Common use of Reporting Covenants Required Complies Clause in Contracts

Reporting Covenants Required Complies. Monthly financial statements with Compliance Certificate Monthly within 40 days Yes No Annual financial statement (CPA Audited) FYE within 180 days Yes No Filed 10‑Q, 10‑K and 8-K Within 5 days after filing with SEC Yes No 10-Q Report, 10-K Report, and annual financial statement Within 45 days of quarter end for 10-Q; FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE within 60 days and promptly following changes Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No The following are the exceptions with respect to the certification above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS, INC. By: Name: Title: AGENT USE ONLY Received by: _____________________ authorized signer Date: _________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:Yes No EXHIBIT C LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time Fax To: Date: _____________________ Loan Payment: AXSOME THERAPEUTICS, INC. From Account #________________________________To Account #__________________________________________ (Deposit Account #)(Loan Account #) Principal $____________________________________and/or Interest $________________________________________ Authorized Signature: Phone Number: Print Name/Title: Loan Advance:

Reporting Covenants Required Complies. Monthly financial statements with Compliance Certificate Monthly within 40 30 days Yes No Annual financial statement (CPA AuditedReviewed) FYE + XX XXX within 180 120 days Yes No Filed 10‑Q10-Q, 10‑K 10-K and 8-K Within 5 days after filing with SEC Yes No 10-Q Report, 10-K ReportClinical Status and Regulatory Updates Quarterly within 30 days Yes No Annual Operating Budget FYE within 45 days, and annual financial statement Within 45 days of quarter end for 10-Q; FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE within 60 days and promptly following changes as updated/amended Yes No Other Matters Have there been any amendments of or other material changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No The following are the exceptions with respect to the certification above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME MIRAGEN THERAPEUTICS, INC. By: Name: Title: AGENT BANK USE ONLY Received by: _____________________ authorized signer By: AUTHORIZED SIGNER Name: Date: _________________________ Title: Verified: ________________________ authorized signer AUTHORIZED SIGNER Date: _________________________ Compliance Status:: Yes No EXHIBIT C – LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time DEADLINE FOR SAME DAY PROCESSING IS NOON PACIFIC TIME Fax To: Date: _____________________ Loan PaymentLOAN PAYMENT: AXSOME THERAPEUTICSmiRagen Therapeutics, INC. Inc. From Account #_________________________________ To Account #__________________________________________________ (Deposit Account #)) (Loan Account #) Principal $_____________________________________ and/or Interest $________________________________________________ Authorized Signature: Phone Number: ____________________________________________ Print Name/Title: LOAN ADVANCE: Complete Outgoing Wire Request section below if all or a portion of the funds from this loan advance are for an outgoing wire. From Account #________________________________ To Account #__________________________________________________ (Loan AdvanceAccount #) (Deposit Account #) Amount of Advance $___________________________ All Borrower’s representations and warranties in the Loan and Security Agreement are true, correct and complete in all material respects on the date of the request for an advance; provided, however, that such materiality qualifier shall not be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof; and provided, further that those representations and warranties expressly referring to a specific date shall be true, accurate and complete in all material respects as of such date: Authorized Signature: Phone Number: Print Name/Title: OUTGOING WIRE REQUEST: Complete only if all or a portion of funds from the loan advance above is to be wired. Deadline for same day processing is noon, Pacific Time Beneficiary Name: ________________________________ Amount of Wire: $ ___________________________________________ Beneficiary Bank: ________________________________ Account Number: ____________________________________________ City and State: ___________________________________ Beneficiary Bank Transit (ABA) #: __________________ Beneficiary Bank Code (Swift, Sort, Chip, etc.): ___________________ (For International Wire Only) Intermediary Bank: _______________________________ Transit (ABA) #: ____________________________________________ For Further Credit to: ______________________________________________________________________________________________________________ Special Instruction: ________________________________________________________________________________________________________________ By signing below, I (we) acknowledge and agree that my (our) funds transfer request shall be processed in accordance with and subject to the terms and conditions set forth in the agreements(s) covering funds transfer service(s), which agreements(s) were previously received and executed by me (us). Authorized Signature: ___________________________ 2nd Signature (if required): _______________________________________ Print Name/Title: ______________________________ Print Name/Title: ______________________________________________ Telephone #:__________________________________ Telephone #:__________________________________________________

Reporting Covenants Required Complies. Monthly financial statements with Compliance Certificate Monthly Statement Quarterly within 40 45 days Yes No 10-Q Report Within 45 days of Q1, Q2, and Q3 10-K Report and Annual financial statement statements (CPA Audited) FYE within 180 90 days Yes No Filed 10‑Q10-Q, 10‑K 10-K and 8-K Within 5 days Promptly after filing with SEC Yes No 10-Q Report, 10-K Report, and annual financial statement Within 45 days of quarter end for 10-Q; Board approved projections FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE within 60 days and promptly following changes Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. as amended/updated Yes No The following are the exceptions with respect to the certification statements above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS, INC. By: Name: Title: AGENT USE ONLY Received by: _____________________ authorized signer EXHIBIT B LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time Date: _________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:Yes No EXHIBIT C LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time Fax To: Date: _____________________ Loan Payment: AXSOME THERAPEUTICS, INC. CELSION CORPORATION From Account #__________________________________ To Account Account#__________________________________________ (Deposit Account #)) (Loan Account #) Principal $______________________________________ and/or Interest Interest$__________________________________ Authorized Signature: Phone Number:__________________________________ Print Name/Title: _________________________________ Loan Advance: Complete Outgoing Wire Request section below if all or a portion of the funds from this loan advance are for an outgoing wire. From Account #_________________________________ To Account#____________________________________ (Loan Account #) (Deposit Account #) Amount of Term Loan Advance $ ____________________ All Borrower’s representations and warranties in the Loan and Security Agreement are true, correct, and complete in all material respects on the date of the request for an advance; provided, however, that such materiality qualifier shall not be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof; and provided, further that those representations and warranties expressly referring to a specific date shall be true and correct in all material respects as of such date: Authorized Signature: _____________________________ Phone Number: __________________________________ Print Name/Title: _________________________________ Outgoing Wire Request: Complete only if all or a portion of funds from the loan advance above is to be wired. Deadline for same day processing is noon, Eastern Time Beneficiary Name: ______________________________ Amount of Wire: $_____________________________ Beneficiary Bank: _______________________________ Account Number: ______________________________ City and State: _________________________________ Beneficiary Bank Transit (ABA) #: ___________________ Beneficiary Bank Code (Swift, Sort, Chip, etc.): __________ (For International Wire Only) Intermediary Bank: _____________________________ Transit (ABA) #: _______________________________ For Further Credit to: ____________________________ Special Instruction: ________________________________________________________________________________ By signing below, I (we) acknowledge and agree that my (our) funds transfer request shall be processed in accordance with and subject to the terms and conditions set forth in the agreements(s) covering funds transfer service(s), which agreements(s) were previously received and executed by me (us). Authorized Signature: Phone Number: ___________________________ 2nd Signature (if required): ________________________ Print Name/Title: Loan Advance______________________________ Print Name/Title:_______________________________ Telephone #: _________________________________ Telephone #: __________________________________

