Document:

Exhibit
4.2

 

THIS SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED
IN THE NAME OF A DEPOSITORY OR A NOMINEE OF A DEPOSITORY. THIS SECURITY IS EXCHANGEABLE FOR SECURITIES REGISTERED IN THE NAME
OF A PERSON OTHER THAN THE DEPOSITORY OR ITS NOMINEE ONLY IN THE LIMITED CIRCUMSTANCES HEREINAFTER DESCRIBED AND MAY NOT BE TRANSFERRED
EXCEPT AS A WHOLE BY THE DEPOSITORY TO A NOMINEE OF THE DEPOSITORY OR BY A NOMINEE OF THE DEPOSITORY TO ANOTHER NOMINEE OF THE
DEPOSITORY.

 

UNLESS THIS CERTIFICATE IS PRESENTED BY
AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY TO THE ISSUER OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE
OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO., OR SUCH OTHER NAME AS REQUESTED BY AN AUTHORIZED
REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY AND ANY PAYMENT HEREON IS MADE TO CEDE & CO., ANY TRANSFER, PLEDGE OR OTHER
USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL SINCE THE REGISTERED OWNER HEREON, CEDE & CO., HAS AN INTEREST
HEREIN.

 

CATERPILLAR INC.

 

3.250% SENIOR NOTES DUE 2049

 

	REGISTERED	 
	NO. 001	$
	 	 
	 	CUSIP 149123 CF6

ISIN US149123CF65

 

CATERPILLAR INC., a
corporation duly organized and existing under the laws of the State of Delaware (herein called the “Company,” which
term includes any successor corporations under the Indenture hereinafter referred to), for value received, hereby promises to pay
to Cede & Co., as nominee for The Depository Trust Company, or registered assigns, the principal sum of [                 ($          )] on September 19, 2049, subject to advancement as provided in Annex A hereto, and to pay interest thereon
from September 19, 2019, or from the most recent Interest Payment Date to which interest has been paid or duly provided for, semi-annually
on March 19 and September 19 of each year, commencing March 19, 2020, at the rate of 3.250% per annum, until the principal hereof
is paid or made available for payment and (to the extent that the payment of such interest shall be legally enforceable) at the
rate per annum borne by this Security on any overdue principal and on any overdue installment of interest. If an Interest Payment
Date or maturity date is not a Business Day, interest or principal will be paid on the next Business Day. However, interest on
the payments will not accrue for the period from the original payment date to the date the payment is made. Interest will be calculated
based on a 360-day year consisting of twelve 30-day months. The interest so payable, and punctually paid or duly provided for,
on any Interest Payment Date will, as provided in the Indenture, be paid to the Person in whose name this Security (or one or more
Predecessor Securities) is registered at the close of business on the fifteenth calendar day immediately preceding such Interest
Payment Date (whether or not a Business Day). Any such interest not so punctually paid or duly provided for will forthwith cease
to be payable to the Holder on such Regular Record Date and may either be paid to the Person in whose name this Security (or one
or more Predecessor Securities) is registered at the close of business on a Special Record Date for the payment of such Defaulted
Interest to be fixed by the Trustee, notice whereof shall be given to Holders of Securities of this series not less than 10 days
prior to such Special Record Date, or be paid at any time in any other lawful manner not inconsistent with the requirements of
any securities exchange on which the securities of this series may be listed, and upon such notice as may be required by such exchange,
all as more fully provided in said Indenture.

 

     

     

    

 

Payment of the principal
of and interest on this Security due at Maturity in United States dollars will be made in immediately available funds to the depository
or its nominee, provided that this Security is presented to the Trustee in time for the Trustee to make such payment in
accordance with its normal procedures. Payment of interest (other than interest payable at Maturity) on this Security in United
States dollars will be made by transfer of immediately available funds to the depository or its nominee.

 

This Security shall
not be valid or become obligatory for any purpose until the certificate of authentication hereon shall have been manually signed
by or on behalf of the Trustee under the Indenture.

 

This Security is one
of a duly authorized issue of securities of the Company (herein called the “Securities”), issued and to be issued in
one or more series under an Indenture, dated as of May 1, 1987 (as supplemented, the “Indenture”), between the Company
and U.S. Bank National Association (as successor to Citibank, N.A., as successor to First National Bank of Chicago), as trustee
(the “Trustee,” which term includes any successor trustee under the Indenture), to which Indenture and all indentures
supplemental thereto reference is hereby made for a statement of the respective rights, limitations of rights, duties and immunities
thereunder of the Company, the Trustee and the Holders of the Securities and of the terms upon which the Securities are, and are
to be, authenticated and delivered. This Security is one of the series designated on the face hereof, limited initially in aggregate
principal amount to $1,000,000,000.

