouraged to continue to be followed for all remaining study visits.
When a subject discontinues/withdraws from participation in the trial, all applicable activities 
scheduled for the final trial visit should be performed at the time of discontinuation.  Any 
adverse events which are present at the time of discontinuation/withdrawal should be 
followed in accordance with the safety requirements outlined in Section 7.2 - Assessing and 
Recording Adverse Events.
7.1.4.1.1 Withdrawal From Future Biomedical Research
Subjects may withdraw their consent for Future Biomedical Research and have their 
specimens and all derivatives destroyed.   Subjects may withdraw consent at any time by 
contacting the principal investigator for the main trial.  If medical records for the main trial 
are still available, the investigator will contact the Sponsor using the designated mailbox 
(clinical.specimen.management@merck.com), and a form will be provided by the Sponsor to 
obtain appropriate information to complete specimen withdrawal.  Subsequently, the 
subject's specimens will be removed from the biorepository and be destroyed.  A letter will 
be sent from the Sponsor to the investigator confirming the destruction. It is the 
responsibility of the investigator to inform the subject of completion of destruction.  Any 
analyses in progress at the time of request for destruction or already performed prior to the 
 
 
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request being received by the Sponsor will continue to be used as part of the overall research 
trial data and results.   No new analyses would be generated after the request is received.
In the event that the medical records for the main trial are no longer available (e.g., if the 
investigator is no longer required by regulatory authorities to retain the main trial records) or 
the specimens have been completely anonymized, there will no longer be a link between the 
subject’s personal information and their specimens.  In this situation, the request for 
specimen destruction cannot be processed.
7.1.4.2
Blinding/Unblinding
This is an open label trial; there is no blinding for this trial.
7.1.4.3
Calibration of Equipment
The investigator or qualified designee has the responsibility to ensure that any device or 
instrument used for a clinical evaluation/test during a clinical trial that provides information
about inclusion/exclusion criteria and/or safety or efficacy parameters shall be suitably 
calibrated and/or maintained to ensure that the data obtained is reliable and/or reproducible.  
Documentation of equipment calibration must be retained as source documentation at the 
trial site.
Visit Requirements
Visit requirements are outlined in Section 6.0 - Trial Flow Chart.   Specific procedure-related 
details are provided above in Section 7.1 - Trial Procedures.
7.1.5.1
Screening
Approximately 28 days prior to treatment allocation/randomization, potential subjects will be 
evaluated to determine that they fulfill the entry requirements as set forth in Section 5.1.  
Screening procedures may be repeated after consultation with the Sponsor. Visit 
requirements are outlined in Section 6.0 - Trial Flow Chart.
Written consent for the main study must be obtained prior to performing any protocol 
specific procedure.  Results of a test performed prior to the subject signing consent as part of 
routine clinical management are acceptable in lieu of a screening test if performed within the 
specified time frame.  Screening procedures are to be completed within 28 days prior to the 
first dose of trial treatment except for the following:

Laboratory tests are to be performed within 10 days prior to the first dose of trial 
treatment.

Archival (≤ 60 days) bone marrow biopsy or aspirate results previously done for 
disease assessment as part of routine clinical management will be acceptable for 
screening purposes.
 
 
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
Females of childbearing potential must have two negative pregnancy tests (sensitivity 
of at least 25 mIU/mL) prior to starting pomalidomide. The first pregnancy test must 
be performed within 10 to 14 days prior to the start of pomalidomide and the second 
pregnancy test must be performed within 24 hours prior to the start of pomalidomide. 
The subject may not receive pomalidomide until the study doctor has verified that the 
results of these pregnancy tests are negative.
Subjects may be rescreened after initially failing to meet the inclusion/exclusion criteria.  
Results from assessments performed during the initial screening period are acceptable in lieu 
of a repeat screening test if performed within the specified time frame and the 
inclusion/exclusion criteria is met.
7.1.5.2
Pregnancy Testing
Medically supervised pregnancy tests with a minimum sensitivity of 25 mIU/mL must be 
performed for FCBP.
Females of childbearing potential must have two negative pregnancy tests (sensitivity of at 
least 25 mIU/mL) prior to starting pomalidomide. The first pregnancy test must be performed 
within 10 to 14 days prior to the start of pomalidomide and the second pregnancy test must 
be performed within 24 hours prior to the start of pomalidomide. The subject may not receive 
pomalidomide until the study doctor has verified that the results of these pregnancy tests are 
negative.
Females of childbearing potential with regular or no menstrual cycles must agree to have 
pregnancy tests weekly for the first 28 days of study participation and then every 28 days 
while taking pomalidomide, at study discontinuation, and at Day 28 following the last dose 
of pomalidomide. 
Females of childbearing potential with irregular menstrual cycles must agree to have 
pregnancy tests weekly for the first 28 days of study participation and then every 14 days 
while taking pomalidomide, at study discontinuation, and at Days 14 and 28 following the 
last dose of pomalidomide. 
7.1.5.3
Treatment Period
Visit requirements are outlined in Section 6.0 – Trial Flow Chart.  Specific procedure-related 
details are provided above in Section 7.1 – Trial Procedures.
On 03-JULY-2017, the US FDA placed KN183, KN185 and cohort 1 of KN023 on clinical 
hold based on safety data from KN183 and KN185 presented to the DMC. The FDA 
determined that the risks of pembrolizumab plus pomalidomide or lenalidomide outweighed 
any potential benefit for patients with multiple myeloma. Based on this decision, the 
treatment phase of KN183 and KN185 is closed effective immediately. All subjects must 
stop study treatment, complete the Discontinuation Visit and move into the long-term safety 
and survival follow-up per protocol.
 
 
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7.1.5.4
Post-Treatment Visits
7.1.5.4.1 Safety Follow-Up Visit
The mandatory Safety Follow-Up Visit should be conducted approximately 30 days after the 
last dose of trial treatment or before the initiation of a new antineoplastic treatment, 
whichever comes first.  All AEs that occur prior to the Safety Follow-Up Visit should be 
recorded.  Subjects with an AE of Grade > 1 will be followed until the resolution of the AE 
to Grade 0-1 or until the beginning of a new antineoplastic therapy, whichever occurs first.  
SAEs that occur within 90 days of the end of treatment or before initiation of a new 
antineoplastic treatment should also be followed and recorded.
In the event a subject receives an allo-SCT within 24 months of the last dose of 
pembrolizumab or before the trial ends, the following events will be collected as ECIs (see 
Section 7.2.3.2) through 18 months from the date of allo-SCT: GVHD, febrile syndrome 
treated with steroids, pulmonary complications, hepatic veno-occlusive disease and/or 
sinusoidal syndrome, immune-mediated AEs, critical illness, and transplant-related mortality. 
If available and relevant to an event post allo-SCT, concomitant medications and/or 
laboratory results may be reported. Additional medically important AEs may be submitted at 
the investigator’s discretion.
7.1.5.5
Efficacy Follow-up Visits
Subjects who discontinue trial treatment for a reason other than confirmed disease 
progression will move into the Efficacy Follow-Up Phase to monitor disease status and 
should be assessed every 4 weeks (± 7 days) until (1) the start of new anti-cancer treatment, 
(2) documented disease progression, (3) death, (4) withdraw of consent or (5) the end of the 
trial, whichever occurs first.  The Sponsor may request survival status to be assessed at 
additional time points during the course of the study (not to exceed approximately 12 weeks).  
Every effort should be made to collect information regarding disease response assessment in 
the follow-up period. Prior to discontinuing patients from therapy, consult with Sponsor and 
submit the Treatment Termination & Disease Assessment Termination Form. 
NOTE: For both groups, if either pembrolizumab, pomalidomide,
or low dose 
dexamethasone is discontinued due to unacceptable toxicity, subjects  can continue to receive 
study treatment with the remaining study drugs without discontinuing from study.
Information regarding post-study anti-myeloma treatment will be collected if new treatment 
is initiated.
7.1.5.5.1 Survival Follow-up
Once a subject experiences confirmed disease progression or starts a new anti-myeloma 
therapy, the subject moves into the Survival Follow-up phase and should be contacted 
approximately every 12 weeks for at least 12 months following their discontinuation visit for 
assessment of survival status until death, withdrawal of consent, or the end of the study, 
whichever occurs first. 
 
 
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Survival status data may be requested more frequently than every 12 weeks.  The Sponsor 
may request these additional data at time points such as prior to data cleaning, an external 
Data Monitoring Committee (eDMC) safety review, and/or efficacy interim analyses.  All 
subjects who are in the Survival Follow-Up Phase and not known to have died prior to the 
request for these additional survival data will be contacted at that time.
7.1.5.5.2 Follow-up Post-Allogeneic Stem Cell Transplantation
In the event a subject receives an allo-SCT within 24 months of the last dose of 
pembrolizumab or before the end of the study, the following events will be collected as ECIs 
(see Section 7.2.3.2) through 18 months from the date of allo-SCT: GVHD, febrile syndrome 
treated with steroids, pulmonary complications, hepatic veno-occlusive disease and/or 
sinusoidal syndrome, immune-mediated AEs, critical illness, and transplant-related mortality. 
If available and relevant to an event post allo-SCT, concomitant medications and/or 
laboratory results may be reported. Additional medically important AEs may be submitted at 
the investigator’s discretion.  Post-allogeneic SCT ECIs that occur after the normal safety 
follow-up period must be assessed for seriousness and causality and reported to the Sponsor 
as follows: within 24 hours if serious regardless of causality, or if non-serious and considered 
to be drug-related; and 5 calendar days if non-serious and not considered to be drug-related.
7.1.5.6
Survival Status
To ensure current and complete survival data is available at the time of database locks, 
updated survival status may be requested during the course of the study by the Sponsor. For 
example, updated survival status may be requested prior to but not limited to an external Data 
Monitoring Committee (eDMC) review, interim and/or final analysis. Upon Sponsor 
notification, all subjects who do not/will not have a scheduled study visit or study contact 
during the Sponsor-defined time period will be contacted for their survival status (excluding 
subjects who have previously recorded a death event in the collection tool).
Assessing and Recording Adverse Events
An adverse event is defined as any untoward medical occurrence in a patient or clinical 
investigation subject administered a pharmaceutical product and which does not necessarily 
have to have a causal relationship with this treatment. An adverse event can therefore be any 
unfavourable and unintended sign (including an abnormal laboratory finding, for example), 
symptom, or disease temporally associated with the use of a medicinal product or protocol-
specified procedure, whether or not considered related to the medicinal product or protocol-
specified procedure.  Any worsening (i.e., any clinically significant adverse change in 
frequency and/or intensity) of a preexisting condition that is temporally associated with the 
use of the Sponsor’s product, is also an adverse event.
Changes resulting from normal growth and development that do not vary significantly in 
frequency or severity from expected levels are not to be considered adverse events.  
Examples of this may include, but are not limited to, teething, typical crying in infants and 
children and onset of menses or menopause occurring at a physiologically appropriate time.
 
 
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Sponsor's product includes any pharmaceutical product, biological product, device, 
diagnostic agent or protocol-specified procedure, whether investigational (including placebo 
or active comparator medication) or marketed, manufactured by, licensed by, provided by or 
distributed by the Sponsor for human use.
Adverse events may occur during clinical trials, or as prescribed in clinical practice, from 
overdose (whether accidental or intentional), from abuse and from withdrawal.
Progression of the cancer under study is not considered an adverse event.  
All adverse events that occur after the consent form is signed but before treatment 
allocation/randomization must be reported by the investigator if they cause the subject to be 
excluded from the trial, or are the result of a protocol-specified intervention, including but 
not limited to washout or discontinuation of usual therapy, diet, placebo treatment or a 
procedure. From the time of treatment allocation/randomization through 30 days following 
cessation of treatment, all adverse events must be reported by the investigator. Such events 
will be recorded at each examination on the Adverse Event case report forms/worksheets.  
The reporting timeframe for adverse events meeting any serious criteria is described in 
section 7.2.3.1. The investigator will make every attempt to follow all subjects with non-
serious adverse events for outcome.
Electronic reporting procedures can be found in the EDC data entry guidelines. Paper 
reporting procedures can be found in the Investigator Trial File Binder (or equivalent).
Adverse events will not be collected for subjects during the pre-screening period (for 
determination of archival tissue status) as long as that subject has not undergone any 
protocol-specified procedure or intervention.  If the subject requires a blood draw, fresh 
tumor biopsy etc., the subject is first required to provide consent to the main study and AEs 
will be captured according to guidelines for standard AE reporting.
Definition of an Overdose for This Protocol and Reporting of Overdose to the 
Sponsor
For purposes of this trial, an overdose will be defined as any dose exceeding the prescribed 
dose for pembrolizumab defined as any dose greater than 1000 mg or greater. For 
pomalidomide or dexamethasone an overdose will be defined as any dose that is considered 
both excessive and medically important by local standards. No specific information is 
available on the treatment of overdose of pembrolizumab, pomalidomide or dexamethasone. 
In the event of overdose, pembrolizumab, pomalidomide or dexamethasone should be 
discontinued and the subject should be observed closely for signs of toxicity.  Appropriate 
supportive treatment should be provided if clinically indicated.
If an adverse event(s) is associated with (“results from”) the overdose of Sponsor's product or 
vaccine, the adverse event(s) is reported as a serious adverse event, even if no other 
seriousness criteria are met.
If a dose of Sponsor's product or vaccine meeting the protocol definition of overdose is taken 
without any associated clinical symptoms or abnormal laboratory results, the overdose is 
reported as a non-serious Event of Clinical Interest (ECI), using the terminology “accidental 
or intentional overdose without adverse effect.”
 
 
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All reports of overdose with and without an adverse event must be reported by the 
investigator within 24 hours to the Sponsor either by electronic media or paper. Electronic 
reporting procedures can be found in the EDC data entry guidelines. Paper reporting 
procedures can be found in the Investigator Trial File Binder (or equivalent).
Reporting of Pregnancy and Lactation to the Sponsor
Although pregnancy and lactation are not considered adverse events, it is the responsibility of 
investigators or their designees to report any pregnancy or lactation in a subject 
(spontaneously reported to them), including the pregnancy of a male subject's female partner 
that occurs during the trial.
Pregnancies and lactations of subjects and female partners of male subjects from the time the 
consent form is signed but before treatment allocation/randomization must be reported by the 
investigator if they cause the subject to be excluded from the trial, or are the result of a 
protocol-specified intervention, including but not limited to washout or discontinuation of 
usual therapy, diet, placebo treatment or a procedure.  Pregnancies and lactations of subjects 
and female partners of male subjects that occur from the time of treatment 
allocation/randomization through 120 days following cessation of Sponsor’s product, or 30 
days following cessation of treatment if the subject initiates new anticancer therapy, must be 
reported. All reported pregnancies must be followed to the completion/termination of the 
pregnancy. Pregnancy outcomes of spontaneous abortion, missed abortion, benign 
hydatidiform mole, blighted ovum, fetal death, intrauterine death, miscarriage and stillbirth 
must be reported as serious events (Important Medical Events). If the pregnancy continues to 
term, the outcome (health of infant) must also be reported.
Such events must be reported within 24 hours to the Sponsor either by electronic media or 
paper. Electronic reporting procedures can be found in the EDC data entry guidelines. Paper 
reporting procedures can be found in the Investigator Trial File Binder (or equivalent).
Additionally, study investigators from United States sites should report any suspected fetal 
exposure to pomalidomide to Celgene Corporation 
 and to FDA via the 
MedWatch Program 
Immediate Reporting of Adverse Events to the Sponsor
7.2.3.1
Serious Adverse Events
A serious adverse event is any adverse event occurring at any dose or during any use of 
Sponsor's product that:
●
Results in death;
●
Is life threatening;
●
Results in persistent or significant disability/incapacity;
●
Results in or prolongs an existing inpatient hospitalization;
●
Is a congenital anomaly/birth defect;
●
Is an other important medical event.
 