Reporting Covenants Required Complies. Company Prepared Monthly financial statements with F/S Monthly, within 30 days YES NO Compliance Certificate Monthly Monthly, within 40 30 days Yes No Annual financial statement (YES NO CPA Audited) FYE , Unqualified F/S Annually, within 180 days Yes No Filed 10‑Qof FYE1 YES NO Annual Business Plan (on a monthly basis, 10‑K and 8-K Within 5 incl. operating budget) Annually, within 30 days after filing with SEC Yes No of board approval YES NO Audit annual YES NO If Public: 10-Q ReportQuarterly, within 5 days of SEC filing (50 days) YES NO 10-K ReportAnnually, and annual financial statement Within 45 within 5 days of quarter end for 10-Q; FYE within 90 days for 10-K; SEC filing (95 days) YES NO Total amount of Borrower’s cash and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE within 60 days and promptly following changes Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No The following are the exceptions with respect to the certification aboveinvestments Amount: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS, INC. By: Name: Title: AGENT USE ONLY Received by: _____________________ authorized signer Date: ___$______________________ VerifiedYES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: __$______________________ authorized signer Date: ______________YES NO DESCRIPTION APPLICABLE Legal Action > $150,000 Notify promptly upon notice___________ Compliance Status:Yes No EXHIBIT C LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time Fax To: Date: __________YES NO Inventory Disputes > $100,000 Notify promptly upon notice___________ Loan Payment: AXSOME THERAPEUTICS, INC. From Account #________________________________To Account #_______________________________YES NO Mergers & Acquisitions > $100,000 Notify promptly upon notice___________ (Deposit Account #)(Loan Account #) Principal YES NO Cross default with other agreements >$____________________________________and/or Interest $_____________________________100,000 Notify promptly upon notice___________ YES NO Judgment > $150,000 Notify promptly upon notice___________ YES NO 1 Other than for FYE 2016, within 210 days of FYE. OTHER COVENANTS REQUIRED ACTUAL COMPLIES Permitted Indebtedness for equipment leases <$200,000 ___________ YES NO Permitted Investments for stock repurchase <$200,000 ___________ YES NO Permitted Investments for subsidiaries <$200,000 ___________ YES NO Permitted Investments for employee loans <$200,000 ___________ YES NO Permitted Investments for joint ventures <$200,000 ___________ YES NO Permitted Liens for equipment leases <$200,000 ___________ YES NO Permitted Transfers <$200,000 ___________ YES NO Please Enter Below Comments Regarding Violations: The Officer further acknowledges that at any time Borrower is not in compliance with all the terms set forth in the Agreement, including, without limitation, the financial covenants, no credit extensions will be made. Very truly yours, Authorized SignatureSigner Name: Phone Number: Print Name/Title: Loan AdvanceCORPORATION RESOLUTIONS AND INCUMBENCY CERTIFICATION AUTHORITY TO PROCURE LOANS I certify that I am the duly elected and qualified Secretary of Augmedix, Inc. (the “Corporation”), and the keeper of the records of the Corporation; that the following is a true and correct copy of resolutions duly adopted by the Board of Directors of the Corporation in accordance with its bylaws and applicable statutes. Copy of Resolutions: Be it Resolved, that:

Reporting Covenants Required Complies. Monthly financial statements with Compliance Certificate Monthly within 40 30 days Yes No Monthly account statements from other financial institutions Monthly within 30 days Yes No Annual financial statement (CPA Audited) FYE + XX XXX within 180 days Yes No Filed 10‑Q10-Q, 10‑K 10-K and 8-K Within 5 days after filing with SEC Yes No 10Board-Q Report, 10-K Report, and annual approved financial statement Within projections FYE within 45 days of quarter end for 10-Q; FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE within 60 days and promptly following changes Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No The following are the exceptions with respect to the certification above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS, INC-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- RESPONSE BIOMEDICAL CORP. By: Name: Title: AGENT BANK USE ONLY Received by: _______________________________________ authorized signer By: _____________________________________________ AUTHORIZED SIGNER Name: ___________________________________________ Date: _____________________________________________ Title: ____________________________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:Yes