STRICTLY CONFIDENTIAL Oncternal Therapeutics, Inc. 12230 El Camino Real Suite 300 San Diego, California 92130 Attn: James B. Breitmeyer, M.D., Ph.D., President and Chief Executive OfficerExclusive Agency Agreement • March 12th, 2021 • Oncternal Therapeutics, Inc. • Pharmaceutical preparations • New York
This letter agreement (this “Agreement”) constitutes the agreement between Oncternal Therapeutics, Inc. (the “Company”) and H.C. Wainwright & Co., LLC (“Wainwright”), that Wainwright shall serve as the exclusive agent, advisor or underwriter in any offering (each, an “Offering”) of securities of the Company (the “Securities”) during the Term (as hereinafter defined) of this Agreement. The terms of each Offering and the Securities issued in connection therewith shall be mutually agreed upon by the Company and Wainwright and nothing herein implies that Wainwright would have the power or authority to bind the Company and nothing herein implies that the Company shall have an obligation to issue any Securities. It is understood that Wainwright’s assistance in an Offering will be subject to the satisfactory completion of such investigation and inquiry into the affairs of the Company as Wainwright deems appropriate under the circumstances and to the receipt of all internal approvals of Wainwr
AMENDMENT NO. 3 TO THE AMENDED AND RESTATED LICENSE AGREEMENTLicense Agreement • March 12th, 2021 • Oncternal Therapeutics, Inc. • Pharmaceutical preparations • California
This Amendment No. 3 (“Amendment No.3”) is made as of the Amendment No. 3 Effective Date by and between Oncternal Therapeutics, Inc. having an address at 12230 El Camino Real, Suite 300, San Diego, California 92130 ("LICENSEE") and The Regents of the University of California, a California public corporation having its statewide administrative offices at 1111 Franklin Street, Oakland, California 94607-5200 (“UNIVERSITY”), represented by its San Diego campus having an address at University of California San Diego, Office of Innovation and Commercialization (“OIC”), Mail Code 0910, 9500 Gilman Drive, La Jolla, California 92093-0910 (“UC San Diego”).
