Document:

exv4w1

 

EXHIBIT 4.1

	 	 	 	 	 
	
NUMBER
	 	
	 	

SHARES

MAKEMUSIC, INC.

INCORPORATED UNDER THE LAWS OF THE STATE OF MINNESOTA

			
	 	 	SEE REVERSE SIDE FOR CERTAIN DEFINITIONS

CUSIP: 56086P 20 2

THIS CERTIFIES THAT

IS THE OWNER OF

     FULLY
PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK OF

MAKEMUSIC, INC.

TRANSFERABLE ON THE BOOKS OF THE CORPORATION BY THE HOLDER HEREOF IN
PERSON OR BY ATTORNEY UPON SURRENDER OF THIS CERTIFICATE PROPERLY ENDORSED.
THIS CERTIFICATE IS NOT VALID UNLESS COUNTERSIGNED BY THE TRANSFER
AGENT-REGISTRAR.

     IN WITNESS WHEREOF, THE SAID CORPORATION HAS CAUSED THIS CERTIFICATE TO BE
SIGNED BY FACSIMILE SIGNATURES OF ITS DULY AUTHORIZED OFFICERS.

DATED:

	 	 	 	 	 
	 CORPORATE
SECRETARY

	 	 
	 	CHIEF EXECUTIVE OFFICER

	 
	

	 	 	 	
TRANSFER AGENT AND REGISTRAR
	 
	BY

	 
	AUTHORIZED SIGNATURE

 

 

The following abbreviations, when used in the inscription on the face of this certificate, shall be
construed as though they were written out in full according to applicable laws or regulations:

	 	 	 	 	 
	TEN COM
	 	-
	 	as tenants in common
	 
	 	 	 	 
	TEN ENT

	 	-
	 	as tenants by entireties
	 
	 	 	 	 
	JT TEN

	 	-
	 	as joint tenants with right of survivorship

and not as tenants in common

	 	 	 	 	 	 	 
	UTMA -
	 	 	 	Custodian	 	 
	 
	 	 
	 	 	 	 
	 
	 	(Cust)
	 	 	 	(Minor)
	 	 	under Uniform Transfer to Minors

	 	 	Act	 
	 	 	 	 
	 	 	 	 	(State)

Additional abbreviations may also be used though not in the above list.

 

For value received                     hereby sell, assign and transfer unto

	 	 	 
	PLEASE INSERT SOCIAL SECURITY OR OTHER

IDENTIFYING NUMBER OF ASSIGNEE

	 
	 

 

PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE

      

 

      

 

      

Shares
of the capital stock represented by the within Certificate,
and do hereby irrevocably constitute and appoint                                                                               
                                                              Attorney
to transfer the said stock on the books of the within-named
Corporation with full power of substitution in the premises.

      

	 	 	 
	Dated

	 	                    

			
	X	 	
 

			
	X	 	 

NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE
FACE OF THE CERTIFICATE IN EVERY PARTICULAR WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER.

SIGNATURE GUARANTEED

	 
	ALL GUARANTEES MUST BE MADE BY A FINANCIAL INSTITUTION (SUCH
AS A BANK OR BROKER) WHICH IS A PARTICIPANT IN THE SECURITIES
TRANSFER AGENTS MEDALLION PROGRAM (“STAMP”), THE NEW YORK
STOCK EXCHANGE, INC. MEDALLION SIGNATURE PROGRAM (“MSP”), OR
THE STOCK EXCHANGES MEDALLION PROGRAM (“SEMP”) AND MUST NOT
BE DATED. GUARANTEES BY A NOTARY PUBLIC ARE NOT ACCEPTABLE.exv10w12

 

EXHIBIT 10.12

MakeMusic, Inc. Board Compensation Plan

Effective February 15, 2007

Amended January 31, 2008

	 	 	 
	Cash Fee:

	 	Each non-employee director who is not otherwise being compensated by MakeMusic, Inc. shall
be paid a cash fee of $3,000 per calendar quarter for board membership. In addition, a
director serving as a chairperson of the board of directors or one or more committees of the
board of directors shall be paid an additional $2,000 per calendar quarter.
	 