No EXHIBIT C LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time Fax To: AUTHORIZED SIGNER Date: _____________________ Loan Payment: AXSOME THERAPEUTICS, INC. From Account #________________________________To Account #__________________________________________ (Deposit Account #)(Loan Account #) Principal $Compliance Status: Yes No EXHIBIT B – LOAN PAYMENT/ADVANCE REQUEST FORM DEADLINE FOR SAME DAY PROCESSING IS NOON PACIFIC TIME* EXHIBIT C BORROWING RESOLUTIONS CORPORATE BORROWING CERTIFICATE Borrower: RESPONSE BIOMEDICAL CORP. Date: February ____________________________________and/or Interest $________________________________________ Authorized Signature, 2014 Bank: Phone Number: Print Name/Title: Loan AdvanceSILICON VALLEY BANK I hereby certify as follows, as of the date set forth above:

Reporting Covenants Required Complies. Monthly financial statements with Compliance Certificate Monthly within 40 30 days Yes No Monthly account statements from other financial institutions Monthly within 30 days Yes No Annual financial statement (CPA Audited) FYE + XX XXX within 180 days Yes No Filed 10‑Q10-Q, 10‑K 10-K and 8-K Within 5 days after filing with SEC Yes No 10Board-Q Report, 10-K Report, and annual approved financial statement Within projections FYE within 45 days of quarter end for 10-Q; FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE within 60 days and promptly following changes Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No The following are the exceptions with respect to the certification above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS, INCRESPONSE BIOMEDICAL CORP. By: Name: Title: AGENT BANK USE ONLY Received by: :_____________________ authorized signer Date: _________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:Yes No EXHIBIT C LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time Fax To: Date: _____________________ Loan Payment: AXSOME THERAPEUTICS, INC. From Account #________________________________To Account #__________________________________________ (Deposit Account #)(Loan Account #) Principal $By:____________________________________and/or Interest $________________________________________ AUTHORIZED SIGNER Name:_____________________________________________ Date:_____________________________________________________ Title:______________________________________________ Verified:___________________________________________________ AUTHORIZED SIGNER Date:_____________________________________________________ Compliance Status: Yes No EXHIBIT B – LOAN PAYMENT/ADVANCE REQUEST FORM DEADLINE FOR SAME DAY PROCESSING IS NOON PACIFIC TIME* Fax To: Date: _____________________ LOAN PAYMENT: RESPONSE BIOMEDICAL CORP. From Account # To Account # (Deposit Account #) (Loan Account #) Principal $ and/or Interest $ Authorized Signature: Phone Number: Print Name/Title: Loan AdvanceLOAN ADVANCE:

Reporting Covenants Required Complies. Monthly financial statements with Compliance Certificate Statement Monthly within 40 30 days (except for the months ending March 31, June 30, September 30, and December 31) Yes No Quarterly financial statements with Compliance Statement Q1, Q2, and Q3 within 45 days Yes No 10-Q Report Within 45 days of Q1, Q2, and Q3 Yes No 10-K Report and Annual financial statement statements (CPA Audited) FYE within 180 90 days Yes No Board approved projections FYE within 30 days and as amended/updated Yes No Filed 10‑Q10-Q, 10‑K 10-K and 8-K Within 5 10 days after filing with SEC Yes No 10-Q Report, 10-K Report, and annual financial statement Within 45 days of quarter end for 10-Q; FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Positive Data Event: Has Borrower achieved Positive Data? Yes ______ No Board-Approved Projections FYE within 60 days and promptly following changes Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No ________ N/A _______ The following are the exceptions with respect to the certification statements above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS, INC. By: Name: Title: AGENT USE ONLY Received by: _____________________ authorized signer Date: ___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:Yes No | | EXHIBIT C B LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Pacific Time Fax To: Date: _____________________ Loan Payment: AXSOME THERAPEUTICSACHIEVE LIFE SCIENCES, INC. From Account #_________________________________ To Account #__________________________________________ (Deposit Account #)) (Loan Account #) Principal $_____________________________________ and/or Interest $________________________________________ Authorized Signature: Phone Number: Print Name/Title: Loan Advance:

