<SEC-DOCUMENT>0001171843-15-000454.txt : 20150130
<SEC-HEADER>0001171843-15-000454.hdr.sgml : 20150130
<ACCEPTANCE-DATETIME>20150130090051
ACCESSION NUMBER:		0001171843-15-000454
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20150126
ITEM INFORMATION:		Entry into a Material Definitive Agreement
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20150130
DATE AS OF CHANGE:		20150130

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Capstone Therapeutics Corp.
		CENTRAL INDEX KEY:			0000887151
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				860585310
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-21214
		FILM NUMBER:		15560882

	BUSINESS ADDRESS:	
		STREET 1:		1275 WEST WASHINGTON STREET
		STREET 2:		SUITE 101
		CITY:			TEMPE
		STATE:			AZ
		ZIP:			85281
		BUSINESS PHONE:		6022865520

	MAIL ADDRESS:	
		STREET 1:		1275 WEST WASHINGTON STREET
		STREET 2:		SUITE 101
		CITY:			TEMPE
		STATE:			AZ
		ZIP:			85281

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	ORTHOLOGIC CORP
		DATE OF NAME CHANGE:	19940211
</SEC-HEADER>
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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">Date of Report:&#160;&#160;January 26, 2015 (Date of earliest event reported)</font></div>

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<td width="55%" style="BORDER-BOTTOM: black 1.1pt solid; TEXT-ALIGN: center">1275 West Washington Street, Suite 104, Tempe, Arizona </td>
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<div align="center"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Section 1 &#8211; Registrant&#8217;s Business and Operations</font></div>
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<td width="8%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt"><font style="DISPLAY: inline; FONT-WEIGHT: bold">Item 1.01</font></font></td>
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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;On January 26, 2015 Capstone Therapeutics Corp.&#8217;s joint venture, LipimetiX Development, LLC, and the UAB Research Foundation entered into the Second Amendment to Exclusive License Agreement (the &#8220;Agreement&#8221;).&#160;&#160;The Second Amendment to Exclusive License Agreement, effective December 15, 2014, changes several&#160;&#160;key terms, including extending the period of exclusivity to Improvements and amending&#160;&#160;the amount of milestone, royalty and percentage of Non-Royalty Income payments to be due under the Agreement.</font></div>

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<td width="9%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">10.1</font></td>
<td width="91%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Second Amendment to Exclusive License Agreement dated December 15, 2014</font></td>
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<div style="TEXT-ALIGN: right"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Exhibit 10.1</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold"><font style="DISPLAY: inline; TEXT-DECORATION: underline">SECOND AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT</font></font></div>

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<div style="TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">This Second Amendment to Exclusive License Agreement (this &#8220;Second Amendment&#8221;) is made effective as of December 15, 2014 (the &#8220;Second Amendment Effective Date&#8221;) by and between The UAB Research Foundation (&#8220;UABRF&#8221;) and LipimetiX Development, LLC (&#8220;Licensee&#8221;).&#160;&#160;For purposes of this Second Amendment, each of UABRF and Licensee is referred to herein as a &#8220;Party&#8221; and collectively, they are referred to as the &#8220;Parties&#8221;.</font></div>

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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">RECITALS</font></div>

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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">WHEREAS, UABRF and LipimetiX, LLC (&#8220;LipimetiX&#8221;) previously entered into that certain Exclusive License Agreement dated effective as of August 26, 2011 (&#8220;Original Agreement&#8221;) governing the license and exploitation by LipimetiX of certain Licensed Patents as defined in the Agreement; and</font></div>

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<div style="TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">WHEREAS, UABRF, LipimetiX, and Licensee previously entered into that certain First Amendment and Consent to Assignment of Exclusive License Agreement dated effective as of August 3, 2012 (&#8220;First Amendment&#8221;) in which LipimetiX assigned all of its interest under the Agreement to Licensee and the Original Agreement was amended accordingly (together, the Original Agreement as amended by the First Amendment is referred to as the &#8220;Agreement&#8221;); and</font></div>

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<div style="TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#160;WHEREAS, UABRF and Licensee have collaborated together and have conceived and developed certain Improvements which are jointly owned by both UABRF and Licensee and UABRF wishes to grant a license to Licensee and Licensee wishes to license from UABRF all of UABRF&#8217;s right, interest and title in and to such Improvements; and</font></div>

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<div style="TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">WHEREAS, the Parties also wish to effect certain amendments to the Agreement.</font></div>

