Document:

evok-ex41_10.htm

Exhibit 4.1

FORM OF 

 

AMENDMENT TO COMMON STOCK PURCHASE WARRANT

 

This Amendment to Common Stock Purchase Warrant (this “Amendment”), dated as of December 15, 2016, is being entered into by and between Evoke Pharma, Inc., a Delaware corporation (the “Company”), and ______________ (the “Holder”).  

 

WHEREAS, the Holder is the record and beneficial owner of certain warrants to purchase shares of the Company’s common stock, par value $0.0001 per share (“Common Stock”), issued pursuant to (i) the letter agreement, dated as of July 19, 2016, by and between the Company and Rodman & Renshaw, a unit of H.C. Wainwright & Co., LLC (“Rodman”) and (ii) the letter agreement, dated as of July 29, 2016, by and between the Company and Rodman; and 

 

WHEREAS, the Company and the Holder have agreed to amend those certain Common Stock Purchase Warrants (the “Existing Warrants”), dated as of July 25, 2016, and August 3, 2016, issued by the Company and delivered to the Holder, in the manner provided in this Amendment (the Existing Warrants, as so amended, the “Warrants”).

 

NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, it is hereby agreed as follows:

 

Section 1.Amendment to Warrant.  The Existing Warrants are amended by replacing the fourth sentence of Section 3(d) of each Existing Warrant in its entirety with the following sentence:

“Notwithstanding anything to the contrary, in the event of a Fundamental Transaction, the Company or any Successor Entity (as defined below) shall, at the Holder’s option, exercisable at any time concurrently with, or within 30 days after, the consummation of the Fundamental Transaction, purchase this Warrant from the Holder by paying to the Holder an amount of cash equal to the Black Scholes Value of the remaining unexercised portion of this Warrant on the date of the consummation of such Fundamental Transaction; provided, however, if the Fundamental Transaction is a result of a transaction which has not been approved by the Company’s Board of Directors, Holder shall not have the option to require the Company to purchase its Warrant.”

Section 2.Miscellaneous.

(A)No Other Amendment.  Except for the matters set forth in this Amendment, all other terms of the Warrants shall remain unchanged and in full force and effect.

(B)Governing Law.  This Amendment shall be governed by and construed in accordance with, and all questions concerning the construction, validity, interpretation and performance of this Amendment shall be governed by, the laws of the State of New York, except for its conflicts of law provisions.

(C)Counterparts.  This Amendment may be executed in the original or by facsimile in two or more counterparts, each of which shall be deemed an original and all of which, taken together, shall constitute but one and the same instrument.

[Remainder of Page Intentionally Left Blank; Signature Page Follows]

 

 

 

 

The parties hereto have executed this Amendment as of the date first written above.

 

				
	
 
	
EVOKE PHARMA, INC.

	
 
	
 
	
 
	
 

	
 
	
 
	
 
	
 

	
 
	
By:
	
 
	
 

	
 
	
 
	
Name:
	
 

	
 
	
 
	
Title:
	
 

	
 
	
 
	
 
	
 

	
 
	
 
	
 
	
 

	
 
	
[HOLDER]

	
 
	
 
	
 
	
 

	
 
	
 
	
 
	
 

	
 
	
 
	
 
	
 

	
 
	
By:
	
 
	
 

	
 
	
 
	
Name:
	
 

	
 
	
 
	
Title:
	
 

 

[Signature Page to Amendment to Common Stock Purchase Warrant]EX-10.1

 Exhibit 10.1 

SECOND AMENDMENT TO 

EMPLOYMENT AGREEMENT 

THIS SECOND AMENDMENT TO EMPLOYMENT AGREEMENT (the “Second Amendment”) is made this 15th day of December, 2016, effective as of
January 1, 2017 (the “Effective Date”), by and between PINNACLE ENTERTAINMENT, INC., a Delaware corporation (the “Company”), and CARLOS A. RUISANCHEZ, an individual (“Executive”), with respect to the
following facts and circumstances: 
 RECITALS 

The Company and Executive entered into an Employment Agreement on October 13, 2014 (the “Employment Agreement”), with Executive
having a base salary of Eight Hundred Thousand Dollars ($800,000) per year. 
 On December 16, 2014, effective as of January 1,
2015, the Company and Executive entered into that certain First Amendment to Employment Agreement (the “First Amendment” and, together with the Employment Agreement, the “Agreement”). 