 
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Note: In addition to the above criteria, adverse events meeting either of the below criteria, 
although not serious per ICH definition, are reportable to the Sponsor in the same timeframe 
as SAEs to meet certain local requirements. Therefore, these events are considered serious by 
the Sponsor for collection purposes.
●
Is a new cancer (that is not a condition of the study);
●
Is associated with an overdose.
Refer to Table 13 for additional details regarding each of the above criteria.
For the time period beginning when the consent form is signed until treatment 
allocation/randomization, any serious adverse event, or follow up to a serious adverse event, 
including death due to any cause, other than progression of the cancer under study (reference 
Section 7.2.3.3 for additional details), that occurs to any subject must be reported within 24 
hours to the Sponsor if it causes the subject to be excluded from the trial, or is the result of a 
protocol-specified intervention, including but not limited to washout or discontinuation of 
usual therapy, diet, placebo treatment or a procedure.
For the time period beginning at treatment allocation/randomization through 90 days 
following cessation of treatment, or 30 days following cessation of treatment if the subject 
initiates new anticancer therapy, whichever is earlier, any serious adverse event, or follow up 
to a serious adverse event, including death due to any cause other than progression of the 
cancer under study (reference Section 7.2.3.3 for additional details), whether or not related to 
the Sponsor's product, must be reported within 24 hours to the Sponsor either by electronic 
media or paper. Electronic reporting procedures can be found in the EDC data entry 
guidelines. Paper reporting procedures can be found in the Investigator Trial File Binder (or 
equivalent).
Additionally, any serious adverse event, considered by an investigator who is a qualified 
physician to be related to the Sponsor's product that is brought to the attention of the 
investigator at any time following consent through the end of the specified safety follow-up 
period specified in the paragraph above, or at any time outside of the time period specified in 
the previous paragraph also must be reported immediately to the Sponsor.  
All subjects with serious adverse events must be followed up for outcome.
Report all SAEs (related and unrelated to trial treatment) and ECIs occurring up until 90 days 
after the last dose of trial treatment or the start of new anti-cancer treatment, whichever 
comes first.  Afterwards, report only SAEs and ECIs that are related to trial treatment.
7.2.3.2
Events of Clinical Interest
Selected non-serious and serious adverse events are also known as Events of Clinical Interest 
(ECI) and must be reported to the Sponsor.
For the time period beginning when the consent form is signed until treatment 
allocation/randomization, any ECI, or follow up to an ECI, that occurs to any subject must be 
reported within 24 hours to the Sponsor if it causes the subject to be excluded from the trial, 
or is the result of a protocol-specified intervention, including but not limited to washout or 
discontinuation of usual therapy, diet, placebo treatment or a procedure.
 
 
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For the time period beginning at treatment allocation/randomization through 90 days 
following cessation of treatment, or 30 days following cessation of treatment if the subject 
initiates new anticancer therapy, whichever is earlier, any ECI, or follow up to an ECI, 
whether or not related to the Sponsor’s product, must be reported within 24 hours to the 
Sponsor, either by electronic media or paper.  Electronic reporting procedures can be found 
in the EDC data entry guidelines.  Paper reporting procedures can be found in the 
Investigator Trial File Binder (or equivalent).
Events of clinical interest for this trial include:
1. an overdose of Sponsor's product, as defined in Section 7.2.1 - Definition of an Overdose 
for This Protocol and Reporting of Overdose to the Sponsor, that is not associated with 
clinical symptoms or abnormal laboratory results. 
2. an elevated AST or ALT lab value that is greater than or equal to 3X the upper limit of 
normal and an elevated total bilirubin lab value that is greater than or equal to 2X the 
upper limit of normal and, at the same time, an alkaline phosphatase lab value that is less 
than 2X the upper limit of normal, as determined by way of protocol-specified laboratory 
testing or unscheduled laboratory testing.*
*Note:  These criteria are based upon available regulatory guidance documents. The 
purpose of the criteria is to specify a threshold of abnormal hepatic tests that may require 
an additional evaluation for an underlying etiology. The trial site guidance for assessment 
and follow up of these criteria can be found in the Investigator Trial File Binder (or 
equivalent).
Additional Adverse Events of Clinical Interest:
A separate guidance document has been provided entitled “Event of Clinical Interest 
Guidance Document.”  This document can be found in the administrative binder and 
provides guidance regarding identification, evaluation and management of ECIs and 
irAEs.
ECIs identified in this guidance document from the date of first dose through 90 days 
following cessation of treatment, or 30 days after the initiation of a new anticancer 
therapy, whichever is earlier need to be reported to the Sponsor within 24 hours of the 
event consistent with standard SAE reporting guidelines and either by electronic media or 
paper.  Sponsor Contact information can be found in the administrative binder.
Subjects should be assessed for possible ECIs prior to each dose.  Lab results should be 
evaluated and subjects should be asked for signs and symptoms suggestive of an 
immune-related event.  Subjects who develop an ECI thought to be immune-related 
should have additional testing to rule out other etiologic causes.  If lab results or 
symptoms indicate a possible immune-related ECI, then additional testing should be 
performed to rule out other etiologic causes.  If no other cause is found, then it is 
assumed to be immune-related.
 
 
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7.2.3.2.1 Adverse Events Follow-up Post-Allogeneic Stem Cell Transplantation
In the event a subject receives an allo-SCT within 24 months of the last dose of 
pembrolizumab or before the trial ends, the following events will be collected as ECIs 
through 18 months from the date of allo-SCT: GVHD, febrile syndrome treated with steroids, 
pulmonary complications, hepatic veno-occlusive disease and/or sinusoidal syndrome, 
immune-mediated AEs, critical illness, and transplant-related mortality.  
If available and relevant to an event post allo-SCT, concomitant medications and/or 
laboratory results may be reported. Additional medically important AEs may be submitted at 
the investigator’s discretion. Post-allogeneic SCT ECIs that occur after the normal safety 
follow-up period must be assessed for seriousness and causality and reported to the Sponsor 
as follows: within 24 hours if serious regardless of causality, or if non-serious and considered 
to be drug-related; and 5 calendar days if non-serious and not considered to be drug-related.
7.2.3.3
Protocol-Specific Exceptions to Serious Adverse Event Reporting
Efficacy endpoints as outlined in this section will not be reported to the Sponsor.
Specifically, the suspected/actual events covered in this exception include any event that is 
disease progression of the cancer under study.
The Sponsor will monitor unblinded aggregated efficacy endpoint events and safety data to 
ensure the safety of the subjects in the trial.  Any suspected endpoint which upon review is 
not progression of the cancer under study will be forwarded to global safety as a SAE within 
24 hours of determination that the event is not progression of the cancer under study.
Evaluating Adverse Events
An investigator who is a qualified physician will evaluate all adverse events according to the 
NCI Common Terminology for Adverse Events (CTCAE), version 4. Any adverse event 
which changes CTCAE grade over the course of a given episode will have each change of 
grade recorded on the adverse event case report forms/worksheets.
All adverse events regardless of CTCAE grade must also be evaluated for seriousness.
For studies in which multiple agents are administered as part of a combination regimen, the 
investigator may attribute each adverse event causality to the combination regimen or to a 
single agent of the combination.  In general, causality attribution should be assigned to the 
combination regimen (i.e., to all agents in the regimen). However, causality attribution may 
be assigned to a single agent if in the investigator’s opinion, there is sufficient data to support 
full attribution of the adverse experience to the single agent.
 
 
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Table 13
Evaluating Adverse Events
An investigator who is a qualified physician, will evaluate all adverse events as to:
V4.0 CTCAE 
Grading
Grade 1
Mild; asymptomatic or mid symptoms; clinical or diagnostic observations only; intervention not indicated.
Grade 2
Moderate; minimal, local or noninvasive intervention indicated; limiting age-appropriate instrumental ADL.
Grade 3
Severe or medically significant but not immediately life-threatening; hospitalization or prolongation or hospitalization indicated; 
disabling; limiting self-care ADL.
Grade 4
Life threatening consequences; urgent intervention indicated.
Grade 5
Death related to AE
Seriousness
A serious adverse event is any adverse event occurring at any dose or during any use of Sponsor’s product that:
†Results in death; or
†Is life threatening; or places the subject, in the view of the investigator, at immediate risk of death from the event as it occurred (Note: This does not include an 
adverse event that, had it occurred in a more severe form, might have caused death.); or
†Results in a persistent or significant disability/incapacity (substantial disruption of one’s ability to conduct normal life functions); or
†Results in or prolongs an existing inpatient hospitalization (hospitalization is defined as an inpatient admission, regardless of length of stay, even if the 
hospitalization is a precautionary measure for continued observation. (Note: Hospitalization for an elective procedure to treat a pre-existing condition that has not 
worsened is not a serious adverse event.  A pre-existing condition is a clinical condition that is diagnosed prior to the use of a Merck product and is documented in 
the patient’s medical history.); or
†Is a congenital anomaly/birth defect (in offspring of subject taking the product regardless of time to diagnosis);or
Is a new cancer (that is not a condition of the study) (although not serious per ICH definition, is reportable to the Sponsor within 24 hours to meet certain local 
requirements); or
Is an overdose (whether accidental or intentional).  Any adverse event associated with an overdose is considered a serious adverse event for collection purposes. An 
overdose that is not associated with an adverse event is considered a non-serious event of clinical interest and must be reported within 24 hours.
Other important medical events that may not result in death, not be life threatening, or not require hospitalization may be considered a serious adverse event when, 
based upon appropriate medical judgment, the event may jeopardize the subject and may require medical or surgical intervention to prevent one of the outcomes 
listed previously (designated above by a †).
Duration
Record the start and stop dates of the adverse event. If less than 1 day, indicate the appropriate length of time and units
Action taken 
Did the adverse event cause the Sponsor’s product to be discontinued?
Relationship to 
Sponsor’s 
Product
Did the Sponsor’s product cause the adverse event? The determination of the likelihood that the Sponsor’s product caused the adverse event will be provided by an 
investigator who is a qualified physician. The investigator’s signed/dated initials on the source document or worksheet that supports the causality noted on the AE 
form, ensures that a medically qualified assessment of causality was done. This initialed document must be retained for the required regulatory time frame. The 
criteria below are intended as reference guidelines to assist the investigator in assessing the likelihood of a relationship between the test drug and the adverse event 
based upon the available information.
The following components are to be used to assess the relationship between the Sponsor’s product and the AE; the greater the correlation with the components 
and their respective elements (in number and/or intensity), the more likely the Sponsor’s product caused the adverse event (AE):
Exposure
Is there evidence that the subject was actually exposed to the Sponsor’s product such as: reliable history, acceptable compliance assessment (pill 
count, diary, etc.), expected pharmacologic effect, or measurement of drug/metabolite in bodily specimen?
Time Course
Did 
the 
AE 
follow 
in 
a 
reasonable 
temporal 
sequence 
from 
administration 
of 
the 
Sponsor’s 
product? 
Is the time of onset of the AE compatible with a drug-induced effect (applies to trials with investigational medicinal product)?
Likely Cause
Is the AE not reasonably explained by another etiology such as underlying disease, other drug(s)/vaccine(s), or other host or environmental factors
 
 
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Relationship
The following components are to be used to assess the relationship between the test drug and the AE: (continued)
to Sponsor's 
Product
(continued) 
Dechallenge
Was the Sponsor’s product discontinued or dose/exposure/frequency reduced?
If yes, did the AE resolve or improve?
If yes, this is a positive dechallenge. If no, this is a negative dechallenge.
(Note: This criterion is not applicable if: (1) the AE resulted in death or permanent disability; (2) the AE resolved/improved despite continuation of 
the Sponsor’s product; or (3) the trial is a single-dose drug trial); or (4) Sponsor’s product(s) is/are only used one time.)
Rechallenge
Was the subject re-exposed to the Sponsor’s product in this study?
If yes, did the AE recur or worsen?
If yes, this is a positive rechallenge. If no, this is a negative rechallenge.
(Note: This criterion is not applicable if: (1) the initial AE resulted in death or permanent disability, or (2) the trial is a single-dose drug trial); or 
(3) Sponsor’s product(s) is/are used only one time).
NOTE: IF A RECHALLENGE IS PLANNED FOR AN ADVERSE EVENT WHICH WAS SERIOUS AND WHICH MAY HAVE BEEN 
CAUSED BY THE SPONSOR'S PRODUCT, OR IF REEXPOSURE TO THE SPONSOR'S PRODUCT POSES ADDITIONAL POTENTIAL 
SIGNIFICANT RISK TO THE SUBJECT, THEN THE RECHALLENGE MUST BE APPROVED IN ADVANCE BY THE SPONSOR 
CLINICAL DIRECTOR AS PER DOSE MODIFICATION GUIDELINES IN THE PROTOCOL.
Consistency 
with Trial 
Treatment 
Profile
Is the clinical/pathological presentation of the AE consistent with previous knowledge regarding the Sponsor’s product or drug class pharmacology 
or toxicology?
The assessment of relationship will be reported on the case report forms /worksheets by an investigator who is a qualified physician according to his/her best clinical judgment, including 
consideration of the above elements.
Record one of the following
Use the following scale of criteria as guidance (not all criteria must be present to be indicative of a Sponsor’s product relationship).
Yes, there is a reasonable 
possibility of Sponsor's product 
relationship.
There is evidence of exposure to the Sponsor's product.  The temporal sequence of the AE onset relative to the administration of the Sponsor's 
product is reasonable.  The AE is more likely explained by the Sponsor's product than by another cause.
No, there is not a reasonable 
possibility of Sponsor's product 
relationship
Subject did not receive the Sponsor's product OR temporal sequence of the AE onset relative to administration of the Sponsor's product is not 
reasonable OR the AE is more likely explained by another cause than the Sponsor’s product.  (Also entered for a subject with overdose without an 
associated AE.)
 
 
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Sponsor Responsibility for Reporting Adverse Events
All Adverse Events will be reported to regulatory authorities, IRB/IECs and investigators in 
accordance with all applicable global laws and regulations, i.e., per ICH Topic E6 (R1) 
Guidelines for Good Clinical Practice.
TRIAL GOVERNANCE AND OVERSIGHT
Executive Oversight Committee
The Executive Oversight Committee (EOC) comprises members of Sponsor Senior 
Management.  The EOC will receive and decide upon any recommendations made by the 
Data Monitoring Committee (DMC) regarding the trial.
Data Monitoring Committee
To supplement the routine trial monitoring outlined in this protocol, an external Data 
Monitoring Committee (DMC) will monitor the data from this trial at interim timepoints.  
The voting members of the committee are external to the Sponsor.  The members of the 
DMC must not be involved with the trial in any other way (e.g., they cannot be trial 
investigators) and must have no competing interests that could affect their roles with respect 
to the trial. 
The DMC will make recommendations to the EOC regarding steps to ensure both subject 
safety and the continued ethical integrity of the trial.  Also, the DMC will review interim trial 
results, consider the overall risk and benefit to trial participants (see Section 8.7 - Interim 
Analyses) and recommend to the EOC if the trial should continue in accordance with the 
protocol.
Specific details regarding composition, responsibilities, and governance, including the roles 
and responsibilities of the various members and the Sponsor protocol team; meeting 
facilitation; the trial governance structure; and requirements for and proper documentation of 
DMC reports, minutes, and recommendations will be described in a separate charter that is 
reviewed and approved by the DMC.  The DMC will monitor the trial at an appropriate 
frequency, as described in the detailed DMC charter.  The DMC will also make 
recommendations to the Sponsor protocol team regarding steps to ensure both subject safety 
and the continued ethical integrity of the trial.
In addition to the routine safety monitoring the DMC will review safety data after 30 subjects 
(at least 60 subjects total) in each treatment arm have completed one cycle of treatment  
Summary of all AE’s will be provided (See Section 8.6.2 for more details on the analyses 
methods). 
A DMC recommendation will be communicated to the Sponsor as agreed to in the DMC 
Charter.
Clinical Adjudication Committee
A Clinical Adjudication Committee (CAC) will evaluate the following events for the 
purposes of confirming them according to the criteria in Section 8.0 – Statistical Analysis 
Plan, as well as evaluating the presence of confounding factors.
 