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<div style="TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">NOW, THEREFORE, for good and valuable consideration, the Parties agree to further amend the Agreement as follows:</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">1.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;All capitalized terms used herein shall bear the meaning ascribed to them in the Agreement unless otherwise defined herein.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">2.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="DISPLAY: inline; TEXT-DECORATION: underline">Section 1.9.</font>&#160;&#160;Section 1.9 of the Agreement is amended by deleting the words &#8220;First Amendment&#8221; appearing in subpart (a) and replacing them with the words &#8220;Second Amendment&#8221; and capitalizing the words applicable laws appearing in subpart (b).&#160;&#160;The edits are shown in the text below with the new language underlined.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 45pt; MARGIN-RIGHT: 36pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#8220;Improvement&#8221; means any modification, improvement, replacement, alternative or enhancement to a device, method, composition, invention, discovery or product that (a) is conceived or reduced to practice after the Effective Date and before the third anniversary of the execution of the <font style="DISPLAY: inline; TEXT-DECORATION: underline">Second Amendment</font>, and (b) is a modification, improvement, enhancement, alternative or replacement in which Dr. G. M. Anantharamaiah (or any UAB employee working directly under Dr. Anantharamaiah&#8217;s supervision) or any Inventor(s) makes an inventive contribution under <font style="DISPLAY: inline; TEXT-DECORATION: underline">A</font>pplicable <font style="DISPLAY: inline; TEXT-DECORATION: underline">L</font>aws, and (c) (i) is related to any of the </font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 45pt; MARGIN-RIGHT: 36pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">descriptions, specifications or claims in any Licensed Patent, or (ii) is covered by a Valid Patent Claim, or (iii) is a modification, improvement or enhancement the development, manufacture, use, import, export, offer for sale or sale of which is covered by (or which cannot be undertaken or completed without infringing) a Valid Patent Claim set forth in one or more of the Licensed Patents and (d) in which right, title and interest is owned by UAB, in whole or in part, pursuant to the criteria set forth in Board Rule 509 as promulgated by the Board of Trustees of the University of Alabama or is contractually required to be assigned to UAB or its designee.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">3.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="DISPLAY: inline; TEXT-DECORATION: underline">Section 1.37.</font>&#160;&#160;Section 1.37 of the Agreement is amended by deleting the words &#8220;First Amendment&#8221; and replacing them with the words &#8220;Second Amendment&#8221;.&#160;&#160;The edit is shown in the text below with the new language underlined.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">4.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="DISPLAY: inline; TEXT-DECORATION: underline">Section 2.6.</font>&#160;&#160;The first sentence of Section 2.6 of the Agreement is hereby amended to read as follows (new language is underlined):</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 36pt; MARGIN-RIGHT: 36pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#8220;UABRF hereby grants to the Licensee an exclusive option to license all Improvements that are wholly owned by UAB (and its designee, UABRF) and <font style="DISPLAY: inline; TEXT-DECORATION: underline">all of UABRF&#8217;s right, title and interest in and to</font> any Improvement jointly owned by UABRF and the Licensee in the Licensed Field of Use in the Territory during the Term upon the same terms and conditions as the Licensed Patents.&#8221;</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">5.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;Licensee and UABRF hereby ratify and confirm that Licensee has exercised its exclusive option pursuant to Section 2.6 of the Agreement to license all of UABRF&#8217;s right, title, and interest in and to the following Improvement:</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 36pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Provisional Patent Application No. 61/782,956, &#8220;Apolipoprotein Mimetics and Uses Thereof,&#8221; Anantharamaiah; Gattadahalli M., Goldberg; Dennis I. filed on March 14, 2013.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 36pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Provisional Patent Application No. 61/349,992, &#8220;Apolipoprotein Mimetics and Uses Thereof,&#8221; Anantharamaiah; Gattadahalli M., Goldberg; Dennis I. filed on June 14, 2013.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 36pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">International Application No. PCT/US2014/27719, &#8220;Apolipoprotein Mimetics and Uses Thereof,&#8221; Anantharamaiah; Gattadahalli M., Goldberg; Dennis I. filed on March 14, 2014.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 36pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Provisional Patent Application No.62/031,585, &#8220;ApoE Mimetic Peptides and Higher Potency to Clear Plasma Cholesterol,&#8221; Anantharamaiah; Gattadahalli M., Goldberg; Dennis I. filed on July 31, 2014.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">8.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="DISPLAY: inline; TEXT-DECORATION: underline">Section 5.6.</font>&#160;&#160;The table appearing in Section 5.6 is hereby deleted in its entirety and replaced with the following table:</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Milestone</font></div>
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<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-TOP: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Milestone Payment Due</font></div>
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<td align="left" valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;Submission of an investigational new </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;drug application (an &#8220;IND&#8221;) with the </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;FDA for each Licensed Product</font></div>
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<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; TEXT-ALIGN: center; BORDER-LEFT: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;Fifty Thousand Dollars ($50,000)</font></div>
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<td align="left" valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;Initiation of any Phase III Clinical Study </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;for each Licensed Product</font></div>
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<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">One Hundred Thousand Dollars </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">($100,000)</font></div>
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<td align="left" valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;Submission of New Drug Application </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;(NDA) for each Licensed Product</font></div>
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<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Two Hundred Fifty Thousand Dollars </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">($250,000)</font></div>
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<td align="left" valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;FDA approval of the first (not each) </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;Licensed Product</font></div>
</td>
<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Five Hundred Thousand Dollars </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">($500,000)</font></div>
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<td align="left" valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;FDA approval of the second (not each) </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;Licensed Product (embodiment for </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;different clinical indication)</font></div>
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<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Five Hundred Thousand Dollars </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">($500,000)</font></div>
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<div style="TEXT-INDENT: 0pt; DISPLAY: block"><br>
</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">9.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="DISPLAY: inline; TEXT-DECORATION: underline">Section 5.8(ii).</font>&#160;&#160;Section 5.8(ii) shall be amended by adding the following language to the end of section 5.8(ii):</font></div>

