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 16 March 2017 Version 2 06 April 2017 Version 3 03 June 2017 Confidential and Proprietary 1 NANT Pancreatic Cancer Vaccine NantCell, Inc. Clinical Trial Protocol: QUILT -3.039 Amendment 2 STATEMENT OF COMPLIA NCE 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 NantCell 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 Pancreatic Cancer Vaccine NantCell, Inc. Clinical Trial Protocol: QUILT -3.039 Amendment 2 PROTOCOL SYNOPSIS Name of Sponsor/Company: NantCell, Inc. Name of Investigational Products: Approved 1. CYCLOPHOSPHAMIDE tablets, for oral use 2. ELOXATIN ( oxaliplatin ) injection for intravenous (IV) use 3. XELODA (capecitabine) tablets, for oral use 4. Fluorouracil Injection, for IV use 5. LEUCOVORIN Calcium for Injection , for IV or I M use 6. ABRAXANE (Nab-paclitaxel) for injectable suspension 7. AVASTIN (Bevacizumab) solution for IV infusion 8. BAVENCIO (avelumab) injection, for IV use Investigational 1. ALT -803, recombinant human super agonist interleukin-15 (IL-15) complex (also known as IL 15N72D:IL-15RαSu/IgG1 Fc complex) 2. aNK™, NK-92 ( activated natural killer cell line, aNK™ for Infusion) 3. ETBX -011: Ad5 [E1-, E2b-]-CEA (carcinoembryonic antigen) 4. GI-4000, a vaccine derived from recombinant Saccharomyces cerevisiae yeast expressing mutant Ras proteins Confidential and Proprietary 3 NANT Pancreatic Cancer Vaccine NantCell, Inc. Clinical Trial Protocol: QUILT -3.039 Amendment 2 Name of Active Ingredients: Approved 1.