 
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1) Antitumor response (eg, PFS, ORR, DOR) assessment based on IMWG criteria  
including confirmation of disease progression.
The following information will be submitted by the Sponsor to the CAC for their review:

The subject’s myeloma laboratory results.

All imaging results.

Local pathology results including results of bone marrow samples for confirmation of 
CR or sCR.
The role of the CAC is to ensure that all treatment outcomes are judged uniformly, using 
standard criteria and processes.  The CAC will be composed of 3 members who are qualified 
by training and experience to evaluate MM disease progression and responses assessment 
according to IMWG criteria using data provided by the Sponsor.  More details about the 
specific data to be provided, and the timing of the reviews, will be described in the 
Adjudication Charter. 
All personnel involved in the adjudication process will remain blinded to treatment allocation 
throughout the trial.  Specific details regarding endpoint definitions can be found in the 
Adjudication Charter.
8.0 STATISTICAL ANALYSIS PLAN
This section outlines the statistical analysis strategy and procedures for the study. If, after 
the study has begun, changes are made to primary and/or key secondary hypotheses, or the 
statistical methods related to those hypotheses, then the protocol will be amended (consistent 
with ICH Guideline E-9). Changes to exploratory or other non-confirmatory analyses made 
after the protocol has been finalized, but prior to the conduct of any analysis, will be 
documented in a supplemental SAP (sSAP) and referenced in the Clinical Study Report 
(CSR) for the study. A separate PK analysis plan as well as biomarker analysis plan will be 
provided. Post hoc exploratory analyses will be clearly identified in the CSR. The PRO 
analysis plan will also be included in the sSAP.
On 03-JUL-2017, the US FDA placed KN183, KN185 and cohort 1 of KN023 on clinical 
hold based on safety data from KN183 and KN185 presented to the DMC. The FDA 
determined that the risks of pembrolizumab plus pomalidomide or lenalidomide outweighed 
any potential benefit for patients with multiple myeloma. Based on this decision, the 
treatment phase of KN183 and KN185 is closed effective immediately. All subjects must 
stop study treatment, complete the Discontinuation Visit and move into the long-term safety 
and survival follow-up per protocol.
Due to the current status of the study the statistical analysis of this section may be modified 
and will be reported in the CSR.
 
 
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Statistical Analysis Plan Summary
Key elements of the statistical analysis plan are summarized below; the comprehensive plan 
is provided in Sections 8.2 through 8.12.
Study Design Overview
A Randomized, Active-Controlled, Open label Phase III Clinical Trial of 
Pembrolizumab in Combination with Pomalidomide + low dose 
dexamethasone versus Pomalidomide + low dose dexamethasone in the 
treatment of subjects with refractory or relapsed and refractory multiple 
myeloma (rrMM) who have received two or more lines of therapy.
Treatment Assignment
Approximately 300 subjects with rrMM will be randomized in a 1:1 
ratio between two treatment groups (1) pembrolizumab in combination 
with pomalidomide and low dose dexamethasone arm and (2) 
Pomalidomide and low dose dexamethasone (SOC) arm. Stratification 
factors are 1) disease status (refractory vs. sensitive to Lenalidomide) 
and 2) Lines of previous treatments (two vs. three or more). This is an 
open-label study. (See Section 5.4 Stratification for details). The two 
treatment arms are as follows:
Treatment 
Arm
Treatment Dose and Schedule
Treatment 
Arm A
Pembrolizumab 200 mg + pomalidomide + low dose 
dexamethasone
Treatment 
Arm B
pomalidomide + low dose dexamethasone
Analysis Populations
Efficacy: Intention-to-treat (ITT) population.
Safety: All Subjects as Treated (ASaT)
Primary Endpoints
1. Progression-free survival (PFS) – per IMWG 2011
2. Overall Survival
Key Secondary Endpoint
3. Overall Response Rate (ORR) – per IMWG criteria 
Statistical Methods for 
Key Efficacy Analyses
The primary hypotheses will be evaluated by comparing pembrolizumab 
in combination with SOC (pomalidomide + low dose dexamethasone)
versus SOC (pomalidomide + low dose dexamethasone) on PFS and OS 
using a stratified log-rank test. Estimation of the hazard ratio will be 
done using a stratified Cox regression model for each endpoint.  Event 
rates over time will be estimated within each treatment group using the 
Kaplan-Meier method.
The key secondary endpoint ORR will be analyzed using the stratified 
Miettinen and Nurminen method on the first 210 subjects (~70% of 
ITT).
Statistical Methods for 
Key Safety Analyses
The analysis of safety results will follow a tiered approach.  The tiers 
differ with respect to the analyses that will be performed. For this
protocol, there are no Tier 1 events. Tier 2 parameters will be assessed 
via point estimates with 95% confidence intervals provided for between-
group comparisons; only point estimates by treatment group are 
provided for Tier 3 safety parameters. Confidence intervals for between-
treatment difference will be provided using the Miettinen and Nurminen 
method. 
 
 
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Interim Analyses
There are two interim analyses planned for this study. Results will be 
reviewed by an external data monitoring committee. Details are 
provided in Section 8.7.

Interim Analysis (IA) 1
o Timing: after ~ 210 subjects with 2 cycles of treatment
o Purpose: To demonstrate the superiority of pembrolizumab in 
combination with SOC (pomalidomide + low dose 
dexamethasone) versus SOC (pomalidomide + low dose 
dexamethasone) in ORR

Interim Analysis (IA) 2
o Timing: after the target number of PFS events ( ~ 236) are 
observed
o
Purpose: 1) To demonstrate the superiority of pembrolizumab in 
combination with SOC (pomalidomide + low dose 
dexamethasone) versus SOC (pomalidomide + low dose 
dexamethasone) in PFS; and 2) To assess the OS of 
pembrolizumab in combination with SOC (pomalidomide + low 
dose dexamethasone) versus SOC (pomalidomide + low dose 
dexamethasone)
Multiplicity
The family-wise type I error rate for this study is strongly controlled at 
2.5% (one-sided) for the hypothesis testing of ORR, PFS and OS. The 
multiplicity strategy will follow the graphical approach of Maurer and 
Bretz (2013) as described in Section 8.8, with 0.5%, 1.5% and 0.5% 
alpha allocated to the ORR, PFS and OS hypothesis, respectively.
For the OS hypothesis, a Hwang-Shih-DeCani alpha-spending function 
with the gamma parameter (-6) is constructed to implement group 
sequential boundaries that control the type I error rate. Further details of 
the interim analysis strategy can be found in Section 8.7.1
Sample Size and Power 
The planned sample size is approximately 300 subjects.  The primary 
endpoints of the study are PFS and OS. For PFS, based on 236 events, 
the study has ~90.6% power to detect a hazard ratio of 0.635 
(pembrolizumab in combination with SOC vs. SOC) at alpha = 1.5% 
(one-sided). For OS, based on 182 events, the study has ~ 80.5% power 
to detect a hazard ratio of 0.600 (pembrolizumab in combination with 
SOC vs. SOC) at alpha = 0.5% (one-sided).  For ORR based on the first 
210 randomized patients followed for two cycles of treatment or have 
discontinued earlier, the study has 88.7% power to detect a 25 
percentage point increase for pembrolizumab in combination with SOC 
vs SOC at alpha = 0.5% (one-sided)
Responsibility for Analyses/In-House Blinding
The statistical analysis of the data obtained from this study will be the responsibility of the 
Clinical Biostatistics department of the SPONSOR.
The Sponsor will generate the randomized allocation schedule(s) for study treatment 
assignment for this protocol, and the randomization will be implemented in IVRS.  
Although the trial is open label, analyses or summaries generated by randomized treatment 
assignment, actual treatment received, and/or PD-L1 biomarker status will be limited and 
documented. Further documentation will be provided in the sSAP. In addition, the CAC 
blinded central review will be performed without knowledge of treatment group assignment.
 
 
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The ORR and PFS analyses, described in Section 8.6.1, occur prior to the final OS 
analysis. Treatment-level results at the ORR and PFS analysis and interim OS will be 
provided by the external unblinded statistician to the DMC. Key enrollment metrics and 
study data will also be monitored by the external unblinded statistician to inform the timing 
of the PFS and interim OS analyses, as needed. Limited additional SPONSOR personnel may 
be unblinded to the treatment level and/or PD-L1 biomarker results of the first ORR and PFS 
analyses, if required, in order to act on the recommendations of the DMC or facilitate 
regulatory filing. The extent to which individuals are unblinded with respect to results of 
interim analyses will be documented by the unblinded statistician.
The DMC will serve as the primary reviewer of the unblinded results of the ORR and PFS 
analysis and interim OS and will make recommendations for discontinuation of the study or 
modification to an executive oversight committee of the SPONSOR. Depending on the 
recommendation of the DMC, the Sponsor may prepare a regulatory submission. If the DMC 
recommends modifications to the design of the protocol or discontinuation of the study, this 
executive oversight committee may be unblinded to results at the treatment level in order to 
act on these recommendations. Additional logistical details, revisions to the above plan and 
data monitoring guidance will be provided in the DMC Charter.
Hypotheses/Estimation
Objectives and hypotheses of the study are stated in Section 3.0
Analysis Endpoints
Efficacy Endpoints
Primary
Progression-free survival (PFS) – the International Myeloma Working Group response 
criteria (IMWG 2011) by CAC blinded central review
PFS is defined as the time from randomization to the first documented disease progression 
per IMWG 2011 based on CAC blinded central review or death due to any cause, whichever 
occurs first.  See Section 8.6.1 for definition of censoring.
Overall Survival (OS)
OS is defined as the time from randomization to death due to any cause. Subjects without 
documented death at the time of the final analysis will be censored at the date of the last 
follow-up.
Secondary 
Overall Response Rate (ORR) – the International Myeloma Working Group response 
criteria (IMWG 2011) by CAC blinded central review.
ORR is defined as the proportion of the subjects in the analysis population who achieved at 
least a partial response according to the IMWG 2011.
 
 
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Duration of Response (DOR) – the International Myeloma Working Group response criteria 
(IMWG 2011) by CAC blinded central review. 
For subjects who demonstrated at least a partial response, response duration is defined as the 
time from first documented evidence of at least a partial response until disease progression or 
death. Response duration for subjects who have not progressed or died at the time of analysis 
will be censored at the date of their last assessment.  
Disease Control Rate (DCR) - the International Myeloma Working Group response criteria 
(IMWG 2011) by CAC blinded central review.
Disease control rate (DCR) is defined as the percentage of subjects who have achieved
confirmed CR, VGPR, PR, MR or have demonstrated SD for at least 12 weeks prior to any 
evidence of progression.
Second Progression-Free Survival (PFS2) - the time from randomization to subsequent 
disease progression after initiation of new anti-cancer therapy, or death from any cause, 
whichever occurs first, based on Investigator assessment.
Safety Endpoints
Safety measurements are described in Section 7.0.
ANALYSIS POPULATIONS
Efficacy Analysis Populations
The Intention-to-Treat (ITT) population will serve as the population for primary efficacy 
analysis. All randomized subjects will be included in this population. Subjects will be 
included in the treatment group to which they are randomized.  Details on the approach to 
handling missing data are provided in Section 8.6 Statistical Methods.
Safety Analysis Populations
The All Subjects as Treated (ASaT) population will be used for the analysis of safety data in 
this study.  The ASaT population consists of all randomized subjects who received at least 
one dose of study treatment. Subjects will be included in the treatment group corresponding 
to the study treatment they actually received for the analysis of safety data using the ASaT 
population.  For most subjects this will be the treatment group to which they are randomized.  
Subjects who take incorrect study treatment for the entire treatment period will be included in 
the treatment group corresponding to the study treatment actually received.  Any subject who 
receives the incorrect study medication for one cycle but receives the correct treatment for all 
other cycles will be analyzed according to the correct treatment group and a narrative will be 
provided for any events that occur during the cycle for which the subject is incorrectly dosed.
At least one laboratory or vital sign measurement obtained subsequent to at least one dose of 
study treatment is required for inclusion in the analysis of each specific parameter.  To assess 
change from baseline, a baseline measurement is also required.
Details on the approach to handling missing data for safety analyses are provided in Section 
8.6 Statistical Methods.
 
 
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STATISTICAL METHODS
Statistical Methods for Efficacy Analyses
This section describes the statistical methods that address the primary and secondary 
objectives.  Methods related to exploratory objectives and exploratory endpoints will be 
described in the supplemental statistical analysis plan (sSAP), this includes the ePRO data 
described in 7.1.2.9.
In addition, a separate SAP will describe the analysis of 
Pharmacokinetic (PK) data described in Section 7.1.3.2 
Efficacy results that will be deemed to be statistically significant after consideration of the 
Type I error control strategy are described in Section 8.8, Multiplicity and Section 8.7 
Interim Analysis. Nominal p-values will be provided for other efficacy analyses, but should 
be interpreted with caution due to potential issues of multiplicity.
Progression-free Survival (PFS)
The non-parametric Kaplan-Meier method will be used to estimate the PFS curve in each 
treatment group. The treatment difference in PFS will be assessed by the stratified log-rank 
test. A stratified Cox proportional hazards model with Efron's method of tie handling will be 
used to assess the magnitude of the treatment difference (ie, hazard ratio) between the 
treatment arms. The hazard ratio and its 95% confidence interval from the stratified Cox 
model with Efron's method of tie handling and with a single treatment covariate will be 
reported. Disease status and number of previous treatments will be used as the stratification 
factors in both the stratified log-rank test and the stratified Cox model.  
Since disease progression is assessed periodically, PD can occur any time in the time interval 
between the last assessment where PD was not documented and the assessment when PD is 
documented. For the primary analysis, for the subjects who have PD, the true date of disease 
progression will be approximated by the date of the first assessment at which PD is 
objectively documented per IMWG 2011, regardless of discontinuation of study drug. Death 
is always considered as a confirmed PD event. Subjects without documented PD/death will 
be censored at the last disease assessment date.  
In order to evaluate the robustness of the primary endpoint PFS per IMWG 2011 criteria by 
CAC blinded central review, two sensitivity analyses will be performed with a different set 
of censoring rules. The first sensitivity analysis is the same as the primary analysis except 
that it censors at the last disease assessment without PD when PD or death is documented 
after more than one missed disease assessment. The second sensitivity analysis is the same as 
the primary analysis except that it considers discontinuation of treatment or initiation of an 
anticancer treatment subsequent to discontinuation of study-specified treatments, whichever 
occurs later, to be a PD event for subjects without documented PD or death. The censoring 
rules for primary and sensitivity analyses are summarized in Table 14 below. In case there is 
an imbalance between the treatment groups on disease assessment schedules or censoring 
patterns, additional PFS sensitivity analyses may be performed: 1. A PFS analysis using time 
to scheduled disease assessment visit from randomization as opposed to actual disease 
assessment time and 2) Finkelstein (1986)’s likelihood-based score test [55] for interval-
censored data, which modifies the Cox proportional hazards model for interval censored data, 
will be used as a supportive analysis for the PFS endpoint. The interval will be constructed so 
 
 
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that the left endpoint is the date of the last disease assessment without documented PD and 
the right endpoint is the date of documented PD or death, whichever occurs earlier.
Table 14
Censoring rules for Primary and Sensitivity Analyses of PFS
Situation
Primary Analysis
Sensitivity
Analysis 1
Sensitivity
Analysis 2
No PD and no 
death; new 
anticancer 
treatment is not 
initiated
Censored at last 
disease assessment 
Censored at last 
disease assessment 
Censored at last 
disease assessment if 
still on study therapy; 
progressed at 
treatment 
discontinuation 
otherwise
No PD and no 
death; new 
anticancer 
treatment is 
initiated
Censored at last 
disease assessment 
before new 
anticancer treatment
Censored at last 
disease assessment 
before new 
anticancer treatment
Progressed at date of 
new anticancer 
treatment
PD or death 
documented after 
≤ 1 missed disease 
assessment
Progressed at date of 
documented PD or 
death
Progressed at date 
of documented PD 
or death
Progressed at date of 
documented PD or 
death
PD or death 
documented after 
≥ 2 missed disease 
assessments
Progressed at date of 
documented PD or 
death
Censored at last 
disease assessment 
prior to the  ≥ 2 
missed disease 
assessment
Progressed at date of 
documented PD or 
death
The proportional hazards assumption of the Cox model will be examined using both 
graphical and analytical methods for the PFS analysis. The log[-log] of the survival function 
vs. time for PFS will be plotted for each treatment arm. If the curves are not parallel, 
indicating that hazards are not proportional, supportive analyses may be conducted to 
account for the possible non-proportional hazards effect associated with immunotherapies, 
for example, using Restricted Mean Survival Time (RMST) method [56], parametric method 
[57] etc. Details will be described in supplemental SAP.
Overall Survival (OS)
The non-parametric Kaplan-Meier method will be used to estimate the survival curves. The 
treatment difference in survival will be assessed by the stratified log-rank test. A stratified 
Cox proportional hazards model with Efron's method of tie handling will be used to assess 
the magnitude of the treatment difference (ie, the hazard ratio). The hazard ratio and its 95% 
confidence interval from the stratified Cox model with a single treatment covariate will be 
reported. Disease status and number of prior treatments will be used as the stratification 
factors in both the stratified log-rank test and the stratified Cox model.  
 
