WHEREVER CONFIDENTIAL INFORMATION IS OMITTED HEREIN (SUCH OMISSIONS ARE DENOTED BY AN ASTERISK), SUCH CONFIDENTIAL INFORMATION HAS BEEN SUBMITTED SEPARATELY TO THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT. THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 AND MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, ASSIGNED OR OTHERWISE TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER SAID ACT COVERING THE TRANSFER OR AN OPINION OF COUNSEL IN FORM AND SUBSTANCE SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED. THE SECURITIES REPRESENTED HEREBY ARE SUBJECT TO RESTRICTIONS ON SALE, ASSIGNMENT OR TRANSFER PURSUANT TO THAT CERTAIN COMMON STOCK AND CONVERTIBLE NOTE PURCHASE AGREEMENT, DATED AS OF APRIL 22, 1996, BETWEEN THE COMPANY AND GENENTECH, INC., AND MAY NOT (NOR MAY ANY INTEREST THEREIN) BE SOLD, ASSIGNED, CONVEYED, PLEDGED, HYPOTHECATED OR OTHERWISE DISPOSED OF OTHER THAN IN ACCORDANCE WITH THE PROVISIONS THEREOF. THE SECURITIES REPRESENTED HEREBY (AND, IF APPLICABLE, ANY SECURITIES ISSUED UPON CONVERSION THEREOF) MAY BE SUBJECT TO THE RESTRICTIONS SET FORTH IN THAT CERTAIN COMMON STOCK AND CONVERTIBLE NOTE PURCHASE AGREEMENT, DATED AS OF APRIL 22, 1996, BETWEEN THE COMPANY AND GENENTECH, INC. Berkeley, California June 13, 1996 XOMA CORPORATION AMENDMENT TO CONVERTIBLE SUBORDINATED NOTE AGREEMENT WHEREAS, XOMA CORPORATION (the "Company") and GENENTECH, INC. (the "Lender") are parties to that certain Convertible Subordinated Note Agreement dated April 22, 1996 (the "Original Note Agreement"); and -2- WHEREAS, the Company and the Lender desire to amend the Original Note Agreement as set forth herein; NOW, THEREFORE, FOR VALUE RECEIVED, the parties agree to amend the Original Note Agreement as set forth below. 1. Definitions. Capitalized terms used and not otherwise defined herein shall have the meanings ascribed to them in the Original Note Agreement. 2. When Certain Loans Payable. The Original Note Agreement is hereby amended by adding as a new Section 1(h) the following: (h) When Certain Loans Payable. * 3. Certain Issuances Treated as Prepayments. The Original Note Agreement is hereby amended by deleting the heading of Section 3(d) thereof and substituting therefor the heading "Prepayments and Certain Issuances Under Section 4(a)" and by adding as a new third sentence of Section 3(d) thereof the following: As used herein, prepayments through the issuance of Series E Preferred Stock shall include any such issuance pursuant to clause * of Section 4(a). 4. Automatic Conversion. The Original Note Agreement is hereby amended by deleting the first sentence of Section 4(a) thereof in its entirety and substituting therefor the following: The entire unpaid principal amount of the Note and each Tranche under this Note and all unpaid accrued interest thereon shall be automatically converted into shares of Series E Preferred Stock upon the earliest of -3- (i) the date of receipt of Regulatory Approval (as such term is defined in the Collaboration Agreement) in the United States, (ii) *, (iii) with respect to any Tranche (but only that Tranche), the date that is ten days after the date that the unpaid principal of and unpaid accrued interest on such Tranche becomes due and payable, or (iv) *. 5. Effect of Amendment. Except as expressly amended or modified hereby, the provisions of the Original Note Agreement shall remain in full force and effect. 6. Governing Law. The parties have agreed that this amendment will be governed by and construed in accordance with the laws of the State of Delaware. 7. Counterparts. This amendment may be executed in two or more counterparts, each of which will be deemed an original, but all of which together will constitute one and the same instrument. 8. Titles. The titles of the Sections of this amendment are inserted for reference only, and are not to be considered as part of this amendment in construing this amendment. 9. Disputes. Any disputes under this amendment will be governed by the provisions of Article 17 of the Collaboration Agreement. -4- IN WITNESS WHEREOF, this amendment has been executed and delivered on the date first above written by duly authorized representatives of the Company and the Lender. XOMA CORPORATION By:------------------------------- Clarence L. Dellio Senior Vice President, Operations GENENTECH, INC. By:------------------------------- Name: Title: