1 Protocol: 2014-0443 Version 2.1 Version Date: 11 April 2016 Protocol Title: Phase II Trial of Combination Immunotherapy with nelipepimut-S + GM-CSF (NeuVax™) and Trastuzumab in high-risk HER2+ Breast Cancer Patients Study Drugs: Nelipepimut-S + GM-CSF (NeuVax™) Financial Sponsor: Galena Biopharma (to provide NeuVax™) Director: Cancer Insight, LLC IND: BB-IND#14919 Principal Investigator (PI): Elizabeth A. Mittendorf, MD, PhD Associate Professor Department of Surgical Oncology The University of Texas MD Anderson Cancer Center 1400 Pressler St Unit 1484 Houston, TX 77030 Medical Monitor: John Renshaw, MD Department of Medicine: Hematology/Oncology Services Brooke Army Medical Center 3551 Roger Brooke Drive Fort Sam Houston, TX 78234 IND Sponsor/Investigator Program Director: George E.