 
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Exploratory analyses to adjust for the effect of subsequent lines of therapy on OS may be 
performed based on recognized methods, eg, the Rank Preserving Structural Failure Time 
(RPSFT) model proposed by Robins and Tsiatis (1989) [58], two stage model, etc. The 
choice of the method will be based on an examination of the appropriateness of the data to 
the assumptions required by the method. Other sensitivity analyses described for the PFS 
endpoint will be applied to OS endpoint as appropriate. Further details of sensitivity analyses 
will be described in supplemental SAP.
Overall Response Rate (ORR)
The stratified Miettinen and Nurminen’s method based on sample size weighting will be used 
for comparison of the ORR between the treatment groups. A 95% confidence interval for the 
difference in response rates between the active arms and the standard therapy arm will be 
provided. Disease status and number of prior treatments will be used as the stratification 
factors in the analysis.  
Duration of Response (DOR)
If sample size permits, response duration will be summarized descriptively using Kaplan-
Meier medians and quartiles, results permitting.  Only the subset of subjects who show at 
least a partial response will be included in this analysis. Additional details on the censoring 
rules for DOR will be provided in the supplemental SAP.
Disease Control Rate (DCR)
The stratified Miettinen and Nurminen will be used for comparison of the DCR between the 
treatment groups, using sample size weighting. A 95% confidence interval for the difference 
in disease control rates between the active arms and the standard therapy arm will be 
provided. Disease status and number of prior treatments will be used as the stratification 
factors in the analysis.
Second Progression-free Survival (PFS2)
The non-parametric Kaplan-Meier method will be used to estimate the PFS2 curves. The 
treatment difference in PFS2 will be assessed by the stratified log-rank test. A stratified Cox 
proportional hazards model with Efron's method of tie handling will be used to assess the 
magnitude of the treatment difference (ie, the hazard ratio). The hazard ratio and its 95% 
confidence interval from the stratified Cox model with a single treatment covariate will be 
reported. Disease status and number of prior treatments will be used as the stratification 
factors in both the stratified log-rank test and the stratified Cox model.  Further details of 
PFS2 analyses will be described in supplemental SAP.
Table 15 summarizes the primary analysis approach for primary and secondary efficacy 
endpoints.  Sensitivity analysis methods are described above for each endpoint.
 
 
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Table 15
Analysis Strategy for Key Efficacy Endpoints
Endpoint/Variable
(Description, Time 
Point)
Statistical Method†
Analysis 
Population
Missing Data Approach
Primary Endpoint
PFS per IMWG 
2011 by CAC 
blinded central
review
Testing: Stratified 
Log-rank test. 
Estimation: 
Stratified Cox 
model with Efron's 
tie handling method 
ITT
Primary censoring rule 
Sensitivity analysis 1
Sensitivity analysis 2 (More 
details in Table 14)
OS
Testing: Stratified 
Log-rank test
Estimation: 
Stratified Cox 
model with Efron's 
tie handling method
ITT
Censored at last date known 
alive
Secondary endpoints
ORR
per IMWG 2011
by CAC blinded 
central review
Stratified Miettinen 
and Nurminen 
method
ITT
Subjects with missing data are 
considered non-responders
DOR
per IMWG 2011
by CAC blinded
central review 
Summary statistics 
using Kaplan-Meier 
method
All 
responders 
in ITT
Censored at last assessment date 
if responding at the time of 
analysis
DCR
per IMWG 2011
by CAC blinded
central review 
Stratified Miettinen 
and Nurminen 
method
ITT
Subjects with missing data are 
considered as disease not under
control
PFS2
    per investigator
assessment 
Testing: Stratified 
Log-rank test. 
Estimation: 
Stratified Cox 
model with Efron's 
tie handling method 
ITT
Details to be provided in sSAP
† Statistical models are described in further detail in the text. Disease status and lines of prior 
treatments will be used as the stratification factors in the stratified log-rank test, stratified 
Miettinen and Nurminen’s test and the stratified Cox model.
Statistical Methods for Safety Analyses
Safety and tolerability will be assessed by clinical review of all relevant parameters including 
adverse experiences (AEs), laboratory tests, vital signs, etc.
The analysis of safety results will follow a tiered approach (Table 16).  The tiers differ with 
respect to the analyses that will be performed.  “Tier 1” safety endpoints are those that will
be subject to inferential testing for statistical significance with p -values and 95%
confidence intervals provided for between-group comparisons. For this protocol, there are 
no Tier 1 events.  Tier 2 parameters will be assessed via point estimates with 95% 
 
 
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confidence intervals provided for between-group comparisons; only point estimates by 
treatment group are provided for Tier 3 safety parameters.
Adverse experiences (specific terms as well as system organ class terms) that are not
pre-specified as Tier-1 endpoints will be classified as belonging to "Tier 2" or "Tier 3",
based on the number of event s observed. Membership in Tier 2 requires that at least 4
subjects in any treatment group exhibit the event; all other adverse experiences and
predefined limits of change will belong to Tier 3.
The threshold of at least 4 events was chosen because the 95% confidence interval for
the between-group difference in percent incidence will always include zero when treatment 
groups of equal size each have less than 4 events and thus would add little to the 
interpretation of potentially meaningful differences.
Because many 95% confidence
intervals may be provided without adjustment for multiplicity, the confidence intervals
should be regarded as a helpful descriptive measure to be used in review, not a formal
method for assessing the statistical significance of the between-group differences in
adverse experiences and predefined limits of change.
Continuous measures such as changes from baseline in laboratory, vital signs, that are
not pre-specified
as
Tier-1
endpoints
will
be
considered
Tier
3
safety
parameters. Summary statistics for baseline, on-treatment, and change from baseline values 
will be provided by treatment group in table format.
In addition, the broad clinical and laboratory AE categories consisting of the percentage of
subjects with any AE, any drug related AE, any Grade 3-5 AE, any serious AE, any AE
which is both drug-related and Grade 3-5, any AE which is both serious and drug-related,
dose modification due to AE, and who discontinued due to an AE, and death will be 
considered Tier 2 endpoints. 95% confidence intervals (Tier 2) will be provided for 
between- treatment differences in the percentage of subjects with events; these analyses will 
be performed using the Miettinen and Nurminen method (1985), an unconditional, 
asymptotic method.
To properly account for the potential difference in follow-up time between the study arms, 
which is expected to be longer in the pembrolizumab containing arms, AE incidence density 
adjusted for treatment exposure analyses may be performed as appropriate. 
Based on 
emerging external data, the supportive analysis strategy for safety parameters may be 
modified to improve the integrity and efficiency of the design. Should this happen, the 
change will be documented in supplemental SAP, if not in a protocol amendment, at the 
earliest time before any unblinding of the data.  
 
 
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Table 16
Analysis Strategy for Safety Parameters
Safety Tier
Safety Endpoint
95% CI for 
Treatment 
Comparison
Descriptive 
Statistics
Tier 2
Any AE
X
X
Any Grade 3-5 AE
X
X
Any Serious AE 
X
X
Any Drug-Related AE
X
X
Any Serious and Drug-Related AE
X
X
Any Grade3-5 and Drug-Related AE
X
X
Dose Modification due to AE
X
X
Discontinuation due to AE
X
X
Death
X
X
Specific AEs, SOCs (including ≥4 of subjects 
in one of the treatment groups)
X
X
Tier 3
Specific AEs, SOCs (incidence <4 of subjects 
in all of the treatment groups)
X
Change from Baseline Results (Labs, ECGs, 
Vital Signs)
X
Time to Grade 3-5 AE
In addition to tiered approach, exploratory analysis will be performed on time to first Grade 
3-5 AE. Time to first Grade 3-5 AE is defined as the time from the first day of study drug to 
the first event of Grade 3-5 AE. The Kaplan-Meier method will be used to estimate the curve 
of time to first Grade 3-5 AE.  The treatment difference in time to first Grade 3-5 AE will be 
assessed by the unstratified log-rank test.  An unstratified Cox proportional hazards model 
with Efron's method of tie handling will be used to assess the magnitude of the treatment 
difference (ie, the hazard ratio).  The hazard ratio and its 95% confidence interval from the 
unstratified Cox model with a single treatment covariate will be reported. More details will 
be described in supplemental SAP.
Summaries of Baseline Characteristics, Demographics, and Other Analyses
8.6.3.1
Demographic and Baseline Characteristics
The comparability of the treatment groups for each relevant characteristic will be assessed by 
the use of tables and/or graphs. No statistical hypothesis tests will be performed on these 
characteristics. The number and percentage of subjects randomized, and the primary reason 
for discontinuation will be displayed. Demographic variables (such as age) and baseline 
characteristics will be summarized by treatment either by descriptive statistics or categorical 
tables. 
 
 
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INTERIM ANALYSES
Efficacy Interim Analyses
There are two planned interim analyses (IA) for this study. The trial will continue 
irrespective of the outcome of the two interim analyses. Results will be reviewed by an 
eDMC.
IA1, which is the final analysis of ORR, will be performed after approximately the first 210 
randomized subjects (~70% of the ITT population) are followed for two cycles of treatment 
or have discontinued earlier.
IA2, which is final PFS analysis and interim OS analysis, will be performed when all 
subjects are enrolled, and approximately 236 PFS events are observed. 
For the hypothesis of OS, a Hwang-Shih-DeCani alpha-spending function with gamma 
parameter (-6), is used to construct group sequential boundaries to control the type I error 
rate. The actual boundaries will be determined from the number of deaths observed at the 
time of the interim analysis for the specified analysis using the alpha-spending function. The 
Hwang-Shih-DeCani alpha spending function, based on the gamma parameter selected (-6), 
is more conservative than the O’Brien-Fleming bound recommended by the FDA.
Table 17 summarizes the timing, number of events and decision guidance for the PFS, OS 
and ORR analyses. The actual boundaries and the alpha level will be determined from the 
actual number of events observed at the time of the interim analysis using the corresponding 
alpha-spending function as well as the results of the ORR and PFS analyses (see Section 8.8).
 
 
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Table 17
Decision Guidance at Each Efficacy Analysis
Analysis
Timing/Criteria for 
Conduct of Analysis
Testing
Value
Efficacy*
IA1 : ORR
~ 12 months after trial 
starts  (~ 210 subjects 
randomized + 2 
months) 
ORR (Superiority): 
pembrolizumab in 
combination with 
SOC vs. SOC
ORR ∆ bound†
p-value (1-sided)
~ 17%
≤0.005
IA2:  PFS analysis / 
Interim OS analysis
~ 20  months after trial 
starts  (all subjects 
randomized and ~ 236 
PFS events are 
observed)
OS Events
(anticipated): ~ 124
PFS (Superiority): 
pembrolizumab in 
combination with 
SOC vs. SOC
~ HR at bound
p-value (1-sided)
0.75
≤0.015
OS (Superiority): 
pembrolizumab in 
combination with 
SOC vs. SOC
~ HR at bound
p-value (1-sided)
0.57
≤0.0007
Final OS analysis
~ 10  months after PFS 
analysis or ~ 182 OS 
events are observed,
whichever comes first
OS (Superiority): 
pembrolizumab in  
combination with 
SOC vs. SOC
~ HR at bound
p-value (1-sided)
0.68
≤0.0048
*Values for PFS/OS assume that ORR/PFS are negative; actual values will depend on whether or not null hypotheses 
for ORR and PFS are rejected (see Section 8.8).
†∆ = ORR in pembrolizumab group + SOC – ORR in SOC group, assuming ORR in SOC group is ~ 30%.
Multiplicity
The multiplicity strategy specified in this section will be applied to the primary hypotheses 
(PFS and OS) and the secondary hypothesis (ORR) to control the overall Type-I error at 
2.5% (one-sided). The graphical approach of Maurer and Bretz [59] is followed. Figure 3
provides the multiplicity strategy diagram of the trial. In this approach, when a particular null 
hypothesis is rejected, the arrow(s) leading to it are removed, and the Type I error allocated 
to the null hypothesis that was rejected is re-distributed to the other hypotheses. The arrows 
on the diagram show how the Type I error allocated to a hypothesis that was successfully 
tested will be re-distributed for the testing of the other hypotheses.  
For the hypothesis of OS, a Hwang-Shih-DeCani alpha-spending function with gamma 
parameter (-6), is used to construct group sequential boundaries to control the type I error 
rate.
 
 
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Figure 3
Multiplicity Strategy
Sample Size and Power Calculations
The study will randomize approximately 300 subjects in a 1:1 ratio among the two treatment 
arms: pembrolizumab in combination with SOC (combination therapy), and SOC (control).
With ~ 210 subjects at IA1, the study has ~ 88.7% power for detecting a 25% difference in 
ORR (55% vs. 30%) at 0.5% level of significance (one-sided).
IA2, the final PFS analysis of the study will be performed after approximately 236 PFS 
events have been observed, and this will occur ~20 months after the first subject is enrolled. 
The final OS analysis of the study will be performed 10 months after the PFS analysis or 
after 182 deaths have been observed in the trial, whichever comes first. 
For the primary endpoint PFS, the study has ~90.6% power to detect a hazard ratio of 0.635 
(pembrolizumab in combination with SOC vs. SOC) at alpha = 1.5% (one-sided).  The 
sample size calculation is based on the following assumptions: 1) progression-free survival 
follows an exponential distribution with a median of 4 months in the control arm (Arm B), 
2) an enrollment period of 14 months and at least 6 months follow-up, 3) a yearly dropout 
rate of 5% and 4) ORR is negative.
For the primary endpoint OS, the study has ~80.5% power to detect a hazard ratio of 0.600 
(pembrolizumab in combination with SOC vs. SOC) at alpha = 0.5% (one-sided).  These 
calculations are based on the following assumptions: 1) OS follows an exponential 
distribution with a median of 12.7 months in the control arm (Arm B), 2) an enrollment 
period of 14 months and at least 16 months follow-up, 3) a yearly dropout rate of 2% and 4) 
PFS is negative.  
The assumed median PFS and OS in the control arm (Arm B) are observed for standard of 
care in treatment of refractory or relapsed multiple myeloma [46]
The sample size and power calculations were performed in the software EAST 6. 
 