	 	 
	Equity:

	 	Each eligible director shall receive a stock option grant as of the first business day of
each fiscal year. “Eligible directors” are non-employee directors who are (i) not otherwise
being compensated by MakeMusic, Inc. and (ii) not representatives of 5% or greater
shareholders. The terms of the stock option grant are as follows:

	 	•	 	non-qualified stock option to purchase 4,000 shares of common stock
	 
	 	•	 	issued under the 2003 Equity Incentive Plan
	 
	 	•	 	exercise price shall be the fair market value of common stock as of date of
grant
	 
	 	•	 	4-year term
	 
	 	•	 	shares vest ratably over twelve months
	 
	 	•	 	in the event the director’s service as a director terminates for any reason
or the director is no longer an eligible director, as defined by this plan,
vesting shall immediately terminate but the director shall be entitled to
exercise the option for any vested shares through the remaining term of the
option

	 	 	 	Stock option grant for each eligible director who joins the board after the
beginning of the fiscal year shall be the same as above except that for the first
calendar year the director joins the board, the option shall be for a
quantity of shares of common stock equal to a pro rata portion of the 4,000 shares the director
would have received if a director on the first business day of that fiscal year.exv10w20

 

EXHIBIT 10.20

AMENDMENT 1 TO

SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT

     THIS AMENDMENT 1 TO SECOND AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Amendment”) is entered
into effective as of the 7th day of November, 2007, by and between Kevin T. Conroy
(“Employee”) and Third Wave Technologies, Inc., a Delaware corporation (“Company”).

     WHEREAS, the Company currently employs Employee pursuant to Second Amended and Restated
Employment Agreement dated as of March 12, 2007 (the “Agreement”); and

     WHEREAS, the Company and the Employee wish to amend the Agreement as set forth herein.

     NOW, THEREFORE, in consideration of the mutual covenants and conditions hereinafter set forth,
and other good and valuable consideration, the receipt and legal sufficiency of which are hereby
acknowledged, the parties agree as follows:

     1. Defined Terms. Capitalized terms used and not otherwise defined in this Amendment
shall have the meanings ascribed to them in the Agreement.

     2. Amendments to Provide Acceleration of Vesting of Equity Awards upon Death or
Disability.

          A. The last sentence of Section 3.4 of the Agreement shall be, and hereby is, deleted in its
entirety and replaced with the following sentence:

All options and other equity rights granted to Employee shall vest
in equal installments over the four-year period commencing with the
date of grant of such options or rights, subject to the acceleration
of vesting (i) as described in Section 6.3 hereof, (ii) as described
in Section 7.1(e) and 7.2(b) hereof, and (iii) as may be set forth
in the grant agreements issued by the Company, as amended, provided,
that in the event of a conflict between any grant agreement and this
Agreement, this Agreement shall control.

          B. The first sentence of Section 6.3 of the Agreement shall be, and hereby is, deleted in its
entirety and replaced with the following sentence:

Notwithstanding Section 2, in the event of the death or disability
of Employee during the Employment Term, (i) Employee’s employment
and this Agreement shall immediately and automatically terminate,
(ii) the Company shall pay Employee (or in the case of death,
employee’s designated beneficiary) Base Salary and accrued but
unpaid bonuses, in each case up to the date of termination, and
(iii) all equity awards granted to Employee, whether stock options
or stock purchase rights under the

 

 

Company’s equity compensation plan, or other equity awards, that are
unvested at the time of termination shall immediately become fully
vested and exercisable upon such termination.

          3. Amendment to Clarify Language of Section 7.1(d). Section 7.1(d) of the Agreement
shall be, and hereby is, deleted in its entirety and replaced with following:

Employee will receive on a pro-rata basis for the period of service
any awards under the LTIPs that are ultimately earned (as defined in
any LTIP document) for any performance period, regardless of whether
earned, vested or unvested as of the Employee’s termination date, on
terms and at the times set forth in the LTIP (but without the
requirement of Employee’s employment on the last day of any
performance period or on any vesting date).

          4. Amendments to Clarify Language of Section 7.3. The second sentence of Section 7.3
of the Agreement shall be, and hereby is, deleted in its entirety and replaced with the following
sentence:

Moreover, the Employee’s rights to receive payments and benefits
pursuant to Sections 7.1 and 7.2 (including, without limitation, the
right to payments under the Company’s equity plans and LTIPs) are
conditioned on the Employee’s ongoing compliance with his
obligations as described in Section 8 hereof.