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<div style="TEXT-ALIGN: center; WIDTH: 100%"><font style="DISPLAY: inline; FONT-FAMILY: effontselection; FONT-SIZE: 10pt">3</font></div>

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<div id="GLHDR" style="WIDTH: 100%" align="right"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 8pt">&#160; </font></div>
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<div>&#160;</div>
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<div><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#160; </font></div>
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<td>
<div align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#8220;, such thirty percent (30%) not to exceed three percent (3%) of Sales of Licensed Products effected by Sublicensees in such country/jurisdiction until the expiration of the Last Valid Patent Claim (that is infringed by such Licensed Product) in that country/jurisdiction.&#8220;</font></div>
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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify">&#160;</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">10.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="DISPLAY: inline; TEXT-DECORATION: underline">Section 5.9.</font>&#160;&#160;The table appearing in Section 5.9 is hereby deleted in its entirety and replaced with the following table:</font></div>

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<table cellpadding="0" cellspacing="0" width="100%" style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-SIZE: 10pt; FONT-FAMILY: times new roman">
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<td valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-TOP: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Calendar Year Ending</font></div>
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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Minimum Payment</font></div>
</td>
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<td valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">December 31 of the First Calendar Year </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">following the Calendar Year in which the </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">First Commercial Sale occurs</font></div>
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<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Five Hundred Thousand and No/100 Dollars</font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">($500,000)</font></div>
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<td valign="top" width="33%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Each December 31 thereafter during the </font><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Term</font></div>
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<td valign="top" width="34%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: #000000 1.1pt solid; BORDER-RIGHT: #000000 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">One Million and No/100 Dollars </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">($1,000,000)</font></div>
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</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify">&#160;</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">11.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<font style="DISPLAY: inline; TEXT-DECORATION: underline">Section 5.11.</font>&#160;&#160;The table appearing in Section 5.11 is deleted in its entirety and is replaced with the following table:</font></div>

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<div>
<table cellpadding="0" cellspacing="0" width="100%" style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-SIZE: 10pt; FONT-FAMILY: times new roman">
<tr>
<td valign="top" width="46%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: black 1.1pt solid; BORDER-TOP: black 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Period when Non Royalty Income is Received by </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">the Licensee</font></div>
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<td valign="top" width="21%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-TOP: black 1.1pt solid; BORDER-RIGHT: black 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Percentage of Non </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Royalty Income to be </font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Paid to UABRF</font></div>
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<td valign="top" width="46%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-LEFT: black 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">After the Second Amendment Effective Date</font></div>
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<td valign="top" width="21%" style="BORDER-BOTTOM: black 1.1pt solid; BORDER-RIGHT: black 1.1pt solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="center"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Five Percent (5%)</font></div>
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</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify">&#160;</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">12.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;All other terms and conditions of the Agreement shall remain in full force and effect.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block"><br>
</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify">&#160;</div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">IN WITNESS WHEREOF, UABRF and Licensee have each caused its duly authorized representative to execute this Second Amendment, effective as of the Effective Date.</font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify">&#160;</div>