 
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Subgroup Analyses and Effect of Baseline Factors
To determine whether the treatment effect is consistent across various subgroups, the 
estimate of the between-group treatment effect (with a nominal 95% CI) for the primary 
endpoint will be estimated and plotted within each category of the following classification 
variables:

Stratification factors

Disease status (refractory vs. sensitive to lenalidomide).

Number of prior therapies (2 vs. three or more)

Sex (female vs. male)

ECOG status (0 vs. 1)

Geographic region 

Race (White vs. Non White)

Age (< 75 vs. ≥ 75 years)
COMPLIANCE (MEDICATION ADHERENCE)
Drug accountability data for trial treatment will be collected during the study. Any deviation 
from protocol-directed administration will be reported.
EXTENT OF EXPOSURE
The extent of exposure will be summarized as duration of treatment in cycles.
9.0 LABELING, PACKAGING,
STORAGE AND RETURN OF CLINICAL 
SUPPLIES
Investigational Product
The investigator shall take responsibility for and shall take all steps to maintain appropriate 
records and ensure appropriate supply, storage, handling, distribution and usage of 
investigational product in accordance with the protocol and any applicable laws and 
regulations.
Clinical Supplies will be provided by the Sponsor as summarized in Table 18.
Clinical supplies will be packaged to support enrollment and replacement subjects as 
required.  When a replacement subject is required, the Sponsor or designee needs to be 
contacted prior to dosing the replacement supplies.
 
 
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Table 18
Product Descriptions
Product Name & 
Potency
Dosage Form
Source/Additional Information
MK-3475 100 mg/4 mL
Solution for Injection
Provided 
centrally 
by 
the 
Sponsor.
Pomalidomide
Hard capsule
Provided centrally by the Sponsor 
except in specific countries where 
commercial 
product 
may 
be 
sourced locally.
Dexamethasone
Tablet
Provided centrally by the Sponsor 
except in specific countries where 
commercial 
product 
may 
be 
sourced locally.
All other supplies not indicated in Table 18 above will be provided centrally by the Sponsor 
or locally by the trial site, subsidiary or designee, depending on local country operational or 
regulatory requirements.
For any commercially available product that is provided by the trial site, subsidiary or 
designee every attempt will be made to source these supplies from a single lot/batch number.
The trial site is responsible to record the lot number, manufacturer and expiry date for any 
locally purchased product as per local guidelines unless otherwise instructed by the Sponsor.
Packaging and Labeling Information
Clinical supplies will be affixed with a clinical label in accordance with regulatory 
requirements.
Subjects will receive open label vials as required to support treatment.  No kitting is required.
Clinical Supplies Disclosure
This trial is open-label; therefore, the subject, the trial site personnel, the Sponsor and/or 
designee are not blinded. Treatment (name, strength or potency) is included in the label text; 
random code/disclosure envelopes or lists are not provided.
Storage and Handling Requirements
Clinical supplies must be stored in a secure, limited-access location under the storage 
conditions specified on the label.  
Receipt and dispensing of trial medication must be recorded by an authorized person at the 
trial site.
Clinical supplies may not be used for any purpose other than that stated in the protocol.
 
 
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Discard/Destruction/Returns and Reconciliation
The investigator is responsible for keeping accurate records of the clinical supplies received 
from the Sponsor or designee, the amount dispensed to and returned by the subjects and the 
amount remaining at the conclusion of the trial. For all trial sites, the local country Sponsor 
personnel or designee will provide appropriate documentation that must be completed for 
drug accountability and return, or local discard and destruction if appropriate.   Where local 
discard and destruction is appropriate, the investigator is responsible for ensuring that a local 
discard/destruction procedure is documented.
Standard Policies
Trial 
site 
personnel 
will 
have 
access 
to 
a 
central 
electronic 
treatment 
allocation/randomization system (IVRS/IWRS system) to allocate subjects, to assign 
treatment to subjects and to manage the distribution of clinical supplies. Each person 
accessing the IVRS system must be assigned an individual unique PIN.  They must use only 
their assigned PIN to access the system, and they must not share their assigned PIN with 
anyone.
10.0 ADMINISTRATIVE AND REGULATORY DETAILS
Confidentiality
Confidentiality of Data
By signing this protocol, the investigator affirms to the Sponsor that information furnished to 
the investigator by the Sponsor will be maintained in confidence, and such information will 
be divulged to the institutional review board, ethics review committee (IRB/ERC) or similar 
or expert committee; affiliated institution and employees, only under an appropriate 
understanding of confidentiality with such board or committee, affiliated institution and 
employees.  Data generated by this trial will be considered confidential by the investigator, 
except to the extent that it is included in a publication as provided in the Publications section 
of this protocol.
Confidentiality of Subject Records
By signing this protocol, the investigator agrees that the Sponsor (or Sponsor representative), 
IRB/ERC, or regulatory authority representatives may consult and/or copy trial documents in 
order to verify worksheet/case report form data.  By signing the consent form, the subject 
agrees to this process.  If trial documents will be photocopied during the process of verifying 
worksheet/case report form information, the subject will be identified by unique code only; 
full names/initials will be masked prior to transmission to the Sponsor.
By signing this protocol, the investigator agrees to treat all subject data used and disclosed in 
connection with this trial in accordance with all applicable privacy laws, rules and 
regulations.
 
 
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Confidentiality of Investigator Information
By signing this protocol, the investigator recognizes that certain personal identifying 
information with respect to the investigator, and all subinvestigators and trial site personnel, 
may be used and disclosed for trial management purposes, as part of a regulatory 
submissions, and as required by law.  This information may include:
1. name, address, telephone number and e-mail address;
2. hospital or clinic address and telephone number;
3. curriculum vitae or other summary of qualifications and credentials; and
4. other professional documentation.
Consistent with the purposes described above, this information may be transmitted to the 
Sponsor, and subsidiaries, affiliates and agents of the Sponsor, in your country and other 
countries, including countries that do not have laws protecting such information.  
Additionally, the investigator’s name and business contact information may be included 
when reporting certain serious adverse events to regulatory authorities or to other 
investigators.  By signing this protocol, the investigator expressly consents to these uses and 
disclosures.
If this is a multicenter trial, in order to facilitate contact between investigators, the Sponsor 
may share an investigator’s name and contact information with other participating 
investigators upon request.
Confidentiality of IRB/IEC Information
The Sponsor is required to record the name and address of each IRB/IEC member that 
reviews and approves this trial.  The Sponsor is also required to document that each IRB/IEC 
meets regulatory and ICH GCP requirements by requesting and maintaining records of the 
names and qualifications of the IRB/IEC members and to make these records available for 
regulatory agency review upon request by those agencies.
Compliance with Financial Disclosure Requirements
Financial Disclosure requirements are outlined in the US Food and Drug Administration 
Regulations, Financial Disclosure by Clinical Investigators (21 CFR Part 54).  It is the 
Sponsor's responsibility to determine, based on these regulations, whether a request for 
Financial Disclosure information is required.  It is the investigator's/subinvestigator's 
responsibility to comply with any such request.  
The investigator/subinvestigator(s) agree, if requested by the Sponsor in accordance with 21 
CFR Part 54, to provide his/her financial interests in and/or arrangements with the Sponsor to 
allow for the submission of complete and accurate certification and disclosure statements.  
The investigator/subinvestigator(s) further agree to provide this information on a 
Certification/Disclosure Form, commonly known as a financial disclosure form, provided by 
the Sponsor. The investigator/subinvestigator(s) also consent to the transmission of this 
information to the Sponsor in the United States for these purposes.  This may involve the 
transmission of information to countries that do not have laws protecting personal data.
 
 
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Compliance with Law, Audit and Debarment
By signing this protocol, the investigator agrees to conduct the trial in an efficient and 
diligent manner and in conformance with this protocol; generally accepted standards of Good 
Clinical Practice (e.g., International Conference on Harmonization of Technical 
Requirements for Registration of Pharmaceuticals for Human Use Good Clinical Practice: 
Consolidated Guideline and other generally accepted standards of good clinical practice); and 
all applicable federal, state and local laws, rules and regulations relating to the conduct of the 
clinical trial.
The Code of Conduct, a collection of goals and considerations that govern the ethical and 
scientific conduct of clinical investigations sponsored by Merck, is provided in Section 12.1 -
Merck Code of Conduct for Clinical Trials.
The investigator also agrees to allow monitoring, audits, IRB/ERC review and regulatory 
authority inspection of trial-related documents and procedures and provide for direct access 
to all trial-related source data and documents.
The investigator agrees not to seek reimbursement from subjects, their insurance providers or 
from government programs for procedures included as part of the trial reimbursed to the 
investigator by the Sponsor.
The investigator shall prepare and maintain complete and accurate trial documentation in 
compliance with Good Clinical Practice standards and applicable federal, state and local 
laws, rules and regulations; and, for each subject participating in the trial, provide all data, 
and, upon completion or termination of the clinical trial, submit any other reports to the 
Sponsor as required by this protocol or as otherwise required pursuant to any agreement with 
the Sponsor.
Trial documentation will be promptly and fully disclosed to the Sponsor by the investigator 
upon request and also shall be made available at the trial site upon request for inspection, 
copying, review and audit at reasonable times by representatives of the Sponsor or any 
regulatory authorities.  The investigator agrees to promptly take any reasonable steps that are 
requested by the Sponsor as a result of an audit to cure deficiencies in the trial documentation 
and worksheets/case report forms.
The investigator must maintain copies of all documentation and records relating to the 
conduct of the trial in compliance with all applicable legal and regulatory requirements.  This 
documentation includes, but is not limited to, the protocol, worksheets/case report forms, 
advertising for subject participation, adverse event reports, subject source data, 
correspondence with regulatory authorities and IRBs/ERCs, consent forms, investigator’s 
curricula vitae, monitor visit logs, laboratory reference ranges, laboratory certification or 
quality control procedures and laboratory director curriculum vitae.  By signing this protocol, 
the investigator agrees that documentation shall be retained until at least 2 years after the last 
approval of a marketing application in an ICH region or until there are no pending or 
contemplated marketing applications in an ICH region or until at least 2 years have elapsed 
since the formal discontinuation of clinical development of the investigational product.  
Because the clinical development and marketing application process is variable, it is 
anticipated that the retention period can be up to 15 years or longer after protocol database 
lock. The Sponsor will determine the minimum retention period and notify the investigator 
 
 
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when documents may be destroyed.  The Sponsor will determine the minimum retention 
period and upon request, will provide guidance to the investigator when documents no longer 
need to be retained.  The sponsor also recognizes that documents may need to be retained for 
a longer period if required by local regulatory requirements. All trial documents shall be 
made available if required by relevant regulatory authorities. The investigator must consult 
with and obtain written approval by the Sponsor prior to destroying trial and/or subject files.  
ICH Good Clinical Practice guidelines recommend that the investigator inform the subject’s 
primary physician about the subject’s participation in the trial if the subject has a primary 
physician and if the subject agrees to the primary physician being informed.
The investigator will promptly inform the Sponsor of any regulatory authority inspection 
conducted for this trial.
Persons debarred from conducting or working on clinical trials by any court or regulatory 
authority will not be allowed to conduct or work on this Sponsor’s trials.  The investigator 
will immediately disclose in writing to the Sponsor if any person who is involved in 
conducting the trial is debarred or if any proceeding for debarment is pending or, to the best 
of the investigator’s knowledge, threatened.
In the event the Sponsor prematurely terminates a particular trial site, the Sponsor will 
promptly notify that trial site’s IRB/IEC.
According to European legislation, a Sponsor must designate an overall coordinating 
investigator for a multi-center trial (including multinational).  When more than one trial site 
is open in an EU country, Merck, as the Sponsor, will designate, per country, a national 
principal coordinator (Protocol CI), responsible for coordinating the work of the principal 
investigators at the different trial sites in that Member State, according to national 
regulations.  For a single-center trial, the Protocol CI is the principal investigator.  In 
addition, the Sponsor must designate a principal or coordinating investigator to review the 
trial report that summarizes the trial results and confirm that, to the best of his/her 
knowledge, the report accurately describes the conduct and results of the trial [Clinical Study 
Report (CSR) CI].  The Sponsor may consider one or more factors in the selection of the 
individual to serve as the Protocol CI and or CSR CI (e.g., availability of the CI during the 
anticipated review process, thorough understanding of clinical trial methods, appropriate 
enrollment of subject cohort, timely achievement of trial milestones).  The Protocol CI must 
be a participating trial investigator.
Compliance with Trial Registration and Results Posting Requirements
Under the terms of the Food and Drug Administration Amendments Act (FDAAA) of 2007, 
and the European Medicines Agency (EMA) clinical trial Directive 2001/20/EC, the Sponsor 
of the trial is solely responsible for determining whether the trial and its results are subject to 
the requirements for submission to http://www.clinicaltrials.gov, www.clinicaltrialregister.eu
or other local registries. Merck, as Sponsor of this trial, will review this protocol and submit 
the information necessary to fulfill these requirements. Merck entries are not limited to 
FDAAA or the EMA clinical trials directive mandated trials. Information posted will allow 
subjects to identify potentially appropriate trials for their disease conditions and pursue 
 
 
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participation by calling a central contact number for further information on appropriate trial 
locations and trial site contact information.   
By signing this protocol, the investigator acknowledges that the statutory obligations under 
FDAAA, the EMA clinical trials directive or other locally mandated registries are that of the 
Sponsor and agrees not to submit any information about this trial or its results to those 
registries.
Quality Management System
By signing this protocol, the Sponsor agrees to be responsible for implementing and 
maintaining a quality management system with written development procedures and 
functional area standard operating procedures (SOPs) to ensure that trials are conducted and 
data are generated, documented, and reported in compliance with the protocol, accepted 
standards of Good Clinical Practice, and all applicable federal, state, and local laws, rules and 
regulations relating to the conduct of the clinical trial.
Data Management
The investigator or qualified designee is responsible for recording and verifying the accuracy 
of subject data.  By signing this protocol, the investigator acknowledges that his/her 
electronic signature is the legally binding equivalent of a written signature.  By entering 
his/her electronic signature, the investigator confirms that all recorded data have been 
verified as accurate.
Detailed information regarding Data Management procedures for this protocol will be 
provided separately.
Publications
This trial is intended for publication, even if terminated prematurely. Publication may include 
any or all of the following: posting of a synopsis online, abstract and/or presentation at a 
scientific conference, or publication of a full manuscript.  The Sponsor will work with the 
authors to submit a manuscript describing trial results within 12 months after the last data 
become available, which may take up to several months after the last subject visit in some 
cases such as vaccine trials.  However, manuscript submission timelines may be extended on 
OTC trials.  For trials intended for pediatric-related regulatory filings, the investigator agrees 
to delay publication of the trial results until the Sponsor notifies the investigator that all 
relevant regulatory authority decisions on the trial drug have been made with regard to 
pediatric-related regulatory filings. Merck will post a synopsis of trial results for approved 
products on www.clinicaltrials.gov by 12 months after the last subject's last visit for the 
primary outcome, 12 months after the decision to discontinue development, or product 
marketing (dispensed, administered, delivered or promoted), whichever is later.
These timelines may be extended for products that are not yet marketed, if additional time is 
needed for analysis, to protect intellectual property, or to comply with confidentiality 
agreements with other parties.  Authors of the primary results manuscript will be provided 
the complete results from the Clinical Study Report, subject to the confidentiality agreement. 
When a manuscript is submitted to a biomedical journal, the Sponsor's policy is to also 
 