Effective as of January 1, 2017, the Company and Executive desire to amend the Agreement to increase Executive’s base salary to
Eight Hundred Eighty Thousand Dollars ($880,000) per year. 
 NOW, THEREFORE, in consideration of the mutual promises, covenants and
agreements set forth herein, the parties hereto agree as follows: 
 AMENDMENT 

1. Effective as of January 1, 2017, Article 3, Section 3.1 of the Agreement (Base Salary) is hereby deleted in its entirety and
replaced with the following new Article 3, Section 3.1: 
 “3.1 Base Salary. In consideration for Executive’s services
hereunder, the Company shall pay Executive an annual base salary at the rate of Eight Hundred Eighty Thousand Dollars ($880,000.00) per year effective as of January 1, 2017 through the end of the Term; payable in accordance with the
Company’s regular payroll schedule from time to time (less any deductions required for Social Security, state, federal and local withholding taxes, and any other authorized or mandated similar withholdings).” 

2. Except as modified herein, all other terms of the Agreement shall remain in full force and effect. In the event of a conflict between the
terms of the Agreement and this Second Amendment, the terms of this Second Amendment shall apply. No modification may be made to the Agreement or this Second Amendment except in writing and signed by both the Company and Executive. 

  
 - 1 - 

 IN WITNESS WHEREOF, the parties hereto have caused this Second Amendment to be duly as of the
date first written above. 
  

							
	EXECUTIVE	  		  	PINNACLE ENTERTAINMENT, INC.
				
	 /s/ Carlos A. Ruisanchez
	  		  	By:	 	 /s/ Anthony M. Sanfilippo

	Carlos A. Ruisanchez	  		  		 	Anthony M. Sanfilippo,
		  		  		 	Chief Executive Officer

  
 - 2 -EX-10.2

 Exhibit 10.2 

THIRD AMENDMENT TO 

EMPLOYMENT AGREEMENT 

THIS THIRD AMENDMENT TO EMPLOYMENT AGREEMENT (the “Third Amendment”) is made this 15th day of December, 2016, effective as of
January 1, 2017 (the “Effective Date”), by and between PINNACLE ENTERTAINMENT, INC., a Delaware corporation (the “Company”), and VIRGINIA E. SHANKS, an individual (“Executive”), with respect to the
following facts and circumstances: 
 RECITALS 

The Company and Executive entered into an Employment Agreement on October 13, 2014 (the “Employment Agreement”), with Executive
having a base salary of Six Hundred Thousand Dollars ($600,000) per year. 
 On December 18, 2014, effective as of January 1,
2015, the Company and Executive entered into that certain First Amendment to Employment Agreement (the “First Amendment”) and on December 21, 2015, effective as of January 1, 2016, the Company and the Executive entered into that
certain Second Amendment to Employment Agreement (the “Second Amendment” and, together with the Employment Agreement and the First Amendment, the “Agreement”). 

Effective as of January 1, 2017, the Company and Executive desire to amend the Agreement to increase Executive’s base salary to Six
Hundred Sixty Thousand Dollars ($660,000) per year. 
 NOW, THEREFORE, in consideration of the mutual promises, covenants and agreements set
forth herein, the parties hereto agree as follows: 
 AMENDMENT 

1. Effective as of January 1, 2017, Article 3, Section 3.1 of the Agreement (Base Salary) is hereby deleted in its entirety and
replaced with the following new Article 3, Section 3.1: 
 “3.1 Base Salary. In consideration for Executive’s services
hereunder, the Company shall pay Executive an annual base salary at the rate of Six Hundred Sixty Thousand Dollars ($660,000.00) per year effective as of January 1, 2017 through the end of the Term; payable in accordance with the Company’s
regular payroll schedule from time to time (less any deductions required for Social Security, state, federal and local withholding taxes, and any other authorized or mandated similar withholdings).” 

