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Vaccitech FLU009 Protocol V1.0 14December2018 MVA-NP+M1 Protocol FLU009 CONFIDENTIAL 20 May 2019; Version 3.0 Principal Investigator Agreement: I, the undersigned, have reviewed this protocol and agree to conduct this protocol in accordance with International Council on Harmonisation Good Clinical Practice (ICH GCP), the ethical principles set forth in the Declaration of Helsinki, and with local regulatory requirements. Signature Date Printed Name FORM CVC009-001 (1) CONFIDENTIAL PAGE 2 OF 78 MVA-NP+M1 Protocol FLU009 CONFIDENTIAL 20 May 2019; Version 3.0 TABLE OF CONTENTS TABLE OF CONTENTS ...................................................................................................... 3 LIST OF TABLES AND FIGURES ..................................................................................... 7 LIST OF ABBREVIATIONS ............................................................................................... 8 CONTACTS ........................................................................................................................... 9 STUDY ABSTRACT ........................................................................................................... 11 1 INTRODUCTION ...................................................................................................... 12 1.1 Background ......................................................................................................... 12 1.2 Non-clinical Studies ............................................................................................ 14 1.3 Clinical Experience with MVA-NP+M1 ............................................................ 14 1.3.1 Safety and Immunogenicity Summary ................................................. 16 1.3.2 Efficacy Summary ................................................................................ 17 1.4 Rationale for Study ............................................................................................. 17 2 STUDY OBJECTIVES AND DESIGN .................................................................... 19 2.1 Objectives and Endpoints.................................................................................... 19 2.2 Design 20 2.3 Data Monitoring Committee and Study Pausing and Stopping Rules ................ 26 3 STUDY PROCEDURES ............................................................................................ 28 3.1 Schedule of Assessments .................................................................................... 28 3.2 Participant Selection ........................................................................................... 30 3.2.1 Recruitment and Informed Consent ...................................................... 30 3.2.2 Assignment of Participant Identification Number ................................ 30 3.2.3 Eligibility Criteria ................................................................................. 30 3.2.3.1 Inclusion Criteria .................................................................. 30 3.2.3.2 Exclusion Criteria ................................................................. 31 3.2.4 Screening/Baseline Assessments .......................................................... 32 3.3 Study Randomisation .......................................................................................... 33 3.4 Investigational Product Administration .............................................................. 33 3.5 Participant Follow-up and Contact ..................................................................... 34 3.5.1 Follow-up over Influenza Season ......................................................... 34 3.5.2 Loss to Follow-up ................................................................................. 35 FORM CVC009-001 (1) CONFIDENTIAL PAGE 3 OF 78 MVA-NP+M1 Protocol FLU009 CONFIDENTIAL 20 May 2019; Version 3.0 3.6 Study Evaluations ............................................................................................... 35 3.6.1 Efficacy Evaluations ............................................................................. 35 3.6.2 Immunogenicity Laboratory Evaluations ............................................. 36 3.6.3 Safety Evaluations ................................................................................ 36 3.6.3.1 Adverse Events ..................................................................... 36 3.6.3.1.1 Solicited Adverse Events ................................... 36 3.6.3.1.2 Unsolicited Adverse Events .............................. 37 3.6.3.2 Laboratory Safety Tests ....................................................... 37 3.6.3.2.1 Haematology ..................................................... 37 3.6.3.2.2 Biochemistry ..................................................... 37 3.6.3.3 Physical Examination ........................................................... 38 3.6.3.4 Concomitant Medications .................................................... 38 4 STUDY TREATMENTS............................................................................................ 38 4.1 Description of Study Treatments ........................................................................ 38 4.1.1 MVA-NP+M1 ....................................................................................... 39 4.1.2 Placebo .................................................................................................. 39 4.2 Blinding 39 4.3 Receipt and Storage ............................................................................................ 39 4.4 Accountability ..................................................................................................... 40 4.5 Preparation 40 4.6 Disposal of Unused Investigational Product ....................................................... 40 4.7 Compliance ......................................................................................................... 41 5 SAFETY ...................................................................................................................... 42 5.1 Responsibilities for Ensuring the Safety of Study Participants .......................... 42 5.1.1 Principal Investigator ............................................................................ 42 5.1.2 Study Sponsor ....................................................................................... 42 5.1.3 Local Medical Monitor ......................................................................... 42 5.1.4 Data Monitoring Committee ................................................................. 42 5.1.5 Institutional Review Boards and Ethics Committees ........................... 43 5.1.6 National Regulatory Authority ............................................................. 43 5.2 Definition of Adverse Event ............................................................................... 43 5.3 Assessing Severity .............................................................................................. 44 FORM CVC009-001 (1) CONFIDENTIAL PAGE 4 OF 78 MVA-NP+M1 Protocol FLU009 CONFIDENTIAL 20 May 2019; Version 3.0 5.3.1 Solicited Adverse Events ...................................................................... 44 5.3.2 Unsolicited Adverse Events .................................................................. 44 5.4 Assessing Causal Relationship (Relatedness) ..................................................... 45 5.5 Assessing "Seriousness" and Serious Adverse Events ....................................... 46 5.6 Definition of Adverse Reaction .......................................................................... 46 5.7 Assessing Expectedness of Adverse Events ....................................................... 46 5.8 Definition of Suspected Unexpected Serious Adverse Reaction ........................ 47 5.9 Definition of an Adverse Event of Special Interest ............................................ 47 5.10 Reporting of Serious Adverse Events ................................................................. 47 5.10.1 Reporting to the Sponsor ...................................................................... 47 5.10.2 Expedited Reporting ............................................................................. 48 5.11 Other Events Requiring Immediate Reporting .................................................... 48 5.12 Adverse Event Treatment, Follow-up, and Outcome ......................................... 48 5.13 Follow-up of Participants Who Become Pregnant .............................................. 49 6 DATA COLLECTION, MONITORING AN RECORD RETENTION ............... 51 6.1 Source Documentation ........................................................................................ 51 6.2 Data Management ............................................................................................... 51 6.3 Monitoring 52 6.4 Record Retention................................................................................................. 52 7 STATISTICAL CONSIDERATIONS ...................................................................... 53 7.1 Participant Analysis Sets ..................................................................................... 53 7.2 Disposition, Demographics and Protocol Compliance ....................................... 53 7.3 Efficacy Analyses ............................................................................................... 53 7.4 Immunogenicity and Other Immunology Analyses ............................................ 54 7.4.1 Immune Response Determined by Intracellular Cytokine Staining
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