 
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include the protocol and statistical analysis plan to facilitate the peer and editorial review of 
the manuscript.  If the manuscript is subsequently accepted for publication, the Sponsor will 
allow the journal, if it so desires, to post on its website the key sections of the protocol that 
are relevant to evaluating the trial, specifically those sections describing the trial objectives 
and hypotheses, the subject inclusion and exclusion criteria, the trial design and procedures, 
the efficacy and safety measures, the statistical analysis plan, and any amendments relating to 
those sections.  The Sponsor reserves the right to redact proprietary information.
For multicenter trials, subsequent to the multicenter publication (or after public disclosure of 
the results online at www.clinicaltrials.gov if a multicenter manuscript is not planned), an 
investigator and his/her colleagues may publish their data independently.  In most cases, 
publication of individual trial site data does not add value to complete multicenter results, 
due to statistical concerns.  In rare cases, publication of single trial site data prior to the main 
paper may be of value.  Limitations of single trial site observations in a multicenter trial 
should always be described in such a manuscript.
Authorship credit should be based on 1) substantial contributions to conception and design, 
or acquisition of data, or analysis and interpretation of data; 2) drafting the article or revising 
it critically for important intellectual content; and 3) final approval of the version to be 
published. Authors must meet conditions 1, 2 and 3.  Significant contributions to trial 
execution may also be taken into account to determine authorship, provided that 
contributions have also been made to all three of the preceding authorship criteria.  Although 
publication planning may begin before conducting the trial, final decisions on authorship and 
the order of authors’ names will be made based on participation and actual contributions to 
the trial and writing, as discussed above. The first author is responsible for defending the 
integrity of the data, method(s) of data analysis and the scientific content of the manuscript.
The Sponsor must have the opportunity to review all proposed abstracts, manuscripts or 
presentations regarding this trial 45 days prior to submission for publication/presentation. 
Any information identified by the Sponsor as confidential must be deleted prior to 
submission; this confidentiality does not include efficacy and safety results. Sponsor review 
can be expedited to meet publication timelines.
11.0 LIST OF REFERENCES
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2. Blade J, Samson D, Reece D, et al. Criteria for evaluating disease response and 
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3. Disis ML.  Immune regulation of cancer. J Clin Oncol. 2010; 28(29):4531-8.
4. Dong H, Strome SE, Salomao DR, et al. Tumor-associated B7-H1 promotes T-cell 
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5. Sharpe AH, Freeman GJ. The B7-CD28 superfamily. Nature. 2002;2:116-26.
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7. Francisco LM, Sage PT, Sharpe AH. The PD-1 pathway in tolerance and 
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8. Thompson RH, Dong H, Lohse CM, et al. PD-1 expressed by tumor-infiltrating 
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intriguing player in the survival of colorectal cancer patients. BMC Immunol. 
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13. Diez M, Pollán M, Enriquez JM, et al. Histopathologic prognostic score in colorectal 
adenocarcinomas. Anticancer Res. 1998;18:689-94.
14. Galon J, Costes A, Sanchez-Cabo F, et al. Type, density, and location of immune 
cells within human colorectal tumors predict clinical outcome. Science. 
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15. Hiraoka N. Tumor-infiltrating lymphocytes and hepatocellular carcinoma: molecular 
biology. Int J Clin Oncol. 2010;15:544-51.
16. Nobili C, Degrate L, Caprotti R, et al. Prolonged survival of a patient affected by 
pancreatic adenocarcinoma with massive lymphocyte and dendritic cell infiltration 
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17. Hodi FS, Dranoff G. The biologic importance of tumor-infiltrating lymphocytes. J 
Cutan Pathol. 2010;37(Suppl 1):48-53.
18. Kloor M. Lymphocyte infiltration and prognosis in colorectal cancer. Lancet. 
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19. Hillen F, Baeten CIM, van de Winkel A, et al. Leukocyte infiltration and tumor cell 
plasticity are parameters of aggressiveness in primary cutaneous melanoma. Cancer 
Immunol Immunother. 2008;57:97-106.
20. Lee HE, Chae SW, Lee YJ, et al. Prognostic implications of type and density of 
tumour-infiltrating lymphocytes in gastric cancer. Br J Cancer. 2008;99(10):1704-
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21. Leffers N, Gooden MJM, de Jong RA, et al. Prognostic significance of tumor-
infiltrating T-lymphocytes in primary and metastatic lesions of advanced stage 
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positive selection in the thymus of PD-1-deficient mice. J Exp Med. 
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23. Liotta F, Gacci M, Frosali F, et al. Frequency of regulatory T cells in peripheral blood 
and in tumour-infiltrating lymphocytes correlates with poor prognosis in renal cell 
carcinoma. BJU Intern. 2010;107:1500-1506.
24. Ropponen KM, Eskelinen MJ, Lipponen PK, et al. Prognostic value of tumour-
infiltrating lynmphocytes (TILs) in colorectal cancer. J Pathol. 1997;182:318-324.
25. Dudley ME, Wunderlich JR, Yang JC, et al. Adoptive cell transfer therapy following 
non-myeloablative but lymphodepleting chemotherapy for the treatment of patients 
with refractory metastatic melanoma. J Clin Oncol. 2005;23(10):2346-2357.
26. Hunder NN, Wallen H, Cao J, et al. Treatment of metastatic melanoma with 
autologous CD4+ T cells against NY-ESO-1. N Engl J Med. 2008;358(25):2698-
2703.
27. Ölcher M, Braun M, Friedrichs N, et al. Foxp3+ cell infiltration and granzyme 
B+/Foxp3+ cell ratio are associated with outcome in neoadjuvant chemotherapy-
treated ovarian carcinoma. Cancer Immunol Immunother. 2010;59:909-919.
28. Okazaki T, Maeda A, Nishimura H, et al. PD-1 immunoreceptor inhibits B cell 
receptor-mediated signaling by recruiting src homology 2-domain-containing tyrosine 
phosphatase 2 to phosphotyrosine. PNAS. 2001;98(24):13866-13871.
29. Greenwald RJ, Freeman GJ, Sharpe AH. The B7 family revisited. Annu Rev 
Immunol. 2005;23:515-548.
30. Hamid O, Robert C, Daud A, et. al. Safety and tumor responses with lambrolizumab 
(anti-PD 1) in melanoma. N Engl J Med. 2013 Jul 11;369(2):134-44.
31. Kyle, R. A. & Rajkumar, S. V. Criteria for diagnosis, staging, risk stratification and 
response assessment of multiple myeloma. Leukemia 23, 3–9 (2009).
32. Siegel R.L, Miller K.D, Jemal A. Cancer statistics, 2015. CA Cancer J Clin 2015; 
65:5-29.
33. Howlade N, Noone A, Krapcho M, et al. SeerSEER Cancer Statistics Review, 1975–
2009 (Vintage 2009 Populations). Bethesda, MD: National Cancer Institute; 2012
34. Rajkumar S.V et al. International Myeloma Working Group updated criteria for the 
diagnosis of multiple myeloma. Lancet Oncol. 2014 Nov;15(12):e538-48..
35. Palumbo A. et al. International Myeloma Working Group consensus statement for the 
management, treatment, and supportive care of patients with myeloma not eligible for 
standard autologous stem-cell transplantation. J Clin Oncol. 2014 Feb 20;32(6):587-
600.
 
 
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36. Moreau P1, Attal M2, Facon T. Frontline therapy of multiple myeloma. Blood. 2015 
May 14;125(20):3076-3084. 
37. Moreau P1, Attal M2, Facon T. Frontline therapy of multiple myeloma. Blood. 2015 
May 14;125(20):3076-3084.
38. Kumar SK, Lee JH, Lahuerta JJ, Morgan G, Richardson PG, Crowley J et al. Risk of 
progression and survival in multiple myeloma relapsing after therapy with IMiDs and 
bortezomib: a multicenter international myeloma working group study. Leukemia 
2012; 26: 1153.
39. Petrucci MT, Giraldo P, Corradini P, et al. A prospective, international phase 2 study 
of bortezomib retreatment in patients with relapsed multiple myeloma. Br J Haematol 
2013;160:649-59
40. Meadows JP, Mark TM. Management of double refractory multiple myeloma. Curr 
Hematol Malig Rep. 2013 Dec;8(4):253-60. 
41. Offidani M, Corvatta L, Caraffa P, Leoni P, Pautasso C, Larocca A, Palumbo A. 
Pomalidomide for the treatment of relapsed-refractory multiple myeloma: a review of 
biological and clinical data. Expert Rev Anticancer Ther. 2014 May;14(5):499-510. 
42. U.S Food and Drug Administration (FDA). Drugs: Carfilzomib [Internet]. Silver 
Spring 
(MD): 
FDA; 
2012. 
Available 
from: 
http://www.fda.gov/drugs/informationondrugs/approveddrugs/ucm312945.htm.
43. Siegel DS, et all. A phase 2 study of single-agent carfilzomib (PX-171-003-A1) in 
patients with relapsed and refractory multiple myeloma. Blood. 2012 Oct 
4;120(14):2817-25.
44. U.S Food and Drug Administration (FDA). Drugs: Pomalidomide [Internet]. Silver 
Spring 
(MD): 
FDA; 
2013. 
Available 
from: 
http://www.fda.gov/drugs/informationondrugs/approveddrugs/ucm339286.htm.
45. Richardson PG et all. Pomalidomide alone or in combination with low-dose 
dexamethasone in relapsed and refractory multiple myeloma: a randomized phase 2 
study. Blood. 2014 Mar 20;123(12):1826-32. 
46. San Miguel J et all. Pomalidomide plus low-dose dexamethasone versus high-dose 
dexamethasone alone for patients with relapsed and refractory multiple myeloma 
(MM-003): a randomised, open-label, phase 3 trial. Lancet Oncol. 2013 
Oct;14(11):1055-66. 
47. Kearl TJ, Jing W, Gershan JA, Johnson BD. Programmed death receptor-
1/programmed death receptor ligand-1 blockade after transient lymphodepletion to 
treat myeloma. J Immunol 2013;190:5620-8.24, 25, 33, 41-45.
48. Rosenblatt J, Glotzbecker B, Mills H, Vasir B, Tzachanis D, Levine JD, et al. PD- 1 
blockade by CT-011, anti-PD-1 antibody, enhances ex vivo T-cell responses to 
autologous dendritic cell/myeloma fusion vaccine. J Immunother 2011;34:409-18
49. Liu et al.  Plasma cells from multiple myeloma patients express B7-H1 (PD-L1) and 
increase expression after stimulation with IFN-.
and TLR ligands via a MYD88-, 
TRAF6-, and MEK-dependent pathway.  Blood.  2007; 110:296-304.
 
 
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50. Iwai Y et al.  Involvement of PD-L1 on tumor cells in the escape from host immune 
system and tumor immunotherapy by PD-L1 blockade.  PNAS.  2002; 99:12293–
12297.
51. Gorgun G, Samur MK, Cowens KB, Paula S, Bianchi G, Anderson JE, White RE, 
Singh A, Ohguchi H, Suzuki R, Kikuchi S, Harada T, Hideshima T, Tai YT, Laubach 
JP, Raje NS, Magrangeas F, Minvielle S, Avet-Loiseau H, Munshi NC, Dorfman D, 
Richardson PG, Anderson KC. Lenalidomide Enhances Immune Checkpoint 
Blockade Induced Immune Response in Multiple Myeloma. Clin Cancer Res. 2015 
May 15.
52. Hallett WH, et al.  Immunosuppressive effects of multiple myeloma are overcome by 
PD-L1 blockade.  Biol Blood Marrow Transplant.  2011; 17:1133-1145.
53. Leblanc R et. al. Immunomodulatory drug costimulates T cells via the B7-CD28 
pathway.  Blood. 2004; 103:1787-1790.
54. Greipp PR, San Miguel J, Durie BG, Crowley JJ, Barlogie B, Bladé J, Boccadoro M, 
Child JA, Avet-Loiseau H, Kyle RA, Lahuerta JJ, Ludwig H, Morgan G, Powles R, 
Shimizu K, Shustik C, Sonneveld P, Tosi P, Turesson I, Westin J. International 
staging system for multiple myeloma . J Clin Oncol. 2005 May 20;23(15):3412-20.
55. Finkelstein DM (1986). A proportional hazards model for interval-censored failure 
time data. Biometrics 42, 845-54.
56. Uno, H., et al. Moving Beyond the Hazard Ratio in Quantifying the Between-Group 
Difference in Survival Analysis. J Clin Oncol. 2014; 32 (22): 2380-2385.
57. Odell P.M., Anderson K.M., Kannel BW. New models for predicting cardiovascular 
events. Journal of Clinical Epidemiology 1994; 47(6): 583-592.
58. Robins, J.M., Tsiatis, A.A. Correcting for non-compliance in randomized trials using 
rank preserving structural failure time models. Communications in Statistics-Theory 
and Methods, 1991; 20 (8): 2609-2631.
59. Maurer W and Bretz F. Multiple Testing in Group Sequential Trials using Graphical 
Approaches. Stat Biopharm Res. 2013; 5(4): 311-320.
 
 
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12.0 APPENDICES
Merck Code of Conduct for Clinical Trials
Merck*
Code of Conduct for Clinical Trials
I.
Introduction
A. Purpose
Merck, through its subsidiaries, conducts clinical trials worldwide to evaluate the safety and effectiveness of our 
products. As such, we are committed to designing, implementing, conducting, analyzing and reporting these trials in 
compliance with the highest ethical and scientific standards. Protection of subject safety is the overriding concern in 
the design of clinical trials. In all cases, Merck clinical trials will be conducted in compliance with local and/or 
national regulations and in accordance with the ethical principles that have their origin in the Declaration of Helsinki. 
B. Scope
Such standards shall be endorsed for all clinical interventional investigations sponsored by Merck irrespective of the 
party (parties) employed for their execution (e.g., contract research organizations, collaborative research efforts). This 
Code is not intended to apply to trials which are observational in nature, or which are retrospective. Further, this Code 
does not apply to investigator-initiated trials which are not under the control of Merck.
II. Scientific Issues
A. Trial Conduct
1. Trial Design
Except for pilot or estimation trials, clinical trial protocols will be hypothesis-driven to assess safety, efficacy 
and/or pharmacokinetic or pharmacodynamic indices of Merck or comparator products.  Alternatively, Merck may 
conduct outcomes research trials, trials to assess or validate various endpoint measures, or trials to determine 
subject preferences, etc.  
The design (i.e., subject population, duration, statistical power) must be adequate to address the specific purpose 
of the trial.  Research subjects must meet protocol entry criteria to be enrolled in the trial. 
2. Site Selection
Merck selects investigative sites based on medical expertise, access to appropriate subjects, adequacy of facilities 
and staff, previous performance in Merck trials, as well as budgetary considerations.  Prior to trial initiation, sites 
are evaluated by Merck personnel to assess the ability to successfully conduct the trial.
3. Site Monitoring/Scientific Integrity
Trial sites are monitored to assess compliance with the trial protocol and general principles of Good Clinical 
Practice.  Merck reviews clinical data for accuracy, completeness and consistency. Data are verified versus source 
documentation according to standard operating procedures.  Per Merck policies and procedures, if fraud, 
misconduct or serious GCP-non-Compliance are suspected, the issues are promptly investigated. When necessary, 
the clinical site will be closed, the responsible regulatory authorities and ethics review committees notified and 
data disclosed accordingly. 
B. Publication and Authorship
To the extent scientifically appropriate, Merck seeks to publish the results of trials it conducts.  Some early phase or 
pilot trials are intended to be hypothesis-generating rather than hypothesis testing.  In such cases, publication of 
results may not be appropriate since the trial may be underpowered and the analyses complicated by statistical issues 
of multiplicity.
Merck’s policy on authorship is consistent with the requirements outlined in the ICH-Good Clinical Practice 
guidelines. In summary, authorship should reflect significant contribution to the design and conduct of the trial, 
performance or interpretation of the analysis, and/or writing of the manuscript.  All named authors must be able to 
defend the trial results and conclusions.  Merck funding of a trial will be acknowledged in publications. 
 