2. Except as modified herein, all other terms of the Agreement shall remain in full force and effect. In the event of a conflict between the
terms of the Agreement and this Third Amendment, the terms of this Third Amendment shall apply. No modification may be made to the Agreement or this Third Amendment except in writing and signed by both the Company and Executive. 

  
 - 1 - 

 IN WITNESS WHEREOF, the parties hereto have caused this Third Amendment to be duly as of the date
first written above. 
  

							
	EXECUTIVE	  		  	PINNACLE ENTERTAINMENT, INC.
				
	 /s/ Virginia E. Shanks
	  		  	By:	 	 /s/ Anthony M. Sanfilippo

	Virginia E. Shanks	  		  		 	Anthony M. Sanfilippo,
		  		  		 	Chief Executive Officer

  
 - 2 -EX-10.3

 Exhibit 10.3 

SECOND AMENDMENT TO 

EMPLOYMENT AGREEMENT 

THIS SECOND AMENDMENT TO EMPLOYMENT AGREEMENT (the “Second Amendment”) is made this 15th day of December, 2016, effective as of
January 1, 2017 (the “Effective Date”), by and between PINNACLE ENTERTAINMENT, INC., a Delaware corporation (the “Company”), and NEIL E. WALKOFF, an individual (“Executive”), with respect to the
following facts and circumstances: 
 RECITALS 

The Company and Executive entered into an Employment Agreement on October 13, 2014 (the “Employment Agreement”), with Executive
having a base salary of Five Hundred Twenty Five Thousand Dollars ($525,000) per year. 
 On December 21, 2015, effective as of
January 1, 2016, the Company and Executive entered into that certain First Amendment to Employment Agreement (the “First Amendment” and, together with the Employment Agreement, the “Agreement”). 

Effective as of January 1, 2017, the Company and Executive desire to amend the Agreement to increase Executive’s base salary to Five
Hundred Seventy Five Thousand Dollars ($575,000) per year. 
 NOW, THEREFORE, in consideration of the mutual promises, covenants and
agreements set forth herein, the parties hereto agree as follows: 
 AMENDMENT 

1. Effective as of January 1, 2017, Article 3, Section 3.1 of the Agreement (Base Salary) is hereby deleted in its entirety and
replaced with the following new Article 3, Section 3.1: 
 “3.1 Base Salary. In consideration for Executive’s services
hereunder, the Company shall pay Executive an annual base salary at the rate of Five Hundred Seventy Five Thousand Dollars ($575,000.00) per year effective as of January 1, 2017 through the end of the Term; payable in accordance with the
Company’s regular payroll schedule from time to time (less any deductions required for Social Security, state, federal and local withholding taxes, and any other authorized or mandated similar withholdings).” 

2. Except as modified herein, all other terms of the Agreement shall remain in full force and effect. In the event of a conflict between the
terms of the Agreement and this Second Amendment, the terms of this Second Amendment shall apply. No modification may be made to the Agreement or this Second Amendment except in writing and signed by both the Company and Executive. 

  
 - 1 - 

 IN WITNESS WHEREOF, the parties hereto have caused this Second Amendment to be duly as of the
date first written above. 
  

							
	EXECUTIVE	  		  	PINNACLE ENTERTAINMENT, INC.
				
	 /s/ Neil E. Walkoff
	  		  	By:	 	 /s/ Anthony M. Sanfilippo

	Neil E. Walkoff	  		  		 	Anthony M. Sanfilippo,
		  		  		 	Chief Executive Officer

  
 - 2 -

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