Reporting Covenants Required Complies. Monthly financial statements with Compliance Certificate Monthly within 40 30 days Yes No Annual financial statement (CPA Audited) FYE + XX XXX within 180 210 days Yes No Filed 10‑Q, 10‑K and 8-K Within 5 days after filing with SEC Yes No 10-Q Report, 10-K Report, and annual financial statement Annual projections Within 45 60 days of quarter end for 10-Q; FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE within 60 days and promptly following changes Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No [Continued on Next Page] The following are the exceptions with respect to the certification above: (If no exceptions exist, state “"No exceptions to note.”") --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ENVISION SOLAR INTERNATIONAL, INC. ENVISION SOLAR CONSTRUCTION, INC. By: Name: Title: AGENT BANK USE ONLY Received by: _____________________ authorized signer Date: _________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:: Yes No EXHIBIT C D LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Pacific Time Fax To: Date: _____________________ Loan Payment: AXSOME THERAPEUTICSENVISION SOLAR INTERNATIONAL, INC. and ENVISION SOLAR CONSTRUCTION, INC. From Account #_________________________________ To Account #__________________________________________________ (Deposit Account #)) (Loan Account #) Principal $_____________________________________ and/or Interest $________________________________________________ Authorized Signature: Phone Number: Print Name/Title: Loan Advance:: Complete Outgoing Wire Request section below if all or a portion of the funds from this loan advance are for an outgoing wire. From Account #________________________________ To Account #__________________________________________________ (Loan Account #) (Deposit Account #) Amount of Advance $___________________________ All Borrower's representations and warranties in the Loan and Security Agreement are true, correct and complete in all material respects on the date of the request for an advance; provided, however, that such materiality qualifier shall not be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof; and provided, further that those representations and warranties expressly referring to a specific date shall be true, accurate and complete in all material respects as of such date: Authorized Signature: Phone Number: Print Name/Title: Outgoing Wire Request: Complete only if all or a portion of funds from the loan advance above is to be wired. Deadline for same day processing is noon, Pacific Time Beneficiary Name: _____________________________ Amount of Wire: $ Beneficiary Bank: ______________________________ Account Number: City and State: Beneficiary Bank Transit (ABA) #: Beneficiary Bank Code (Swift, Sort, Chip, etc.): (For International Wire Only) Intermediary Bank: Transit (ABA) #: For Further Credit to: Special Instruction: By signing below, I (we) acknowledge and agree that my (our) funds transfer request shall be processed in accordance with and subject to the terms and conditions set forth in the agreements(s) covering funds transfer service(s), which agreements(s) were previously received and executed by me (us). Authorized Signature: ___________________________ 2nd Signature (if required): _______________________________________ Print Name/Title: ______________________________ Print Name/Title: ______________________________________________

Reporting Covenants Required Complies. Monthly Quarterly bank account statements Quarterly within 45 days Yes No Quarterly financial statements with Compliance Certificate Monthly Statement Quarterly within 40 45 days (90 days for Q4) Yes No Annual financial statement statements (CPA Audited) FYE within 180 days Yes No Filed 10‑Q10-Q, 10‑K 10-K and 8-K Within 5 days Business Days after filing with SEC Yes No 10-Q Report, 10-K Report, Board approved budget and annual financial statement Within 45 days of quarter end for 10-Q; projections FYE within 90 30 days for 10-K; and FYE within 90 days for annual financial statements 10 Business Days as amended/updated Yes No Board-Approved Projections FYE within 60 days and promptly following changes Assets at Subsidiaries Aggregate value of assets held by UK Subsidiary ($100,000)Aggregate value of assets at Irish Subsidiary ($100,000) Yes No Other Matters Have there been any material amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance CertificateStatement. Yes No The following are the exceptions with respect to the certification statements above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS, INC. By: Name: Title: AGENT USE ONLY Received by: _____________________ authorized signer Date: _________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:Yes No -------------------------------------------------------------------------------------------------------------------------------------------- WEST\295152977.6 