 
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III. Subject Protection
A. IRB/ERC review
All clinical trials will be reviewed and approved by an independent IRB/ERC before being initiated at each site.  
Significant changes or revisions to the protocol will be approved by the IRB/ERC prior to implementation, except that 
changes required urgently to protect subject safety and well-being may be enacted in anticipation of IRB/ERC 
approval. For each site, the IRB/ERC and Merck will approve the subject informed consent form. 
B. Safety
The guiding principle in decision-making in clinical trials is that subject welfare is of primary importance.  Potential 
subjects will be informed of the risks and benefits of, as well as alternatives to, trial participation. At a minimum, trial 
designs will take into account the local standard of care.  Subjects are never denied access to appropriate medical care 
based on participation in a Merck clinical trial. 
All participation in Merck clinical trials is voluntary.  Subjects are enrolled only after providing informed consent for 
participation.  Subjects may withdraw from a Merck trial at any time, without any influence on their access to, or 
receipt of, medical care that may otherwise be available to them.
C. Confidentiality
Merck is committed to safeguarding subject confidentiality, to the greatest extent possible. Unless required by law, 
only the investigator, sponsor (or representative) and/or regulatory authorities will have access to confidential medical 
records that might identify the research subject by name.  
D. Genomic Research
Genomic Research will only be conducted in accordance with informed consent and/or as specifically authorized by 
an Ethics Committee.
IV. Financial Considerations
A. Payments to Investigators
Clinical trials are time- and labor-intensive.  It is Merck’s policy to compensate investigators (or the sponsoring 
institution) in a fair manner for the work performed in support of Merck trials.   Merck does not pay incentives to 
enroll subjects in its trials.  However, when enrollment is particularly challenging, additional payments may be made
to compensate for the time spent in extra recruiting efforts.
Merck does not pay for subject referrals.  However, Merck may compensate referring physicians for time spent on 
chart review to identify potentially eligible subjects.
B. Clinical Research Funding 
Informed consent forms will disclose that the trial is sponsored by Merck, and that the investigator or sponsoring 
institution is being paid or provided a grant for performing the trial.  However, the local IRB/ERC may wish to alter 
the wording of the disclosure statement to be consistent with financial practices at that institution.  As noted above, 
publications resulting from Merck trials will indicate Merck as a source of funding.
C. Funding for Travel and Other Requests
Funding of travel by investigators and support staff (e.g., to scientific meetings, investigator meetings, etc.) will be 
consistent with local guidelines and practices including, in the U.S., those established by the American Medical 
Association (AMA). 
V. Investigator Commitment
Investigators will be expected to review Merck’s Code of Conduct as an appendix to the trial protocol, and in signing 
the protocol, agree to support these ethical and scientific standards.
* In this document, "Merck" refers to Merck Sharp & Dohme Corp. and Schering Corporation, each of which is a 
subsidiary of Merck & Co., Inc.  Merck is known as MSD outside of the United States and Canada.  As warranted by 
context, Merck also includes affiliates and subsidiaries of Merck & Co., Inc."
 
 
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Collection and Management of Specimens for Future Biomedical Research
1. Definitions
a.
Biomarker:  A biological molecule found in blood, other body fluids, or tissues that is a 
sign of a normal or abnormal process or of a condition or disease.  A biomarker may be 
used to see how well the body responds to a treatment for a disease or condition.1
b. Pharmacogenomics:  The investigation of variations of DNA and RNA characteristics as 
related to drug/vaccine response.2
c.
Pharmacogenetics:  A subset of pharmacogenomics, pharmacogenetics is the influence of 
variations in DNA sequence on drug/vaccine response.2
d. DNA:  Deoxyribonucleic acid.
e.
RNA:  Ribonucleic acid.
2. Scope of Future Biomedical Research
The specimens collected in this trial as outlined in Section 7.1.3.4 – Future Biomedical 
Research Sample Collection will be used to study various causes for how subjects may 
respond to a drug/vaccine.  Future biomedical research specimen(s) will be stored to 
provide a resource for future trials conducted by the Sponsor focused on the study of 
biomarkers responsible for how a drug/vaccine enters and is removed by the body, how a 
drug/vaccine works, other pathways a drug/vaccine may interact with, or other aspects of 
disease. The specimen(s) may be used for future assay development and/or drug/vaccine 
development.
It is now well recognized that information obtained from studying and testing clinical 
specimens offers unique opportunities to enhance our understanding of how individuals 
respond to drugs/vaccines, enhance our understanding of human disease and ultimately 
improve public health through development of novel treatments targeted to populations 
with the greatest need.  All specimens will be used by the Sponsor or those working for 
or with the Sponsor.
3. Summary of Procedures for Future Biomedical Research
a.
Subjects for Enrollment
All subjects enrolled in the clinical trial will be considered for enrollment in Future 
Biomedical Research.
b. Informed Consent
Informed consent for specimens (i.e., DNA, RNA, protein, etc.) will be obtained 
during screening for protocol enrollment from all subjects or legal guardians, at a trial 
visit by the investigator or his or her designate.  Informed consent for Future 
Biomedical Research should be presented to the subjects on Visit 1.  If delayed, 
present consent at next possible Subject Visit. Informed consent must be obtained 
prior to collection of all Future Biomedical Research specimens.  Consent forms 
signed by the subject will be kept at the clinical trial site under secure storage for 
regulatory reasons.  
 
 
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A template of each trial site’s approved informed consent will be stored in the 
Sponsor’s clinical document repository. Each consent will be assessed for appropriate 
specimen permissions.  
c.
eCRF Documentation for Future Biomedical Research Specimens
Documentation of patient consent for Future Biomedical Research will be captured in 
the electronic Case Report Forms (eCRFs). Any specimens for which such an 
informed consent cannot be verified will be destroyed.
d. Future Biomedical Research Specimen Collections
Collection of specimens for Future Biomedical Research will be performed as 
outlined in the trial flow chart. In general, if additional blood specimens are being 
collected for Future Biomedical Research, these will usually be obtained at a time 
when the subject is having blood drawn for other trial purposes.
4. Confidential Subject Information for Future Biomedical Research 
In order to optimize the research that can be conducted with Future Biomedical Research 
specimens, it is critical to link subject' clinical information with future test results. In fact 
little or no research can be conducted without connecting the clinical trial data to the 
specimen. The clinical data allow specific analyses to be conducted. Knowing subject 
characteristics like gender, age, medical history and treatment outcomes are critical to 
understanding clinical context of analytical results.
To maintain privacy of information collected from specimens obtained for Future 
Biomedical Research, the Sponsor has developed secure policies and procedures. All 
specimens will be single-coded per ICH E15 guidelines as described below. 
At the clinical trial site, unique codes will be placed on the Future Biomedical Research 
specimens for transfer to the storage facility.  This first code is a random number which 
does not contain any personally identifying information embedded within it. The link (or 
key) between subject identifiers and this first unique code will be held at the trial site.  No 
personal identifiers will appear on the specimen tube.  
5. Biorepository Specimen Usage
Specimens obtained for the Merck Biorepository will be used for analyses using good 
scientific practices.  Analyses utilizing the Future Biomedical Research specimens may 
be performed by the Sponsor, or an additional third party (e.g., a university investigator) 
designated by the Sponsor. The investigator conducting the analysis will follow the 
Sponsor’s privacy and confidentiality requirements. Any contracted third party analyses 
will conform to the specific scope of analysis outlined in future biomedical research 
protocol and consent. Future Biomedical Research specimens remaining with the third 
party after specific analysis is performed will be reported to the Sponsor.
6. Withdrawal From Future Biomedical Research 
Subjects may withdraw their consent for Future Biomedical Research and have their 
specimens and all derivatives destroyed.   Subjects may withdraw consent at any time by 
contacting the principal investigator for the main trial. If medical records for the main 
trial are still available, the investigator will contact the Sponsor using the designated 
 
 
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mailbox (clinical.specimen.management@merck.com) and a form will be provided to 
obtain appropriate information to complete specimen withdrawal. Subsequently, the 
subject's specimens will be removed from the biorepository and be destroyed. 
Documentation will be sent to the investigator confirming the destruction. It is the 
responsibility of the investigator to inform the subject of completion of destruction.  Any 
analyses in progress at the time of request for destruction or already performed prior to 
the request being received by the Sponsor will continue to be used as part of the overall 
research trial data and results. No new analyses would be generated after the request is 
received.
In the event that the medical records for the main trial are no longer available (e.g., if the 
investigator is no longer required by regulatory authorities to retain the main trial 
records) or the specimens have been completely anonymized, there will no longer be a 
link between the subject’s personal information and their specimens. In this situation, the 
request for specimen destruction can not be processed. 
7. Retention of Specimens 
Future Biomedical Research specimens will be stored in the biorepository for potential 
analysis for up to 20 years from the end of the main study. Specimens may be stored for 
longer if a regulatory or governmental authority has active questions that are being 
answered. In this special circumstance, specimens will be stored until these questions 
have been adequately addressed.
Specimens from the trial site will be shipped to a central laboratory and then shipped to 
the Sponsor-designated biorepository. If a central laboratory is not utilized in a particular 
trial, the trial site will ship directly to the Sponsor-designated biorepository. The 
specimens will be stored under strict supervision in a limited access facility which 
operates to assure the integrity of the specimens.  Specimens will be destroyed according 
to Sponsor policies and procedures and this destruction will be documented in the 
biorepository database.
8. Data Security
Databases containing specimen information and test results are accessible only to the 
authorized Sponsor representatives and the designated trial administrator research 
personnel and/or collaborators. Database user authentication is highly secure, and is 
accomplished using network security policies and practices based on international 
standards (e.g., ISO17799) to protect against unauthorized access.
9. Reporting of Future Biomedical Research Data to Subjects
No information obtained from exploratory laboratory studies will be reported to the 
subject, family, or physicians. Principle reasons not to inform or return results to the 
subject include: Lack of relevance to subject health, limitations of predictive capability, 
and concerns regarding misinterpretation.
If any exploratory results are definitively associated with clinical significance for subjects 
while the clinical trial is still ongoing, investigators will be contacted with information. 
After the clinical trial has completed, if any exploratory results are definitively associated 
with clinical significance, the Sponsor will endeavor to make such results available 
 
 
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through appropriate mechanisms (e.g., scientific publications and/or presentations). 
Subjects will not be identified by name in any published reports about this study or in any 
other scientific publication or presentation.
10. Future Biomedical Research Study Population
Every effort will be made to recruit all subjects diagnosed and treated on Sponsor clinical 
trials for Future Biomedical Research.
11. Risks Versus Benefits of Future Biomedical Research 
For future biomedical research, risks to the subject have been minimized. No additional 
risks to the subject have been identified as no additional specimens are being collected 
for Future Biomedical Research (i.e., only leftover samples are being retained).’ 
The Sponsor has developed strict security, policies and procedures to address subject data 
privacy concerns.  Data privacy risks are largely limited to rare situations involving 
possible breach of confidentiality.  In this highly unlikely situation there is risk that the 
information, like all medical information, may be misused.
12. Questions
Any questions related to the future biomedical research should be e-mailed directly to 
clinical.specimen.management@merck.com.
13. References
1. National Cancer Institute: http://www.cancer.gov/dictionary/?searchTxt=biomarker
2. International Conference on Harmonization: DEFINITIONS FOR GENOMIC 
BIOMARKERS, PHARMACOGENOMICS, PHARMACOGENETICS, GENOMIC 
DATA 
AND 
SAMPLE 
CODING 
CATEGORIES 
-
E15; 
http://www.ich.org/LOB/media/MEDIA3383.pdf
 
 
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Understanding the Intent, Scope and Public Health Benefits of Exploratory Biomarker Research: A Guide for 
IRBs/IECs and Investigational Site Staff
 
 
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List of Abbreviations
Abbreviation/Term
Definition
AE
Adverse Event
ADA
Anti-Drug Antibodies
ADCC
Antibody-Dependent Cell-mediated Cytotoxicity
ALT
Alanine Aminotransferase
AML
Acute Myeloid Leukemia
ANC
Absolute Neutrophil Count
aPTT
Activated Partial Thromboplastin Time
ASaT
All Subjects as Treated
AST
Aspartate Aminotransferase
auto-SCT
autologous-Stem Cell Transplant
ß-HCG
Beta Human Chorionic Gonadotropin
BCG
Bacillus-Calmette Guerin (vaccine)
CIITA
Class II Transactivator
CBC
Complete Blood Count
CDC
Complement Dependent Cytotoxicity
CFR
Code of Federal Regulations
CHL
Classical Hodgkin Lymphoma
CI
Confidence Interval
CLL
Chronic Lymphocytic Leukemia
CML
Chronic Myeloid Leukemia
CR
Complete Response
CRF
Case Report Form
CSR
Clinical Study Report
CT
Computed Tomography
CTCAE
Common Toxicity Criteria for Adverse Events
CTL
Cytotoxic T-Lymphocyte
CTLA-4
Cytotoxic T-Lymphocyte-Associated Antigen-4
dL
Deciliter
DCR
Disease Control Rate
DEX
Dexamethasone
DKA
Diabetic ketoacidosis
DLBCL
Diffuse Large B-Cell Lymphoma
DMC
Data Monitoring Committee
DNA
Deoxyribonucleic Acid
DOR
Duration of Response
ECI
Events of Clinical Interest
ECG
Electrocardiogram
ECOG
Eastern Cooperative Oncology Group
eCRF
Electronic Case Report Form
EDC
Electronic Data Capture
EOC
Executive Oversight Committee
ERC
Ethics Review Committee
EU
European Union
FAS
Full Analysis Set
FCBP
Female of childbearing potential
FDA
Food and Drug Administration
FDAAA
Food and Drug Administration Amendments Act
FDAMA
Food and Drug Administration Modernization Act
FSH
Follicle stimulating hormone
FNCBP
Female not of childbearing potential
 
 
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Abbreviation/Term
Definition
g
Gram
GCP
Good Clinical Practice
GCSF
Granulocyte Colony Stimulating Factor
GI
Gastrointestinal
GM-CSF
Granulocyte Macrophage - Colony Stimulating Factor
GVHD
Graft Versus Host Disease
HCB
Hepatitis B Virus
HCV
Hepatitis C Virus
HIV
Human Immunodeficiency Virus
HL
Hodgkin Lymphoma
hr
Hour
IB
Investigator’s Brochure
ICF
Informed Consent Form
ICH
International Conference on Harmonization
IMWG
International Myeloma Working Group
INR
International Normalized Ratio
ir
Immune-related
IRB
Institutional Review Board
ITIM
Immunoreceptor Tyrosine-based Inhibition Motif
ITSM
Immunoreceptor Tyrosine-based Switch Motif
IV
Intravenous
IVRS
Integrated Voice Response System
IWRS
Integrated Web Response System
IWG
International Working Group
Kg
Kilogram
LDH
Lactate Dehydrogenase
MACOP-B
Methotrexate, leucovorin, doxorubicin, cyclophosphamide, vincristine, 
prednisone, and bleomycin
mcL
Microliters
MDS
Myelodysplastic Syndrome
MEL
Melanoma 
Mg
Milligram
mL
Milliliter
MLBCL
Mediastinal Large B-cell Lymphoma
MM
Multiple Myeloma
mRNA
Messenger Ribonucleic acid
MSD
Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc.
MTD
Maximum Tolerated Dose
NA or N/A
Not Applicable
NCI
National Cancer Institute
NHL
Non-Hodgkin Lymphoma
NK
Natural Killer
NSAID
Non-Steroidal Anti-inflammatory Drug
ORR
Overall Response Rate
OS
Overall Survival
OTC
Over-The-Counter
PD
Progressive Disease
PD-1
Programmed cell death 1 receptor
PD-L1
Programmed cell death ligand 1 receptor
PD-L2
Programmed cell death ligand 2 receptor
PET
Positron Emission Tomography
PFS
Progression Free Survival
 
 
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Abbreviation/Term
Definition
PI
Principal Investigator
PIN
Personal Identification Number
PK
Pharmacokinetic
PO
Oral Administration
POM
Pomalidomide
PPP
Pregnancy Prevention Plan
PR
Partial Response
PT
Prothrombin Time
R-CHOP
Rituximab, cyclophosphamide, doxorubicin hydrochloride, vincristine 
sulfate, and prednisone
rrMLBCL
Relapsed or Refractory Mediastinal Large B-Cell Lymphoma
rrPMBCL
Relapsed or Refractory Primary Mediastinal B-Cell Lymphoma
RNA
Ribonucleic Acid
Q2W
Every 2 Weeks
Q3W
Every 3 Weeks
SAE
Serious Adverse Events
SAP
Statistical Analysis Plan
SD
Stable Disease
SFU
Survival Follow-Up
SGOT
Serum Glutamic Oxaloacetic Transaminase
SGPT
Serum Glutamic Pyruvic Transaminase
SOP
Standard Operating Procedures
sSAP
supplemental Statistical Analysis Plan
TIL
Tumor Infiltrating Lymphocytes
TSH
Thyroid Stimulating Hormone
ULN
Upper Limit of Normal
US
United States
VTE
venous thromboembolic events
WBC
White Blood Cell
WES
Whole exome sequencing
Y/N
Yes/No
 
 
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ECOG Performance Status
Grade
Description
0
Normal activity. Fully active, able to carry on all pre-disease performance without 
restriction.
1
Symptoms, but ambulatory. Restricted in physically strenuous activity, but 
ambulatory and able to carry out work of a light or sedentary nature (eg, light 
housework, office work).
2
In bed <50% of the time. Ambulatory and capable of all self-care, but unable to 
carry out any work activities. Up and about more than 50% of waking hours.
3
In bed >50% of the time. Capable of only limited self-care, confined to bed or 
chair more than 50% of waking hours.
4
100% bedridden. Completely disabled. Cannot carry on any self-care. Totally 
confined to bed or chair.
5
Dead.
* As published in Am. J. Clin. Oncol.:  Oken, M.M., Creech, R.H., Tormey, D.C., Horton, J., Davis, T.E., 
McFadden, E.T., Carbone, P.P.: Toxicity And Response Criteria Of The Eastern Cooperative 
Oncology Group. Am J Clin Oncol 5:649-655, 1982. The Eastern Cooperative Oncology Group, 
Robert Comis M.D., Group Chair.
 
