A Phase 1/2 Study of CNDO-109-Activated Allogeneic Natural Killer Cells in Patients With High Risk Acute Myeloid Leukemia in First Complete Remission (CR1)

Inclusion Criteria:

1. The patient has pathologically documented AML and is in CR1 at the time of the
screening visit

2. The patient achieved CR1 within 10 weeks of the screening visit; the patient may have
received post-remission consolidation therapy (except for transplant) prior to the
screening visit

3. A bone marrow aspiration performed within 21 days prior to the start of pre-infusion
preparative therapy confirms the patient is in CR1

4. The patient has either refused or is not considered an appropriate immediate
candidate for transplantation and is considered to be at high risk for recurrence by
having at least one of the following prognostic factors:

- High risk cytogenetics (-5, -7, del(5q), abnormal 3q, 11q23 translocations,
complex cytogenetics) or if cytogenetics are normal the presence of a FLT3
mutation without a NPM1 mutation

- Age > 60 years

- Antecedent hematological disorder (AHD)

- AML that is considered to be therapy-related

- FAB subtype M0 (minimally differentiated acute myeloblastic leukemia), M6 (acute
erythroid leukemias, including erythroleukemia (M6a) and pure erythroid leukemia
(M6b)), or M7 (acute megakaryoblastic leukemia)

5. The patient is male or female, age 18 years or older

6. The patient has an ECOG performance status of 0, 1, or 2

7. The patient has an available NK cell donor who is a HLA haploidentical first-degree
(parent, child, or sibling) or second-degree (child of a sibling) relative; minimum
testing will be for HLA-A, HLA-B, and HLA-DR with donors matched for 3/6, 4/6 or 5/6
antigens

8. The patient has an absence of coexisting medical problems that would significantly
increase the risk of the chemotherapy procedure (e.g. poor left ventricular ejection
fraction [LVEF<40%])

9. The patient has recovered from reversible toxicity from prior therapy. Permanent and
stable side effects or changes are acceptable if ≤ Grade 1 (CTCAE, v4.03)

10. The patient has serum creatinine <2×ULN and not rising for at least 2-4 weeks before
chemotherapy. If elevated, the 24-hour creatinine clearance must be >50 mL/min

11. The patient has serum total bilirubin < 2 g/dL (unless the patient has a diagnosis of
Gilbert's disease), SGOT (ALT) <3.5×ULN, and SGPT (AST) <3.5×ULN

12. The patient has an absolute neutrophil count (ANC) ≥1000/µL, platelets ≥100,000/µL
and is not transfusion dependent for platelets and/or red cells

13. The patient has LVEF ≥40% by ECHO or MUGA scan and no clinically significant
abnormalities in 12-lead ECG

14. The patient has a PT (or INR) and PTT up to 1.25×ULN

15. The patient must not be dependent on supplemental oxygen

16. The patient is using an effective contraceptive (per the institutional standard), if
procreative potential exists

17. The patient must be willing and able to comply with all study protocol requirements.
The patient or a legally authorized representative must fully understand all elements
of the informed consent and have signed the informed consent according to
institutional and federal regulatory requirements

18. The patient has not received an investigational chemotherapy within the last 28 days
prior to the screening visit and has never received investigational immunotherapy.
In addition, the patient must not receive treatment for AML (including treatment with
IL-2 or IFNγ) in the interval of time between the screening visit and initiation of
pre-infusion preparative therapy

Exclusion Criteria:

1. The patient had a previous bone marrow or stem cell transplant

2. The patient is seropositive for HIV 1, HIV 2, HBV, or HCV

3. The patient has a psychiatric, addictive, neurological or other disorder that
compromises the ability to give informed consent or comply with study requirements

4. The patient is pregnant (confirmed by urine or serum pregnancy test) or lactating

5. The patient has a recently diagnosed active malignancy requiring therapy

6. The patient has an uncontrolled infection, or is receiving anti-fungal treatment for
an ongoing infection

7. The patient has known hypersensitivity to bovine proteins

8. The patient has any condition that will place the patient at undue risk or discomfort
as a result of adherence to study procedures

9. The patient requires treatment with corticosteroids at a dose > 0.1 mg/kg/day or has
a known allergy to DSMO