 

The Company may from
time to time, without notice to or the consent of the Holders of the Securities, create and issue further securities having the
same terms as the Securities in all respects (except for the issue date, issue price, payment of interest accruing prior to the
issue date of the Securities and, in some cases, the initial interest payment date of the Securities), so that such additional
securities may be consolidated and form a single series with the Securities and have the same terms as to status, redemption or
otherwise as the Securities. If the additional securities are not fungible with the previously outstanding Securities for United
States federal income tax purposes, such additional securities will have a separate CUSIP number.

 

The Securities shall
have the redemption features summarized in Annex A to this Global Security.

 

    	 	2	 

     

    

 

The provisions for
defeasance and covenant defeasance set forth in Sections 1302 and 1303 of the Indenture, respectively, will apply to the Securities
of this series.

 

If any Event of Default
with respect to Securities of this series shall occur and be continuing, the principal of the Securities of this series may be
declared due and payable in the manner and with the effect provided in the Indenture.

 

The Indenture permits,
with certain exceptions as therein provided, the amendment thereof and the modification of the rights and obligations of the Company
and the rights of the Holders of the Securities of each series to be affected under the Indenture at any time by the Company and
the Trustee with the consent of the Holders of not less than 66 2/3% in principal amount of the Securities at the time Outstanding
of each series to be affected. The Indenture also contains provisions permitting the Holders of specified percentages in principal
amount of the Securities of each series at the time Outstanding, on behalf of the Holders of all Securities of such series, to
waive compliance by the Company with certain provisions of the Indenture and certain past defaults under the Indenture and their
consequences. Any such consent or waiver by the Holder of this Security shall be conclusive and binding upon such Holder and upon
all future Holders of this Security and of any Security issued upon the registration of transfer hereof or in exchange herefor
or in lieu hereof, whether or not notation of such consent or waiver is made upon this Security.

 

No reference herein
to the Indenture and no provision of this Security or of the Indenture shall alter or impair the obligation of the Company, which
is absolute and unconditional, to pay the principal of and interest on this Security at the times, place and rate, and in the coin
or currency herein prescribed.

 

As provided in the
Indenture and subject to certain limitations therein and herein set forth, the transfer of this Security is registrable in the
Security Register upon surrender of this Security for registration of transfer at the office or agency of the Company in any place
where the principal of and interest on this Security are payable, duly endorsed by, or accompanied by a written instrument of transfer
in form satisfactory to the Company and the Security Registrar duly executed by, the Holder hereof or his attorney duly authorized
in writing, and thereupon one or more new Securities of this series, of authorized denominations and for the same aggregate principal
amount, will be issued to the designated transferee or transferees.

 

This Security is a
Global Security and shall be exchangeable for Securities registered in the names of Persons other than the depository with respect
to this Global Security or its nominee only if (a) such depository notifies the Company that it is unwilling or unable to continue
as depository for this Global Security or at any time ceases to be a clearing agency registered as such under the Securities Exchange
Act of 1934, as amended, (b) the Company executes and delivers to the Trustee a Company Order that this Global Security shall be
exchangeable or (c) there shall have occurred and be continuing an Event of Default with respect to the Securities. If this Global
Security is exchangeable pursuant to the preceding sentence, it shall be exchangeable for Securities issuable in a minimum denomination
of $2,000 and integral multiples of $1,000 in excess thereof, registered in such names as such depository shall direct.

 

    	 	3	 

     

    

 

The Securities of this
series are issuable only in registered form without coupons and when not represented by one or more Global Securities, (a) will
be issuable in a minimum denomination of $2,000 and integral multiples of $1,000 in excess thereof and (b) as provided in the Indenture
and subject to certain limitations therein set forth, will be exchangeable for a like aggregate principal amount of Securities
of this series of a different authorized denomination, as requested by the Holder surrendering the same.

 

No service charge shall
be made for any such registration of transfer or exchange, but the Company may require payment of a sum sufficient to cover any
tax or other governmental charge payable in connection therewith.

 

Prior to due presentment
of this Security for registration of transfer, the Company, the Trustee and any agent of the Company or the Trustee may treat the
Person in whose name this Security is registered as the owner hereof for all purposes, whether or not this Security be overdue,
and neither the Company, the Trustee nor any such agent shall be affected by notice to the contrary.

 

This Security shall
be governed by the laws of the State of New York.