          5. Counterparts. This Amendment may be executed in one or more counterparts, each of
which shall be deemed an original but all of which together shall constitute one and the same
instrument.

          6. Full Force and Effect. Except as amended hereby, the Agreement remains in full
force and effect and is hereby ratified, confirmed and approved.

[signatures appear on next page]

2

 

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

	 	 	 	 	 	 	 
	 
	 	/s/ Kevin T. Conroy	 	 	 
	 	 	 	 	 
	 	 	Kevin T. Conroy	 	 
	 
	 	 	 	 	 	 
	 	 	Third Wave Technologies, Inc.	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	/s/ Lawrence J. Murphy	 	 
	 
	 	 	 	 

	 	 
	 

	 	Name:	 	Lawrence J. Murphy	 	 
	 

	 	 	 	 

	 	 
	 

	 	Title:	 	Chairman of Compensation Committee	 	 
	 

	 	 	 	 

	 	 

3exv10w22

 

EXHIBIT 10.22

AMENDMENT 1 TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT

     THIS AMENDMENT 1 TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Amendment”) is entered into
effective as of the 7th day of November, 2007, by and between Maneesh Arora (“Employee”)
and Third Wave Technologies, Inc., a Delaware corporation (“Company”).

     WHEREAS, the Company currently employs Employee pursuant to an Amended and Restated Employment
Agreement dated as of March 12, 2007 (the “Agreement”); and

     WHEREAS, the Company and the Employee wish to amend the Agreement as set forth herein.

     NOW, THEREFORE, in consideration of the mutual covenants and conditions hereinafter set forth,
and other good and valuable consideration, the receipt and legal sufficiency of which are hereby
acknowledged, the parties agree as follows:

     1. Defined Terms. Capitalized terms used and not otherwise defined in this Amendment
shall have the meanings ascribed to them in the Agreement.

     2. Amendments to Provide Acceleration of Vesting of Equity Awards upon Death or
Disability.

          A. The last sentence of Section 3.4 of the Agreement shall be, and hereby is, deleted in its
entirety and replaced with the following sentence:

All options and other equity rights granted to Employee shall vest
in equal installments over the four-year period commencing with the
date of grant of such options or rights, subject to the acceleration
of vesting (i) as described in Section 6.3 hereof, (ii) as described
in Section 7.2(b) hereof, and (iii) as may be set forth in the grant
agreements issued by the Company, as amended, provided, that in the
event of a conflict between any grant agreement and this Agreement,
this Agreement shall control.

          B. The first sentence of Section 6.3 of the Agreement shall be, and hereby is, deleted in its
entirety and replaced with the following sentence:

Notwithstanding Section 2, in the event of the death or Disability
(defined herein) of Employee during the Employment Term, (i)
Employee’s employment and this Agreement shall immediately and
automatically terminate, (ii) the Company shall pay Employee (or in
the case of death, employee’s designated beneficiary) Base Salary
and accrued but unpaid bonuses, in each case up to the date of
termination, and (iii) all equity awards granted to Employee,
whether stock options or stock purchase rights under the Company’s
equity compensation plan, or other equity awards, that

 

 

are unvested at the time of termination shall immediately become
fully vested and exercisable upon such termination.

          3. Amendments to Clarify Language of Section 7.3. The second sentence of Section 7.3
of the Agreement shall be, and hereby is, deleted in its entirety and replaced with the following
sentence:

Moreover, the Employee’s rights to receive payments and benefits
pursuant to Sections 7.1 and 7.2 (including, without limitation, the
right to payments under the Company’s equity plans and LTIPs) are
conditioned on the Employee’s ongoing compliance with his
obligations as described in Section 8 hereof.

          4. Counterparts. This Amendment may be executed in one or more counterparts, each of
which shall be deemed an original but all of which together shall constitute one and the same
instrument.

          5. Full Force and Effect. Except as amended hereby, the Agreement remains in full
force and effect and is hereby ratified, confirmed and approved.

[signatures appear on next page]

2

 

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

	 	 	 	 	 	 	 
	 
	 	/s/ Maneesh Arora	 	 	 	 
	 	 	 	 	 
	 	 	Maneesh Arora	 	 
	 
	 	 	 	 	 	 
	 	 	Third Wave Technologies, Inc.	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	/s/ Kevin T. Conroy	 	 
	 

	 	 	 	 

Kevin T. Conroy, President and CEO
	 	 

3

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