 
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Common Terminology Criteria for Adverse Events V4.0
The descriptions and grading scales found in the revised NCI Common Terminology Criteria 
for Adverse Events (CTCAE) version 4.0 will be utilized for adverse event reporting. 
(http://ctep.cancer.gov/reporting/ctc.html).
 
 
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International Myeloma Working Group Criteria for Response Assessment in 
Multiple Myeloma (IMWG Criteria). Rajkumar et al. Blood, 2011; 117(18). 
 
 
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International Staging System (ISS)
Greipp PR, San Miguel J, Durie BG, Crowley JJ, Barlogie B, Bladé J, Boccadoro M, Child 
JA, Avet-Loiseau H, Kyle RA, Lahuerta JJ, Ludwig H, Morgan G, Powles R, Shimizu K, 
Shustik C, Sonneveld P, Tosi P, Turesson I, Westin J.  International staging system for 
multiple myeloma . J Clin Oncol. 2005 May 20;23(15):3412-20.
International Staging System;
Stage
Criteria
Median Survival (months)
I
Serum β2-microglobulin < 3.5 mg/L
Serum albumin ≥ 3.5 g/dL
62
II
Not stage I or III*
44
IMIIISerum β2-microglobulin ≥ 5.5 mg/L
29
* There are two categories for stage II: serum β2-microglobulin < 3.5 mg/L but serum albumin < 3.5 g/dL; or 
serum β2-microglobulin 3.5 to < 5.5 mg/L irrespective of the serum albumin level. 
 
 
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Pomalidomide Education and Counseling Guidance Document for Female 
Subjects
To be completed prior to each dispensing of pomalidomide.
Protocol Number: ____________________________________________
Subject Name (Print): __________________ DOB: _____/_____/_____ (dd/mmm/yyyy)
Check one risk category:
FCBP (Female of childbearing potential): a female who: 1) has achieved 
menarche (first menstrual cycle) at some point, 2) has not undergone a 
hysterectomy (the surgical removal of the uterus) or bilateral oophorectomy (the 
surgical removal of both ovaries) or 3) has not been naturally postmenopausal 
(amenorrhea following cancer therapy does not rule out childbearing potential) 
for at least 24 consecutive months (ie, has had menses at any time during the 
preceding 24 consecutive months)
NOT FCBP
Female of Childbearing Potential:
1. I have verified and counseled the subject regarding the following:
Potential risk of fetal exposure to pomalidomide: A teratogenic potential of 
pomalidomide in humans cannot be ruled out. If pomalidomide is taken during 
pregnancy, it may cause birth defects or death to any unborn baby. Females are 
advised to avoid pregnancy while taking pomalidomide. Females of childbearing 
potential must agree not to become pregnant while taking pomalidomide.
That the required pregnancy tests performed are negative.
The subject confirmed that she is using TWO reliable methods of birth control at 
the same time, or complete abstinence (True abstinence is acceptable when this is 
in line with the preferred and usual lifestyle of the subject. Periodic abstinence [eg 
calendar, ovulation, symptothermal or post-ovulation methods] and withdrawal 
are not acceptable methods of contraception.) from heterosexual contact (at least 
28 days prior to receiving pomalidomide, while receiving pomalidomide, during 
dose interruptions and for at least 28 days after the last dose of pomalidomide). 
One highly effective method and one additional method of birth control must be 
used AT THE SAME TIME. The following are examples of highly effective and 
additional effective methods of contraception:

Examples of highly effective methods:
o
Intrauterine device (IUD)
o
Hormonal (birth control pills, injections, implants, levonorgestrel-
releasing intrauterine system [IUS], medroxyprogesterone acetate depot 
injections, ovulation inhibitory progesterone-only pills [eg, desogestrel])
o
Tubal ligation
 
 
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o
Partner’s vasectomy

Examples of additional effective methods:
o
Male condom
o
Diaphragm
o
Cervical Cap
The subject confirmed that even if she has amenorrhea she must comply with 
advice on contraception.
Pregnancy tests before, during administration of pomalidomide and at the last 
dose of pomalidomide, even if the subject agrees not to have reproductive 
heterosexual contact.
Frequency of pregnancy tests to be done:

Two pregnancy tests will be performed prior to receiving pomalidomide, one 
within 10 to 14 days, and a second within 24 hours of the start of 
pomalidomide.

Every week during the first 28 days of this study and a pregnancy test every 
28 days while the subject is taking pomalidomide if menstrual cycles are 
regular.

Every week during the first 28 days of this study and a pregnancy test every 
14 days while the subject is taking pomalidomide if menstrual cycles are 
irregular.

If the subject missed a period or has unusual menstrual bleeding.  

When the subject is discontinued from the study and at Day 28 after the last 
dose of pomalidomide if menstrual cycles are regular. If menstrual cycles are 
irregular, pregnancy tests will be done at discontinuation from the study and at 
Days 14 and 28 after the last dose of pomalidomide.
The subject confirmed that she will stop taking pomalidomide immediately in the 
event of becoming pregnant and to call her study doctor as soon as possible. 
The subject confirmed that she has not and will not breastfeed a baby while taking 
pomalidomide and for at least 28 days after the last dose of pomalidomide.
The subject has not and will never share pomalidomide with anyone else.
The subject has not and will not donate blood while taking pomalidomide, during 
dose interruptions and for at least 28 days after the last dose of pomalidomide.
The subject has not and will not break, chew, or open pomalidomide capsules at 
any point.
The subject confirmed that she will return unused pomalidomide capsules to the 
study doctor.
2. I have provided the Pomalidomide Information Sheet to the subject.
 
 
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Female Not of Childbearing Potential (Natural Menopause for at Least 24 
Consecutive Months, a Hysterectomy, or Bilateral Oophorectomy):
1. I have verified and counseled the subject regarding the following:
Potential risk of fetal exposure to pomalidomide: A teratogenic potential of 
pomalidomide in humans cannot be ruled out. If pomalidomide is taken during 
pregnancy, it may cause birth defects or death to any unborn baby.
The subject has not and will never share pomalidomide with anyone else.
The subject has not and will not donate blood while taking pomalidomide, during 
dose interruptions and for at least 28 days after the last dose of pomalidomide.
The subject has not and will not break, chew, or open pomalidomide capsules at 
any point.
The subject confirmed that she will return unused pomalidomide capsules to the 
study doctor.
2. I have provided the Pomalidomide Information Sheet to the subject.
Do Not Dispense Pomalidomide if:

The subject is pregnant.

No pregnancy tests were conducted for a FCBP.

The subject states she did not use TWO reliable methods of birth control 
(unless practicing complete abstinence from heterosexual contact) at least 28 
days prior to receiving pomalidomide, while receiving pomalidomide and 
during dose interruptions.

The subject stated that she has or does not want to adhere to pregnancy 
precautions outlined within this PPP.
Counselor Name (Print): ____________________
Counselor Signature: _______________________ Date: 
_____/_____/_____(dd/mmm/yyyy)
**Maintain a copy of the Education and Counseling Guidance Document in the subject’s records.**
 
 
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Pomalidomide Education and Counseling Guidance Document for Male Subjects
To be completed prior to each dispensing of pomalidomide.
Protocol Number: ____________________________________________
Subject Name (Print): __________________ DOB: _____/_____/_____ (dd/mmm/yyyy)
1. I have verified and counseled the subject regarding the following:
Potential risk of fetal exposure to pomalidomide: A teratogenic potential of 
pomalidomide in humans cannot be ruled out. If pomalidomide is taken during 
pregnancy, it may cause birth defects or death to any unborn baby.
The subject confirmed that he has practiced complete abstinence (True abstinence 
is acceptable when this is in line with the preferred and usual lifestyle of the 
subject. Periodic abstinence [eg calendar, ovulation, symptothermal or 
post-ovulation methods] and withdrawal are not acceptable methods of 
contraception.) or used a condom when engaging in sexual contact (including 
those who have had a vasectomy) with a pregnant female or FCBP, while taking 
pomalidomide, during dose interruptions and for at least 28 days after the last 
dose of pomalidomide.
The subject confirmed that he has not impregnated his female partner while in the 
study.
The subject confirmed that he will notify his study doctor if his female partner 
becomes pregnant and the female partner of a male subject taking pomalidomide 
confirmed that she will call her healthcare provider immediately if she becomes 
pregnant.
The subject has not and will never share pomalidomide with anyone else.
The subject confirmed that he has not donated and will not donate semen or 
sperm while taking pomalidomide or during dose interruptions and that he will 
not donate semen or sperm for at least 28 days after the last dose of 
pomalidomide.
The subject has not and will not donate blood while taking pomalidomide, during 
dose interruptions and for at least 28 days after the last dose of pomalidomide.
The subject has not and will not break, chew, or open pomalidomide capsules at 
any point.
The subject confirmed that he will return unused pomalidomide capsules to the 
study doctor.
2. I have provided the Pomalidomide Information Sheet to the subject.
 
 
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Do Not Dispense Pomalidomide if:

The subject stated that he has or does not want to adhere to pregnancy 
precautions outlined within this PPP.
Counselor Name (Print): ____________________
Counselor Signature: _______________________ Date: 
_____/_____/_____(dd/mmm/yyyy)
**Maintain a copy of the Education and Counseling Guidance Document in the subject’s records.**
 
 
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Pomalidomide Information Sheet 
For subjects enrolled in clinical research studies 
Please read this Pomalidomide Information Sheet before you start taking pomalidomide and 
each time you get a new supply. This Pomalidomide Information Sheet does not take the 
place of an informed consent to participate in clinical research or talking to your study doctor 
or healthcare provider about your medical condition or your treatment.  
What is the most important information I should know about pomalidomide?
3. Pomalidomide may cause birth defects (deformed babies) or death of an unborn 
baby. Pomalidomide is similar to the medicine thalidomide. It is known that 
thalidomide causes life-threatening birth defects. Pomalidomide has not been tested in 
pregnant women but may also cause birth defects. Pomalidomide was found to cause 
birth defects when tested in pregnant rats and rabbits.
If you are a female who is able to become pregnant:

Do not take pomalidomide if you are pregnant or plan to become pregnant

You must practice complete abstinence from sexual contact with a male or 
use two reliable, separate forms of effective birth control at the same time: 

for 28 days before starting pomalidomide

while taking pomalidomide

during breaks (dose interruptions) of pomalidomide

for at least 28 days after the last dose of pomalidomide

You must have pregnancy testing done at the following times:

within 10 to 14 days prior to the first dose of pomalidomide

24 hours prior to the first dose of pomalidomide

weekly for the first 28 days

if you have regular menstrual periods: every 28 days after the first month 

if you have irregular menstrual periods: every 14 days after the first month

if you miss your period or have unusual menstrual bleeding

28 days after the last dose of pomalidomide (14 and 28 days after the last dose 
if menstrual periods are irregular)

Stop taking pomalidomide
if you become pregnant while taking 
pomalidomide

If you suspect you are pregnant at any time during the study, you must stop 
pomalidomide immediately and immediately inform your study doctor. Your 
study doctor will report all cases of pregnancy to Celgene Corporation.
 
 
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
Do not breastfeed while taking pomalidomide and for at least 28 days after 
the last dose of pomalidomide

The study doctor will be able to advise you where to get additional advice on 
contraception.
If you are a female not able to become pregnant:
In order to ensure that an unborn baby is not exposed to pomalidomide, your study 
doctor will confirm that you are not able to become pregnant.
If you are a male:
The effect of pomalidomide on sperm development is not known and has not been 
studied. The risk to an unborn baby in females whose male partner is receiving 
pomalidomide is unknown at this time. 

Male subjects (including those who have had a vasectomy) must practice 
complete abstinence or must use a condom during sexual contact with a pregnant 
female or a female that can become pregnant:

While you are taking pomalidomide

During breaks (dose interruptions) of pomalidomide

For at least 28 days after the last dose of pomalidomide  

Male subjects should not donate sperm or semen while taking pomalidomide, 
during breaks (dose interruptions) and for at least 28 days after the last dose of 
pomalidomide. 

If you suspect that your partner is pregnant any time during the study, you 
must immediately inform your study doctor. The study doctor will report all 
cases of pregnancy to Celgene Corporation. Your partner should call their 
healthcare provider immediately if they become pregnant.
4. All subjects:

Do not share pomalidomide with other people. It must be kept out of the 
reach of children and should never be given to any other person.

Do not donate blood while you take pomalidomide, during breaks (dose 
interruptions) and for at least 28 days after the last dose of pomalidomide. 

Do not break, chew, or open pomalidomide capsules at any point.

You will get no more than a 28-day supply of pomalidomide at one time.

Return unused pomalidomide capsules to your study doctor.
Additional information is provided in the informed consent form and you can ask 
your study doctor for more information.
 
 
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13.0 SIGNATURES
Sponsor's Representative
TYPED NAME
TITLE
SIGNATURE
DATE SIGNED
Investigator
I agree to conduct this clinical trial in accordance with the design outlined in this protocol 
and to abide by all provisions of this protocol (including other manuals and documents 
referenced from this protocol).  I agree to conduct the trial in accordance with generally 
accepted standards of Good Clinical Practice.  I also agree to report all information or data in 
accordance with the protocol and, in particular, I agree to report any serious adverse events 
as defined in Section 7.0 – Assessing and Recording Adverse Events.  I also agree to handle 
all clinical supplies provided by the Sponsor and collect and handle all clinical specimens in 
accordance with the protocol.  I understand that information that identifies me will be used 
and disclosed as described in the protocol, and that such information may be transferred to 
countries that do not have laws protecting such information.  Since the information in this 
protocol and the referenced Investigator’s Brochure is confidential, I understand that its 
disclosure to any third parties, other than those involved in approval, supervision, or conduct 
of the trial is prohibited.  I will ensure that the necessary precautions are taken to protect such 
information from loss, inadvertent disclosure or access by third parties.
TYPED NAME
TITLE
SIGNATURE
DATE SIGNED
 
 
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