253576801 v8 EXHIBIT C B LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Time Fax To: Date: _____________________ Loan Payment: AXSOME THERAPEUTICSZIOPHARM ONCOLOGY, INC. From Account #_________________________________ To Account #__________________________________________ (Deposit Account #)) (Loan Account #) Principal $_____________________________________ and/or Interest $________________________________________ Authorized Signature: Phone Number: Print Name/Title: Loan Advance: Complete Outgoing Wire Request section below if all or a portion of the funds from this loan advance are for an outgoing wire. From Account #________________________________ To Account #__________________________________________ (Loan Account #) (Deposit Account #) Amount of Term Loan Advance $___________________________ All Borrower’s representations and warranties in the Loan and Security Agreement are true, correct and complete on the date of the request for an advance: Authorized Signature: Phone Number: Print Name/Title: Outgoing Wire Request: Complete only if all or a portion of funds from the loan advance above is to be wired. Deadline for same day processing is noon, Pacific Time Beneficiary Name: _____________________________ Amount of Wire: $ Beneficiary Bank: ______________________________ Account Number: City and State: Beneficiary Bank Transit (ABA) #: Beneficiary Bank Code (Swift, Sort, Chip, etc.): (For International Wire Only) Intermediary Bank: Transit (ABA) #: For Further Credit to: Special Instruction: By signing below, I (we) acknowledge and agree that my (our) funds transfer request shall be processed in accordance with and subject to the terms and conditions set forth in the agreements(s) covering funds transfer service(s), which agreements(s) were previously received and executed by me (us). WEST\295152977.6 253576801 v8 Authorized Signature: ___________________________ 2nd Signature (if required): _______________________________ Print Name/Title: ______________________________ Print Name/Title: ______________________________________ Telephone #: Telephone #: _____________________________ WEST\295152977.6 253576801 v8 EXHIBIT C Form of Disbursement Letter [see attached] 56 WEST\295152977.6 253576801 v8 DISBURSEMENT LETTER _________ __, 20__ The undersigned, being the Authorized Signer of ZIOPHARM ONCOLOGY, INC., a Delaware corporation (“Borrower”), does hereby certify to (a) SILICON VALLEY BANK, a California corporation (“SVB”), in its capacity as administrative agent and collateral agent (“Agent”), (b) SVB, as a lender, (c) SVB INNOVATION CREDIT FUND VIII, L.P., a Delaware limited partnership (“SVB Capital”), as a lender (SVB and SVB Capital and each of the other “Lenders” from time to time a party hereto are referred to herein collectively as the “Lenders” and each individually as a “Lender”) in connection with that certain Loan and Security Agreement dated as of August 6, 2021, by and among Borrower, Agent and the Lenders from time to time party thereto (the “Loan Agreement”; with other capitalized terms used below having the meanings ascribed thereto in the Loan Agreement) that:

Reporting Covenants Required Complies. Monthly Quarterly financial statements with Compliance Certificate Monthly Quarterly within 40 30 days Yes No Annual financial statement (CPA Audited) FYE + XX XXX within 180 days Yes No Filed 10‑Q, 10‑K and 8-K Within 5 days after filing with SEC Yes No 10-Q ReportAnnual financial projections, 10-K Report, and annual financial statement Within 45 days of quarter end for 10-Q; FYE within 90 days for 10-K; and FYE within 90 days for annual financial statements Yes No Board-Approved Projections FYE budget Annually (within 60 days of FYE), and promptly following changes when revised Yes No Other Matters Have there been any amendments of or other changes to the capitalization table of Borrower and to the Operating Documents of Borrower or any of its Subsidiaries? If yes, provide copies of any such amendments or changes with this Compliance Certificate. Yes No The following are the exceptions with respect to the certification above: (If no exceptions exist, state “No exceptions to note.”) --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- AXSOME THERAPEUTICS-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- TROVAGENE, INC. By: Name: Title: AGENT BANK USE ONLY Received by: _____________________ authorized signer Date: _________________________ Verified: ________________________ authorized signer Date: _________________________ Compliance Status:Yes No EXHIBIT C D - LOAN PAYMENT/ADVANCE REQUEST FORM Deadline for same day processing is Noon Eastern Pacific Time Unless otherwise provided for an Advance bearing