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 Confidential and Proprietary 1 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 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) C ode 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 commitments. Principal Investigator: Signed: _____________________________________ Date: ______________ Confidential and Proprietary 2 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 LIST OF ABBREVIATION S AND DEFINITIONS OF TERMS Abbreviation or Specialist Term Explanation Ad5 Adenovirus serotype -5 β-HCG β-Human chorionic gonadotropin ADCC Antibody- dependent cellular cytotoxicity AE Adverse event ALT Alanine aminotransferase AML Acute myeloid leukemia AST Aspartate aminotransferase BUN Blood urea nitrogen CAP College of American Pathologists CAR Chimeric antigen receptor CBC Complete blood count CEA Carcinoembryonic antigen CEP Circulating endothelial progenitor cell CLIA Clinical Laboratory Improvement Amendments CR Complete response CRF Case report form CSC Cancer stem cell CT Computed tomography CTCAE Common Terminology Criteria for Adverse Events DAMP Damage -associated molecular pattern DCR Disease control rate DC Dendritic cell DFS Disease- free survival DLT Dose -limiting toxicity DOR Duration of response DSMB Independent Drug Safety Monitoring Board DTH Delayed -type hypersensitivity EBV Epstein -Barr Virus ECG Electrocardiogram ECHO Echocardiogram Confidential and Proprietary 3 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Abbreviation or Specialist Term Explanation ECOG Eastern Cooperative Oncology Group eCRF Electronic case report form EDC Electronic data capture EGF Epidermal growth factor ELISA Enzyme- linked immunosorbent assay EOS End of study EOT End of treatment ER Estrogen receptor FACT -B Functional Assessment of Cancer Therapy -Breast Cancer FFPE Formalin -fixed paraffin -embedded FOLFIRINOX Folinic acid (leucovorin), 5-FU, irinotecan, and oxaliplatin GCP Good Clinical Practice GLP Good Laboratory Practice GTV Gross tumor volume GvHD Graft versus host disease HER2 Human Epidermal Growth Factor Receptor 2 HIV Human immunodeficiency virus HLA Human leukocyte antigen HSA Human serum albumin HSCT Hematopoietic stem cell transplant HTD Highest tested dose ICD Immunological cell death ICF Informed consent form ICH International Conference on Harmonization IDMC Independent Data Monitoring Committee IEC Independent Ethics Committee IFN Interferon IHC Immunohistochemistry IL Interleukin IMRT Intensity -modulated radiation therapy IP Investigational product Confidential and Proprietary 4 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Abbreviation or Specialist Term Explanation IRB Institutional Review Board irCR Immune -related complete response irPD Immune -related progressive disease irPR Immune -related partial response irRC Immune -related response criteria irSD Immune -related stable disease IV Intravenous KIR Killer cell immunoglobulin -like receptor LDH Lactate dehydrogenase LDMC Low-dose, metronomic cytotoxic chemotherapy LLD Longest lesion diameter LLN Lower limit of normal LVEF Left ventricular ejection fraction M2 cells M2 macrophages MCB Master cell bank MCC Merkel cell carcinoma mCRC Metastatic colorectal cancer MDSC Myeloid -derived suppressor cell MedRA Medical Dictionary for Regulatory Activities MHC Major histocompatibility complex MIP Macrophage inflammatory protein MRI Magnetic resonance imaging MTD Maximum tolerated dose MUC1 Mucin 1 MV Megavolt NANT Neoantigen, Adenovirus, NK Cell, T cell: delivery of combined immune oncology multi- modality treatment NCI National Cancer Institute NK Natural killer (cell) NOD/SCID Non-obese diabetic severe combined immunodeficiency NSAID Nonsteroidal anti-inflammatory drug NSCLC Non-small cell lung cancer Confidential and Proprietary 5 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Abbreviation or Specialist Term Explanation NSG Non-obese diabetic scid gamma ORR Objective response rate OS Overall survival PBMC Peripheral blood mononuclear cell PD Progressive disease PD-1 Programmed cell death protein 1 PD-L1 Programmed death -ligand 1 PFS Progression- free survival PI Principal Investigator PR Partial response PRO Patient -reported outcome qPCR Quantitative polymerase chain reaction RCC Renal cell carcinoma RECIST Response Evaluation Criteria in Solid Tumors SAE Serious adverse event SAP Statistical analysis plan SBRT Stereotactic body radiotherapy SC Subcutaneous SCC Squamous cell carcinoma SCID Severe combined immunodeficiency SD Stable disease SoC Standard of Care SOP Standard operating procedure SRC Safety Review Committee SUSAR Suspected unexpected serious adverse reaction TAA Tumor- associated antigen TAM Tumor- associated macrophage TME Tumor microenvironment TNF Tumor necrosis factor Treg Regulatory T cells ULN Upper limit of normal US United States Confidential and Proprietary 6 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Abbreviation or Specialist Term Explanation VEGF Vascular endothelial growth factor VP Viral particles WBC White blood cell YU Yeast unit Confidential and Proprietary 7 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 PROTOCOL SYNOPSIS Name of Sponsor/Company: NantKwest, Inc. Name of Investigational Products: 1. Aldoxorubicin hydrochloride (HCl) 2. ALT -803 (recombinant human super agonist interleukin-15 (IL-15) complex [also known as IL 15N72D:IL-15RαSu/IgG1 Fc complex]) 3. ETBX -011 (adenovirus serotype-5 [Ad5] [E1-, E2b-]- CEA [carcinoembryonic antigen] 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 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 Cal cium 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. Omega -3-acid ethyl esters (LOVAZA® Capsules, for oral use) 19. Stereotactic Body Radiation Therapy (SBRT) Confidential and Proprietary 8 NANT TNBC Vaccine NantKwest, Inc. Clinical Trial Protocol: QUILT -3.067 Name of Active Ingredients Investigational Products: 1.