Lee, MD Senior Vice President Adult Medical Affairs, NantKwest Inc. 9920 Jefferson Blvd Culver City, CA 90232 Email: John.Lee@Nantkwest.com Cell Phone: +1 -605-610-6391 Protocol Version Date Version 1 21 November 2017 Version 2 27 December 2017 Version 3 01 March 2018 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Amendment 2 Confidential and Proprietary 2 STATEMENT OF C OMPLIANCE This trial will be conducted in accordance with Good Clinical Practice (GCP) as described in the International Conference on Harmonization Guideline E6 (ICH E6) and in accordance with United States (US) Code of Federal Regulations (CFR) applicable to clinical studies (45 CFR Part 46, 21 CFR Part 50, 21 CFR Part 56, and 21 CFR Part 312) and the general ethical principles outlined in the Declaration of Helsinki . The study will receive approval from an Institutional Review Board (IRB) prior to commencement. The Principal Investigator will assure that no deviation from, or changes to the protocol will take place without prior agreement from NantKwest and documented approval from the IRB, except where necessary to eliminate an immediate hazard(s) to the trial participants. I agree to ensure that all staff members involved in the conduct of this study are informed about their obligations in meeting the above com mitments. Principal Investigator: Signed: _____________________________________ Date: ______________ NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Amendment 2 Confidential and Proprietary 3 PROTOCOL SYNOPSIS Name of Sponsor/Company: NantKwest, Inc. Name of Investigational Products: 1. Aldoxorubicin hydrochloride (HCl) 2. ALT -803 (recombinant human superagonist interleukin-15 (IL-15) complex [also known as IL 15N72D:IL-15RαSu/IgG1 Fc complex]) 3. ETBX -011 (adenovirus serotype-5 [Ad5] [E1-, E2b-]- carcinoembryonic antigen [CEA ] vaccine) 4. ETBX -051 (Ad5 [E1-, E2b-]- Brachyury vaccine) 5. ETBX -061 (Ad5 [E1-, E2b-]- mucin 1 [MUC1] vaccine) 6. GI-4000 (RAS yeast vaccine) 7. GI-6207 (CEA yeast vaccine) 8. GI-6301 (Brachyury yeast vaccine) 9. haNK™, NK -92 [CD16.158V, ER IL- 2], Suspension for Infusion (haNK™ for Infusion) Name of Approved Products: 10. Avelumab (BAVENCIO® injection, for intravenous [ IV] use) 11. Bevacizumab (AVASTIN® solution for IV infusion) 12. Capecitabine (XELODA® tablets, for oral use) 13. Cisplatin (CISplatin injection) 14. Cyclophosphamide (Cyclophosphamide Capsules, for oral use; or Cyclophosphamide Tablets, USP) 15. 5-Fluorouracil (5-FU; Fluorouracil Injection, for IV use only) 16. Leucovorin (LEUCOVORIN Calcium for Injection, for IV or intramuscular [IM] use) 17. Nab-paclitaxel (ABRAXANE® for Injectable Suspension [paclitaxel protein-bound particles for injectable suspension ] [albumin-bound]) 18. Stereotactic Body Radiation Therapy (SBRT) NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Amendment 2 Confidential and Proprietary 4 Name of Active Ingredients Investigational Products: 1.