interest at LIBOR. Fax To: Date: _____________________ Loan Payment: AXSOME THERAPEUTICSTROVAGENE, INC. From Account #_________________________________ To Account #__________________________________________________ (Deposit Account #)) (Loan Account #) Principal $_____________________________________ and/or Interest $________________________________________________ Authorized Signature: Phone Number: Print Name/Title: Loan Advance: Complete Outgoing Wire Request section below if all or a portion of the funds from this loan advance are for an outgoing wire. From Account #________________________________ To Account #__________________________________________________ (Loan Account #) (Deposit Account #) Amount of Advance $___________________________ All Borrower’s representations and warranties in the Loan and Security Agreement are true, correct and complete in all material respects on the date of the request for an advance; provided, however, that such materiality qualifier shall not be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof; and provided, further that those representations and warranties expressly referring to a specific date shall be true, accurate and complete in all material respects as of such date: Authorized Signature: Phone Number: Print Name/Title: Outgoing Wire Request: Complete only if all or a portion of funds from the loan advance above is to be wired. Deadline for same day processing is noon, Pacific Time Beneficiary Name: _____________________________ Amount of Wire: $ Beneficiary Bank: ______________________________ Account Number: City and State: Beneficiary Bank Transit (ABA) #: Beneficiary Bank Code (Swift, Sort, Chip, etc.): (For International Wire Only) Intermediary Bank: Transit (ABA) #: For Further Credit to: Special Instruction: By signing below, I (we) acknowledge and agree that my (our) funds transfer request shall be processed in accordance with and subject to the terms and conditions set forth in the agreements(s) covering funds transfer service(s), which agreements(s) were previously received and executed by me (us). Authorized Signature: ___________________________ 2nd Signature (if required): _______________________________________ Print Name/Title: ______________________________ Print Name/Title: ______________________________________________ Telephone #: Telephone #: SCHEDULE 1 - FORM OF LOAN AGREEMENT SUPPLEMENT LOAN AGREEMENT SUPPLEMENT No. [ ] LOAN AGREEMENT SUPPLEMENT No. [ ], dated _______________, 20____ (“Loan Supplement”), to the Loan and Security Agreement dated as of November 17, 2015 (as amended, restated, or otherwise modified from time to time, the “Loan Agreement) by and between the undersigned TROVAGENE, INC. (“Borrower”) and Silicon Valley Bank (“Bank”). Capitalized terms used herein but not otherwise defined herein are used with the respective meanings given to such terms in the Loan Agreement. To secure the prompt payment by Borrower of all amounts from time to time outstanding under the Loan Agreement, and the performance by Borrower of all the terms contained in the Loan Agreement, Borrower grants Bank, a first priority security interest in each item of equipment and other property described in Annex A hereto, which equipment and other property shall be deemed to be additional Financed Equipment and Collateral. The Loan Agreement is hereby incorporated by reference herein and is hereby ratified, approved and confirmed. Annex A (Equipment Schedule) is attached hereto. The proceeds of the Equipment Advance should be transferred to Borrower’s account with Bank set forth below: Bank Name: Silicon Valley Bank Account No.: [...***...] Borrower hereby certifies that (a) the foregoing information is true and correct and authorizes Bank to endorse in its respective books and records, the interest rate applicable to the Funding Date of the Equipment Advance contemplated in connection with this Supplement and the principal amount set forth below; (b) the representations and warranties made by Borrower in the Loan Agreement are true and correct on the date hereof and shall be true and correct on such Funding Date. No Event of Default has occurred and is continuing under the Loan Agreement. This Supplement may be executed by Borrower and Bank in separate counterparts, each of which when so executed and delivered shall be an original, but all such counterparts shall together constitute but one and the same instrument. Equipment Advance Funding Date: _____________, 20____ Equipment Advance Amount: $____________ Interest Rate: ______% This Supplement is delivered as of this day and year first above written. SILICON VALLEY BANK By: ____________________________________ Name: Title: TROVAGENE, INC. By: __________________________________ Name: Title: