GT Biopharma, Inc. Contracts & Agreements

Amendment No. 1 to Employment Agreement with Michael Breen, dated as of June 17, 2022 (Filed With SEC on March 26, 2024)

Amendment No. 2 to Services Agreement with Michael Breen, dated as of February 20, 2023 (Filed With SEC on March 26, 2024)

Amendment No. 1 to Employment Agreement with Manu Ohri, dated as of February 17, 2023 (Filed With SEC on March 26, 2024)

Description of the Registrants Securities Registered pursuant to Section 12 of the Securities Exchange Act of 1934, as Amended (Filed With SEC on March 30, 2023)

Form of Common Warrant (Filed With SEC on January 4, 2023)

Form of Pre-Funded Warrant (Filed With SEC on January 4, 2023)

Form of Placement Agent Warrant (Filed With SEC on January 4, 2023)

Form of Securities Purchase Agreement (Filed With SEC on January 4, 2023)

Settlement and Investment Agreement dated August 24, 2022, by and between GT Biopharma, Inc. and Cytovance Biologics, Inc (Filed With SEC on October 31, 2022)

Board Service Agreement with Michael Breen dated November 11, 2020 (Filed With SEC on May 16, 2022)

Employment Agreement with Manu Ohri dated May 15, 2022 (Filed With SEC on May 16, 2022)

Exclusive License Agreement with Regents of the University of Minnesota, dated March 26, 2021 (Filed With SEC on March 28, 2022)

Research Agreement with Regents of the University of Minnesota, dated June 16, 2021 (Filed With SEC on March 28, 2022)

Sublease Agreement dated November, 2021, between Aimmune Therapeutics, Inc. (Sublandlord) and GT Biopharma, Inc. (Subtenant) (Filed With SEC on March 28, 2022)

Employment Agreement with Michael Breen, entered into as of December 31, 2021 with an effective date of November 8, 2021 (Filed With SEC on March 28, 2022)

Amended and Restated Employment Agreement with Anthony Cataldo, dated April 23, 2021 (Filed With SEC on May 17, 2021)

Amended and Restated Employment Agreement with Michael Handelman, dated April 23, 2021 (Filed With SEC on May 17, 2021)

Amended and Restated Employment Agreement with Dr. Gregory Berk, dated April 23, 2021 (Filed With SEC on May 17, 2021)

Certificate of Designation of Preferences, Rights and Limitations of Series K Preferred Stock of GT Biopharma, Inc., dated April 3, 2019 (Filed With SEC on April 16, 2021)

Amendment to Convertible Note, effective as of January 31, 2021, by and between GT Biopharma, Inc. and Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B (Filed With SEC on February 9, 2021)

Form of Securities Purchase Agreement (Filed With SEC on February 9, 2021)

Form of December 2020 / January 2021 Note (Filed With SEC on February 9, 2021)

Form of Underwriting Agreement (Filed With SEC on February 8, 2021)

Board Service Agreement with Rajesh Shrotriya, dated January 12, 2021 (Filed With SEC on February 8, 2021)

Board Service Agreement with Michael Breen, dated January 12, 2021 (Filed With SEC on February 8, 2021)

Amendment to Settlement Note with Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B (Filed With SEC on February 8, 2021)

Form of Securities Purchase Agreement - December 2020 / January 2021 Notes (Filed With SEC on February 8, 2021)

Form of December 2020 / January 2021 Note (Filed With SEC on February 8, 2021)

Form of Second Amendment and Extension of Standstill and Forbearance Agreement (Filed With SEC on February 2, 2021)

Form of Amendment to Convertible Note, dated as of January 31, 2021 (Filed With SEC on February 2, 2021)

Form of Warrant (Filed With SEC on February 2, 2021)

Form of Pre-Funded Warrant (Filed With SEC on February 2, 2021)

SETTLEMENTAGREEMENT (Filed With SEC on December 28, 2020)

CONVERTIBLE NOTE DUE JANUARY 31, 2021 (Filed With SEC on December 28, 2020)

AMENDMENT TO CONVERTIBLE NOTE & STANDSTILLAGREEMENT (Filed With SEC on December 23, 2020)

Settlement Agreement, dated as of November 9, 2020, by and among Adam Kasower, East Ventures, Inc., A British Virgin Islands company, SV Booth Investments III, LLC, a Delaware... (Filed With SEC on November 13, 2020)

Form of Settlement Note, dated November 9, 2020 (Filed With SEC on November 13, 2020)

Steve Weldon Letter of Resignation, dated November 11, 2020 (Filed With SEC on November 13, 2020)

Board Service Agreement with Bruce Wendel, dated November 11, 2020 (Filed With SEC on November 13, 2020)

Board Service Agreement with Greg Berk, dated November 11, 2020 (Filed With SEC on November 13, 2020)

Consultant Agreement with Michael Handelman, dated November 13, 2020 (Filed With SEC on November 13, 2020)

Form of Secured Convertible Note (Filed With SEC on November 9, 2020)

Securities Purchase Agreement (Filed With SEC on November 9, 2020)

Master Services Agreement (Filed With SEC on October 6, 2020)

Form of Secured Convertible Note (Filed With SEC on September 22, 2020)

Securities Purchase Agreement (Filed With SEC on September 22, 2020)

Employment agreement with Anthony Cataldo (Filed With SEC on August 14, 2020)

Employment agreement with Steven Weldon (Filed With SEC on August 14, 2020)

Form of Secured Convertible Note (Filed With SEC on July 9, 2020)

Securities Purchase Agreement (Filed With SEC on July 9, 2020)

Registration Rights Agreement (Filed With SEC on July 9, 2020)

STANDSTILL AND FORBEARANCE AGREEMENT (Filed With SEC on June 23, 2020)

Settlement Agreement, dated as of June 19, 2020, among GT Biopharma, Inc., Empery Asset Master Ltd., Empery Tax Efficient, LP and Empery Tax Efficient II, LP, Anthony Cataldo and... (Filed With SEC on June 19, 2020)

Form of Convertible Note, dated June 19, 2020 (included in Exhibit 10.1) (Filed With SEC on June 19, 2020)

Form of Pre-Funded Warrant to Purchase Common Stock, dated June 19, 2020 (included in Exhibit 10.1) (Filed With SEC on June 19, 2020)

Securities Purchase Agreement by and among the Company and the Buyers, dated January 30, 2020 (Filed With SEC on May 15, 2020)

Form of Registration Rights Agreement by and among the Company and the Buyers, dated January 30, 2020 (Filed With SEC on May 15, 2020)

Form of Note, dated January 30, 2020 (Filed With SEC on May 15, 2020)

Securities Purchase Agreement by and among the Company and the Buyers, dated April/May, 2020 (Filed With SEC on May 15, 2020)

Form of Registration Rights Agreement by and among the Company and the Buyers, dated April/May, 2020 (Filed With SEC on May 15, 2020)

Form of Note, dated April/May, 2020 (Filed With SEC on May 15, 2020)

Clinical Trial Agreement with University of Minnesota (Filed With SEC on May 15, 2020)

Form of Secured Convertible Note (Filed With SEC on August 23, 2019)

Securities Purchase Agreement (Filed With SEC on August 23, 2019)

Registration Rights Agreement (Filed With SEC on August 23, 2019)

CONVERTIBLE NOTE DUE NOVEMBER ___, 2019 (Filed With SEC on May 24, 2019)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on May 24, 2019)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on May 24, 2019)

Form of Secured Convertible Note, dated February 4, 2019 (Filed With SEC on February 6, 2019)

Securities Purchase Agreement by and among the Company and the Purchasers, dated February 4, 2019 (Filed With SEC on February 6, 2019)

Security Agreement by and among the Company, Alpha Capital Anstalt, as collateral agent, and the Purchasers, dated February 4, 2019 (Filed With SEC on February 6, 2019)

Registration Rights Agreement by and among the Company and the Purchasers, dated February 4, 2019 (Filed With SEC on February 6, 2019)

Executive Employment Agreement with Dr. Urbanski (Filed With SEC on November 14, 2018)

Form of 10% Senior Convertible Debenture (Filed With SEC on September 28, 2018)

Securities Purchase Agreement by and among the Company and the Purchasers, dated September 24, 2018 (Filed With SEC on September 28, 2018)

Form of 10% Senior Convertible Debenture (Filed With SEC on September 7, 2018)

Securities Purchase Agreement by and among the Company and the Purchasers, dated September 7, 2018 (Filed With SEC on September 7, 2018)

Stock Pledge Agreement (Filed With SEC on August 14, 2018)

Form of 10% Senior Convertible Debenture (Filed With SEC on August 3, 2018)

Securities Purchase Agreement by and among the Company and the Purchasers, dated August 2, 2018 (Filed With SEC on August 3, 2018)

INDEMNIFICATION AGREEMENT (Filed With SEC on July 5, 2018)

Executive Employment Agreement, dated as of February 15, 2018, between the Company and Cross (Filed With SEC on February 21, 2018)

First Amendment to the Employment Agreement, dated as of February 14, 2018, between the Company and Dr. Clarence-Smith (Filed With SEC on February 21, 2018)

Consultant Agreement, dated as of February 14, 2018, between the Company and Mr. Cataldo (Filed With SEC on February 21, 2018)

Securities Purchase Agreement by and among the Company and the Buyers, dated January 22, 2018 (Filed With SEC on January 23, 2018)

Form of Registration Rights Agreement by and among the Company and the Buyers, dated January 22, 2018 (Filed With SEC on January 23, 2018)

Form of Note (Filed With SEC on January 23, 2018)

Form of Warrant (Filed With SEC on January 23, 2018)

EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on November 16, 2017)

Agreement and Plan of Merger (Filed With SEC on November 14, 2017)

Certificate of Designation of Preferences, Rights and Limitations of Series J Convertible Preferred Stock of GT Biopharma, Inc (Filed With SEC on November 14, 2017)

Employment Agreement with Anthony Cataldo (Filed With SEC on November 14, 2017)

Employment Agreement with Dr. Kathleen Clarence-Smith (Filed With SEC on November 14, 2017)

Employment Agreement with Steven Weldon (Filed With SEC on November 14, 2017)

EMPLOYMENTAGREEMENT (Filed With SEC on November 14, 2017)

Employment Agreement with Dr. Raymond Urbanski (Filed With SEC on November 14, 2017)

Warrant Conversion Agreement (Filed With SEC on November 14, 2017)

Preferred Conversion Agreement (Filed With SEC on November 14, 2017)

Amended Note Conversion Agreement (Filed With SEC on November 14, 2017)

Amended Warrant Conversion Agreement (Filed With SEC on November 14, 2017)

Amended Preferred Conversion Agreement (Filed With SEC on November 14, 2017)

License Agreement with ID4 Pharma LLC (Filed With SEC on August 11, 2017)

License Agreement with MultiCell Immunotherapeutics, Inc (Filed With SEC on August 11, 2017)

License Agreement with the University of Minnesota (Filed With SEC on August 11, 2017)

License Agreement with Daniel A. Vallera, Ph.D (Filed With SEC on August 11, 2017)

EXCLUSIVE PATENT LICENSE AGREEMENT (Filed With SEC on January 24, 2017)

LICENSE AGREEMENT (Filed With SEC on January 24, 2017)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on January 13, 2017)

10% SENIOR CONVERTIBLE DEBENTURE DUE JUNE 30, 2017 (Filed With SEC on January 13, 2017)

COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on January 13, 2017)

LICENSE AGREEMENT (Filed With SEC on December 28, 2016)

LICENSE AGREEMENT (Filed With SEC on October 31, 2016)

EXCLUSIVE PATENT LICENSE AGREEMENT (Filed With SEC on October 31, 2016)

LICENSE AGREEMENT (Filed With SEC on October 31, 2016)

LICENSE AGREEMENT (Filed With SEC on October 3, 2016)

EXCLUSIVE PATENT LICENSE AGREEMENT (Filed With SEC on October 3, 2016)

LICENSE AGREEMENT (Filed With SEC on October 3, 2016)

NOTE CONVERSION AGREEMENT (Filed With SEC on October 3, 2016)

WARRANT EXERCISE AGREEMENT (Filed With SEC on October 3, 2016)

PREFERRED STOCK EXCHANGE AGREEMENT (Filed With SEC on October 3, 2016)

SERIES A WARRANT CERTIFICATE (Filed With SEC on October 3, 2016)

CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITAITONS OF SERIES J CONVERTIBLE PREFERRED STOCK OF OXIS INTERNATIONAL, INC. (Filed With SEC on August 25, 2016)

CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITAITONS OF SERIES J CONVERTIBLE PREFERRED STOCK OF OXIS INTERNATIONAL, INC. (Filed With SEC on August 24, 2016)

Employment Agreement of Steven Weldon (Filed With SEC on March 30, 2016)

Employment Agreement of Anthony Cataldo (Filed With SEC on March 30, 2016)

AMENDMENT TO NOTE CONVERSION AGREEMENT (Filed With SEC on February 19, 2016)

Note Conversion Agreement (Filed With SEC on January 8, 2016)

Warrant Exercise Agreement (Filed With SEC on January 8, 2016)

Preferred Stock Exchange Agreement (Filed With SEC on January 8, 2016)

AMENDED EMPLOYMENT AGREEMENT (Filed With SEC on March 31, 2015)

10% SENIOR CONVERTIBLE DEBENTURE DUE MARCH______, 2017 (Filed With SEC on March 13, 2015)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on March 13, 2015)

COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on March 13, 2015)

RESEARCH AGREEMENT (Filed With SEC on March 13, 2015)

EMPLOYMENT AGREEMENT (Filed With SEC on January 8, 2015)

STEVE WELDON EXECUTIVE EMPLOYMENT AGREEMENT AMENDED (Filed With SEC on January 8, 2015)

STEVE WELDON EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on November 10, 2014)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on July 30, 2014)

10% SENIOR CONVERTIBLE DEBENTURE DUE JULY 24, 2016 (Filed With SEC on July 30, 2014)

COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on July 30, 2014)

SETTLEMENT AGREEMENT AND MUTUAL GENERAL RELEASE (Filed With SEC on August 20, 2012)

8.0% TWO-YEAR CONVERTIBLE DEBENTURE (Filed With SEC on May 21, 2012)

SERIES A COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on May 21, 2012)

SERIES B COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on May 21, 2012)

STANDSTILL AND FORBEARANCE AGREEMENT (Filed With SEC on May 21, 2012)

JOINT VENTURE AGREEMENT (Filed With SEC on July 12, 2011)

OXIS INTERNATIONAL, INC. 2010 EQUITY INCENTIVE PLAN (Filed With SEC on March 31, 2011)

SERIES I PREFERRED STOCK PURCHASE AGREEMENT (Filed With SEC on March 31, 2011)

FIRST AMENDMENT TO 0% CONVERTIBLE DEBENTURE (Filed With SEC on March 31, 2011)

ESCROW AGREEMENT (Filed With SEC on March 30, 2010)

EMPLOYMENT AGREEMENT (Filed With SEC on March 30, 2010)

EXCHANGEAGREEMENT (Filed With SEC on February 16, 2010)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on October 9, 2009)

0% CONVERTIBLE DEBENTURE DUE OCTOBER 1, 2011 (Filed With SEC on October 9, 2009)

Series A COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on October 9, 2009)

Series B COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on October 9, 2009)

[OXIS LETTERHEAD] (Filed With SEC on October 9, 2009)

STANDSTILL AND FORBEARANCE AGREEMENT (Filed With SEC on October 9, 2009)

CONVERTIBLE DEMANDPROMISSORY NOTE (Filed With SEC on April 13, 2009)

COMMONSTOCK PURCHASE WARRANT OXISINTERNATIONAL, INC. (Filed With SEC on April 13, 2009)

ASSETPURCHASE AGREEMENT (Filed With SEC on December 18, 2008)

SECURED PROMISSORYNOTE (Filed With SEC on December 18, 2008)

AGREEMENT (Filed With SEC on December 10, 2008)

BRISTOL CAPITAL ADVISORS, LLC (Filed With SEC on June 24, 2008)

BRISTOLCAPITAL ADVISORS, LLC (Filed With SEC on June 13, 2008)

AMENDMENT TO ADVISORY AGREEMENT (Filed With SEC on October 16, 2007)

EMPLOYMENT AGREEMENT (Filed With SEC on November 13, 2006)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on October 26, 2006)

SECURED CONVERTIBLE DEBENTURE DUE October 25, 2008 (Filed With SEC on October 26, 2006)

[SERIES A/B/C/D/E] COMMON STOCK PURCHASE WARRANT OXIS INTERNATIONAL, INC. (Filed With SEC on October 26, 2006)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on October 26, 2006)

SECURITY AGREEMENT (Filed With SEC on October 26, 2006)

RENEWAL AND MODIFICATION PROMISSORY NOTE (Filed With SEC on July 26, 2006)

OXIS INTERNATIONAL INC. COMMON STOCK PURCHASE WARRANT (Filed With SEC on July 26, 2006)

AMENDMENT #2 TO EXCLUSIVE LICENSE AND SUPPLY AGREEMENT (Filed With SEC on July 26, 2006)

MUTUAL SERVICES AGREEMENT (Filed With SEC on June 29, 2006)

PROMISSORY NOTE (Filed With SEC on April 4, 2006)

PROMISSORY NOTE Foster City, California (Filed With SEC on March 14, 2006)

Standard Form Office Lease between OXIS International, Inc. and Westcore Peninsula Vintage, LLC dated February 2, 2006 (Filed With SEC on February 13, 2006)

Exhibit 10.1 (Filed With SEC on March 4, 2005)

Exhibit 10.2 STOCK PURCHASE AGREEMENT (Filed With SEC on March 4, 2005)

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GT Biopharma, Inc. Contracts & Agreements