<div align="center">
<table bgcolor="white" cellpadding="0" cellspacing="0" width="100%" style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-SIZE: 10pt; FONT-FAMILY: times new roman">
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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">UABRF:</font></font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">The UAB Research Foundation</font></font></div>
</td>
<td width="4%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;</font></td>
<td colspan="2" width="48%">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">LICENSEE:</font></font></div>

<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="justify"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">LipimetiX Development, LLC</font></font></div>
</td>
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<td colspan="2" width="48%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;</font></td>
<td width="4%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;</font></td>
<td colspan="2" width="48%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;</font></td>
</tr><tr>
<td width="10%" style="PADDING-BOTTOM: 2px"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">By:</font></td>
<td width="38%" style="BORDER-BOTTOM: black 1.1pt solid"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">/s/ Kathy Nugent, Ph.D.</font></td>
<td width="4%" style="PADDING-BOTTOM: 2px"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;</font></td>
<td width="10%" style="PADDING-BOTTOM: 2px"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">By: </font></td>
<td width="38%" style="BORDER-BOTTOM: black 1.1pt solid"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">/s/ Dennis I. Goldberg, Ph.D.</font></td>
</tr><tr>
<td width="10%" style="PADDING-BOTTOM: 2px"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Name: </font></td>
<td width="38%" style="BORDER-BOTTOM: black 1.1pt solid"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Kathy Nugent, Ph.D.</font></td>
<td width="4%" style="PADDING-BOTTOM: 2px"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;</font></td>
<td width="10%" style="PADDING-BOTTOM: 2px"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Name: </font></td>
<td width="38%" style="BORDER-BOTTOM: black 1.1pt solid"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Dennis I. Goldberg, Ph.D.</font></td>
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<td width="10%" style="PADDING-BOTTOM: 2px"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Title: </font></td>
<td width="38%" style="BORDER-BOTTOM: black 1.1pt solid"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Managing Director</font></td>
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<td width="38%" style="BORDER-BOTTOM: black 1.1pt solid"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">12/31/2014</font></td>
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<td width="38%" style="BORDER-BOTTOM: black 1.1pt solid"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt">1/26/2015</font></td>
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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">All of the technology covered by the patents and patent applications listed below were created and conceived through the use of federal funds.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt"><font style="DISPLAY: inline; TEXT-DECORATION: underline">(U1996-0082)</font></font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Patent No. 6,156,727, &#8220;Anti-atherosclerotic peptides and a transgenic mouse model of atherosclerosis,&#8221; Garber; David W., Ananatharamaiah; Gattadahalli M. filed September 5, 1997 and issued December 5, 2000.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Patent No. 6,506,880, &#8220;Synthetic peptides that enhance atherogenic lipoprotein uptake and lower plasma cholesterol,&#8221; Ananatharamaiah; Gattadahalli M. filed March 7, 2000 and issued January 14, 2003.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Patent No. 7,563,771, &#8220;Synthetic single domain polypeptides mimicking apolipoprotein E,&#8221; Ananatharamaiah; Gattadahalli M., Garber; David W., Datta, Geeta, filed November 13, 2003 and issued July 21, 2009.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">The corresponding foreign patents and patent applications filed include:</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">The corresponding foreign patents granted include:</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">The corresponding patent application published is:</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Patent No. 8,084,423, &#8220;Synthetic single domain polypeptides mimicking apolipoprotein E and methods of use,&#8221; Ananatharamaiah; Gattadahalli M., Garber; David W., Datta, Geeta, filed April 17, 2006 and issued December 27, 2011.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">International Application No. PCT/US2008/074470, &#8220;Synthetic apolipoprotein E mimicking polypeptides and methods of use,&#8221; Ananatharamaiah; Gattadahalli M., Garber; David W., Datta, Geeta, Handattu; Shella P., Mishra; Vinod K. filed on August 27, 2008.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Provisional Patent Application No. 61/782,956, &#8220;Apolipoprotein Mimetics and Uses Thereof,&#8221; Anantharamaiah; Gattadahalli M., Goldberg; Dennis I. filed on March 14, 2013.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Provisional Patent Application No. 61/349,992, &#8220;Apolipoprotein Mimetics and Uses Thereof,&#8221; Anantharamaiah; Gattadahalli M., Goldberg; Dennis I. filed on June 14, 2013.</font></div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">U.S. Provisional Patent Application No.62/031,585, &#8220;ApoE Mimetic Peptides and Higher Potency to Clear Plasma Cholesterol,&#8221; Anantharamaiah; Gattadahalli M., Goldberg; Dennis I. filed on July 31, 2014.</font></div>

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