TEXT MARKED BY [ * * *] HAS BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND WAS FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION. EXCLUSIVE SUBLICENSE AGREEMENTExclusive Sublicense Agreement • March 31st, 2011 • ImmunoCellular Therapeutics, Ltd. • Pharmaceutical preparations • Pennsylvania
This Exclusive Sublicense License Agreement (“Agreement”), dated as of May 28, 2010 (the “Effective Date”), is made by and between Targepeutics, Inc., a corporation organized under the laws of the State of Delaware (“TI”), having its principal office at 475 Governor Road, Hershey, PA 17033, and ImmunoCellular Therapeutics, Ltd., a Delaware corporation having its principal office at 21900 Burbank Boulevard, 3rd Floor, Woodland Hills, California 91367 (“SUBLICENSEE”).
March 30, 2010 Dr. Manish Singh, CEO ImmunoCellular Therapeutics, Ltd. 21900 Burbank Boulevard Woodland Hills, CA 91367 Dear Dr. Singh:Placement Agent Agreement • March 31st, 2011 • ImmunoCellular Therapeutics, Ltd. • Pharmaceutical preparations • New York
The purpose of this agreement (the “Agreement”) is to set forth the terms and conditions pursuant to which Gilford Securities, Inc. (“Gilford”) shall act as advisor and placement agent for ImmunoCellular Therapeutics, Ltd. (the “Company”). Gilford shall act on a non-exclusive basis as an advisor and placement agent for introducing the Company to institutional healthcare-focused investors, potential strategic investors/partners/acquirors and other potential investors in connection with a proposed placement (the “Private Placement”) of equity securities (the “Securities”) of the Company, potential partnering transactions, potential strategic investments and potential merger and acquisition opportunities. The gross proceeds from the Private Placement are proposed to be up to $15 Million. The terms of such “best efforts” Private Placement, including the identified use of proceeds, closing conditions and the Securities to be issued shall be agreed to by the Company in its sole discretion. T
TEXT MARKED BY [ * * *] HAS BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND WAS FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION. SPONSORED RESEARCH AND VACCINE PRODUCTION AGREEMENT [GMP MANUFACTURING OF ICT-107 DENDRITIC...Sponsored Research and Vaccine Production Agreement • March 31st, 2011 • ImmunoCellular Therapeutics, Ltd. • Pharmaceutical preparations • Pennsylvania
This Sponsored Research and Vaccine Production Agreement (“Agreement”) is made by and between The Trustees of the University of Pennsylvania, a Pennsylvania nonprofit corporation (“Institution”), with offices located at 3160 Chestnut Street, Suite 200, Philadelphia, PA, Philadelphia, PA 19104-6205, and ImmunoCellular Therapeutics, Ltd., a corporation organized and existing under the laws of California (“Sponsor”), having a place of business at 21900 Burbank Blvd., 3rd Floor, Woodland Hills, CA 91367.
April 7, 2010 Manish Singh, Ph.D., MBA President and Chief Executive Officer ImmunoCellular Therapeutics, Ltd. 21900 Burbank Blvd, 3rd Floor Woodland Hills, CA 91367 Re: Scarsdale Equities LLC to serve as the non-exclusive placement agent (“Placement...Placement Agent Agreement • March 31st, 2011 • ImmunoCellular Therapeutics, Ltd. • Pharmaceutical preparations • New York
This letter agreement (the “Agreement”) will confirm the engagement of Scarsdale Equities LLC to serve as the non-exclusive placement agent (“Placement Agent”) for ImmunoCellular Therapeutics, Ltd (the “Company”) for the purpose of offering and selling up to $12 million of securities (the “Securities”) of the Company to the potential investors identified pursuant to Section 9 below (the “Private Investment in Public Entity”, herein “PIPE”).
CONSULTING AGREEMENTConsulting Agreement • March 31st, 2011 • ImmunoCellular Therapeutics, Ltd. • Pharmaceutical preparations • New York
This Consulting Agreement (the “Agreement”) is made and entered into to be effective as of October 1, 2010 (the “Effective Date”) by and between ImmunoCellular Therapeutics, Ltd. (IMUC.OB) located at 21900 Burbank Boulevard, 3rd Floor, Woodland Hills, CA 91367 (the “Company”) and JFS Investments located at 35 Crest Loop, Staten Island, NY 10312, a Florida corporation (the “Consultant”).
