Safety and Efficacy of NEO212 in Patients with Astrocytoma IDH-mutant, Glioblastoma IDH-wildtype or Brain Metastasis

To be eligible to participate in the study, a patient must meet all of the following inclusion criteria:

• Patient must be ≥ 18yrs of age.

• Patient must have the ability to understand, and the willingness to sign, a writteninformed consent form.

• Patient has been on a stable or decreasing dose of steroids for at least five daysprior to the date of informed consent.

• Any toxicity from prior therapy must be resolved or at maximum Grade 1 prior toinitiation of NEO212.

• If progression of disease occurs within 90 days or conformal radiation, theprogression/recurrence must be outside of the radiation field or proven bybiopsy/resection.

• Patient with Astrocytoma IDH-mutant, Glioblastoma IDH-wildtype must have a KarnofskyPerformance Status (KPS) of ≥ 60.

• Patient with select solid tumors (see Appendix 2) must have an Eastern CooperativeOncology Group (ECOG) performance status of 0-2.

• Patient must have an expected survival or at least three months.

• Patient must have a baseline MRI of the brain with gadolinium within 14 days ofadministration of NEO212.

• Patient with select solid tumors (see Appendix 2) must have a baseline CT scan withIV contrast and oral contrast of neck, chest, abdomen and pelvis within 14 days ofadministration of NEO212.

• Patients must be able to comply with all study assessments.

• If patient suffers from seizures (s)he must be controlled on a stable dose ofanti-epileptics for 14-days prior to the date of informed consent.

• Patient must have adequate organ and marrow function as follows:

• Absolute neutrophil count ≥ 1,500/microliter

• Platelets ≥ 100,000/microliter

• Total bilirubin within normal institutional limits

• AST (SGOT) / ALT (SPGT) ≤ 2.5 x institutional upper limit of normal

• Creatinine clearance (CrCl) of >60 mL/min (using the Cockcroft-Gault formula or 24- hour urine collection).

• Female patients of child-bearing potential and male patients must agree to useadequate contraception (hormonal or barrier method of birth control; abstinence) for 30 days prior to the first dose of NEO212, for the duration of study participation,and for 90 days following completion of therapy.

A female of child-bearing potential is any women (regardless of sexual orientation, not having undergone a tubal ligation, or remaining celibate by choice) who meets the following criteria:

• Has not undergone a hysterectomy or bilateral oophorectomy; or

• Has not been naturally postmenopausal for at least 12 consecutive months (i.e., hasnot had menses at any time in the preceding 12 consecutive months).

• A negative serum pregnancy test will be required of all female patients ofchild-bearing potential within seven days prior to the receipt of NEO212.

• A serum pregnancy test will be repeated immediately if pregnancy is suspected.

Phase 1: (dose escalation)

• Patient must:

• have radiographically confirmed Astrocytoma IDH-mutant, GlioblastomaIDH-wildtype following previous radiation therapy or treatment withtemozolomide and radiation, or

• have select solid tumors (see Appendix 2) with uncontrolled metastases to thebrain (confirmed by cranial CT or MRI) that is not controlled by surgery orradiation therapy and receiving one of the protocol approved SOC regimens.

• Patients receiving prior systemic therapy must have a minimum wash-out period (defined as the period prior to receipt of the first dose of NEO212) of:

• 28 days or 5 half-lives (whichever is shorter) elapsed from the administrationfrom any experimental agent;

• 2 weeks from administration of immunotherapies;

• 28 days from administration of cytotoxic agents; and

• 7 days from administration of non-cytotoxic agents (interferon, tamoxifen,thalidomide, cis-retinoic acid, and herbal medicine).

NOTE: No washout is necessary for alternating electrical fields.

Phase 2a: (safety run-in)

• Patient must have select solid tumors (see Appendix 2) with uncontrolled metastasesto the brain (confirmed by cranial CT or MRI) that is not controlled by surgery orradiation therapy and receiving one of the protocol approved SOC regimens.

• Patients receiving prior systemic therapy must be receiving one of the protocolapproved Standard of Care (SOC) regimens listed on Appendix 1.

• Patient must have measurable/evaluable CNS disease per RANO or RANO-BM criteria.

• Patient must have measurable/evaluable systemic disease per RECIST v1.1 criteria.

Phase 2b: (efficacy)

• Patient must:

• have radiographically confirmed Astrocytoma IDH-mutant, GlioblastomaIDH-wildtype following previous radiation therapy or treatment withtemozolomide and radiation, or

• have select solid tumors (see Appendix 2) with uncontrolled metastases to thebrain (confirmed by cranial CT or MRI) that is not controlled by surgery orradiation therapy and receiving one of the protocol approved SOC regimens.

• Patients receiving prior systemic therapy must be receiving one of the protocolapproved Standard of Care (SOC) regimens listed on Appendix 1.

• Patient must have measurable/evaluable CNS disease per RANO or RANO-BM criteria

• Patient with select solid tumors (see Appendix 2) must have measurable/evaluablesystemic disease per RECIST v1.1 criteria.

• Creatinine clearance (CrCl) of >60 mL/min (using the Cockcroft-Gault formula or 24-hour urine collection). Female patients of child-bearing potential and malepatients must agree to use adequate contraception (hormonal or barrier method ofbirth control; abstinence) for 30 days prior to the first dose of NEO212, for theduration of study participation, and for 90 days following completion of therapy.

9.2 Exclusion Criteria: (all Phases)

• Patient in Phase 1 concurrently receiving any other antitumor therapy.

• Patient in Phase 2a or 2b who is concurrently receiving any SOC therapy not listedin Appendix 1.

• Patients with metastases to the spinal cord parenchyma.

• Patients with metastases to the meninges.

• Patient has received stereotactic or highly conformal radiotherapy to CNS lesionswithin 2 weeks before receipt of NEO212.

• Patient with history of known leptomeningeal involvement.

• Patient has prior history or new diagnosis of secondary cancer within five yearsprior to the date of informed consent, except for basal cell carcinoma or squamouscell carcinoma of the skin.

• Patient has a corrected QT interval (using Fridericia's correction formula) (QTcF)of >470 msec, a history of additional risk factors for TdP (e.g. heart failure,hypokalemia), and/or the use of concomitant medications that prolong QT/QTcinterval.

• Patient had surgery within 7 days prior to the date of informed consent.

• Patient has not recovered to Grade 1 from treatment related adverse events due tochemotherapy, immunotherapy, or radiation therapy.

• Patient had prior treatment with perillyl alcohol.

• Patient has a history of allergic reactions attributed to perillyl alcohol.

• Patients in Phase 2b with Astrocytoma IDH-mutant, or Glioblastoma IDH-wildtype whohave had more than one recurrence or progression of his/her primary CNS tumor(s).