 

All terms used in this
Security which are defined in the Indenture shall have the meanings assigned to them in the Indenture.

 

*        *        *

    	 	4	 

     

    

 

IN WITNESS WHEREOF,
the Company has caused this instrument to be duly executed under its corporate seal.

 

Dated: September 19, 2019

 

[SEAL]

 

	 	CATERPILLAR INC.
	 	 
	 	 
	 	By:	 
	 	 	Richard D. Moore
	 	 	Treasurer

 

	Attest:	 
	 	 
	 	 
	By:	 	 
	 	Desmond Eppel	 
	 	Assistant Secretary	 

 

    	 		 

     

    

 

TRUSTEE’S CERTIFICATE OF AUTHENTICATION

 

This is one of the
Securities of the series designated therein referred to in the within-mentioned Indenture.

 

	 	U.S. BANK NATIONAL ASSOCIATION, as Trustee
	 	 
	 	 
	 	By	 
	 	 	Name:
	 	 	Title:

 

    	 		 

     

    

 

ANNEX A TO GLOBAL SECURITY

 

Optional Redemption

 

At any time prior to March 19, 2049, this
Security may be redeemed in whole at any time or in part from time to time, at the Company’s option, at a redemption price
equal to the greater of:

 

	·	100% of the principal amount of the Securities to be
redeemed, or

 

	·	the sum of the present values of the remaining scheduled
payments of principal and interest on the Securities to be redeemed, from the date of redemption to March 19, 2049, discounted
to the date of redemption on a semi-annual basis (assuming a 360-day year consisting of twelve 30-day months) at the applicable
Treasury Rate plus 15 basis points,

 

in each case, plus accrued and unpaid interest
on the principal amount being redeemed to, but not including, the redemption date.

 

At any time on or after March 19, 2049,
this Security may be redeemed in whole at any time or in part from time to time, at the Company’s option, at a redemption
price equal to 100% of the principal amount of the Securities to be redeemed, plus accrued and unpaid interest on the principal
amount being redeemed to, but not including, the redemption date.

 

“Business Day”
means any calendar day that is not a Saturday, Sunday or legal holiday in New York, New York and on which commercial banks are
open for business in New York, New York.

 

“Comparable Treasury
Issue” means the United States Treasury security selected by the Independent Investment Banker as having a maturity comparable
to the remaining term (“Remaining Life”) of the Securities to be redeemed that would be utilized, at the time of selection
and in accordance with customary financial practice, in pricing new issues of corporate debt securities of comparable maturity
to the Remaining Life of such Securities.

 

“Comparable Treasury
Price” means (1) the average of five Reference Treasury Dealer Quotations for such redemption date, after excluding the highest
and lowest Reference Treasury Dealer Quotations, or (2) if, after seeking at least five Reference Treasury Dealer Quotations and
excluding the highest and lowest Reference Treasury Dealer Quotations, the Independent Investment Banker obtains fewer than five
such Reference Dealer Quotations, the average of all such quotations.

 

“Independent
Investment Banker” means any of Barclays Capital Inc., Citigroup Global Markets Inc. or SG Americas Securities, LLC and any
of their respective successors, as appointed by the Company, or, if any of the foregoing is unwilling or unable to select the Comparable
Treasury Issue, a nationally recognized investment banking institution which is a Primary Treasury Dealer appointed by the Company.

 

“Reference Treasury
Dealer” means (1) any of Barclays Capital Inc., Citigroup Global Markets Inc. or SG Americas Securities, LLC and any of their
respective successors, as appointed by the Company, provided, however, that if any of the foregoing shall cease to be a primary
U.S. government securities dealer (a “Primary Treasury Dealer”), the Company will substitute for such dealer another
Primary Treasury Dealer, and (2) any other nationally recognized Primary Treasury Dealer selected by the Independent Investment
Banker and acceptable to the Company.

 

    	 	A-1	 

     

    

 

“Reference Treasury
Dealer Quotations” means, with respect to each Reference Treasury Dealer and any redemption date, the average, as determined
by the Independent Investment Banker, of the bid and asked prices for the Comparable Treasury Issue (expressed in each case as
a percentage of its principal amount) quoted in writing to the Independent Investment Banker at 5:00 p.m., New York, New York time,
on the third Business Day preceding such redemption date.

 

“Treasury
Rate” means, with respect to any redemption date, (1) the yield, under the heading which represents the average for the immediately
preceding week, appearing in the most recently published statistical release designated “H.15(519)” or any successor
publication which is published weekly by the Board of Governors of the Federal Reserve System and which establishes yields on actively
traded United States Treasury securities adjusted to constant maturity under the caption “Treasury Constant Maturities,”
for the maturity corresponding to the Comparable Treasury Issue (or, if no maturity is within three months before or after the
Remaining Life, yields for the two published maturities most closely corresponding to the Comparable Treasury Issue will be determined
and the Treasury Rate will be interpolated or extrapolated from such yields on a straight line basis, rounding to the nearest month),
or (2) if such release (or any successor release) is not published during the week preceding the calculation date or does not contain
such yields, the rate per annum equal to the semi-annual equivalent yield-to-maturity of the Comparable Treasury Issue, calculated
using a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount) equal to the Comparable Treasury
Price of such redemption date. The Treasury Rate will be calculated on the third Business Day preceding the redemption date.

 

Holders of the Securities
to be redeemed will receive notice thereof by first-class mail at least 30 and not more than 60 days before the date fixed for
redemption. If fewer than all of the Securities are to be redeemed, the Trustee will select the particular Securities or portions
thereof for redemption from the outstanding Securities not previously called, pro rata or by lot, or in such other manner as the
Company shall direct.

 

    	 	A-2ex_158186.htm

Exhibit 10.1

 

 

FIRST AMENDMENT TO LEASE AGREEMENT

 

This FIRST AMENDMENT TO LEASE AGREEMENT ("First Amendment") is made and entered into as of September 17, 2019, by and between HCP, INC., a Maryland corporation ("Landlord"), and VAXART, INC., a Delaware corporation ("Tenant").

 

R E C I T A L S :

 

A.     Landlord (as successor-in-interest to CRP EDGEWATER, L.L.C.) and Tenant are parties to the Lease Agreement dated April 17, 2015 (the "Lease"), pursuant to which Tenant leases approximately 5,188 rentable square feet of space, commonly known as Suite 200 (the "Premises") in the building (the "Building") located at 290 Utah Avenue, South San Francisco, California.

 

B.     The parties desire to amend the Lease on the terms and conditions set forth in this First Amendment.

 

A G R E E M E N T :

 

NOW, THEREFORE, in consideration of the foregoing recitals and the mutual covenants contained herein, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows:

 

1.     Terms. All capitalized terms when used herein shall have the same respective meanings as are given such terms in the Lease unless expressly provided otherwise in this First Amendment.

 

2.     Condition of the Premises. Landlord and Tenant acknowledge that Tenant has been occupying the Premises pursuant to the Lease, and therefore Tenant continues to accept the Premises in its presently existing, "as is" condition. Landlord shall not be obligated to provide or pay for any improvement work or services related to the improvement of the Premises. Tenant also acknowledges that neither Landlord nor any agent of Landlord has made any representation or warranty regarding the condition of the Premises, the Building, or the Project or with respect to the suitability of the same for the conduct of Tenant's business.

 

3.     Term.

 

3.1.     Extended Term. Pursuant to the Lease, the term of the Lease (the "Lease Term") is scheduled to expire on April 30, 2020. Landlord and Tenant hereby agree to extend the Lease Term for a period of five (5) years, from May 1, 2020, through April 30, 2025 (the "Extended Term"), on the terms and conditions set forth in the Lease, as hereby amended by this First Amendment, unless sooner terminated as provided in the Lease.

 

3.2.     No Further Right to Extend Lease Term. Landlord and Tenant acknowledge and agree that the Extended Term provided herein shall be deemed to represent Tenant's option to extend the Lease Term as provided in Section 68 of the Lease, and therefore, effective as of the date of this First Amendment, Section 68 of the Lease shall be terminated and of no further force or effect.

 

 

-1-

 

 

4.     Rent.

 

4.1.     Base Rent. During the Extended Term, Tenant shall pay monthly installments of Base Rent for the Premises as follows, and otherwise shall pay Base Rent in accordance with the terms of the Lease:

 

	
			Period During

			Extended Term

				
			Annual

			Base Rent

				
			Monthly

			Installment

			of Base Rent

				
			Monthly Rental Rate

			per Square Foot

			
	
			May 1, 2020 – 

			April 30, 2021

				
			$317,505.60

				
			$26,458.80

				
			$5.10

			
	
			May 1, 2021 – 

			April 30, 2022

				
			$328,618.30

				
			$27,384.86

				
			$5.28

			
	
			May 1, 2022 – 

			April 30, 2023

				
			$340,119.94

				
			$28,343.33

				
			$5.46

			
	
			May 1, 2023 – 

			April 30, 2024

				
			$352,024.13

				
			$29,335.34

				
			$5.65

			
	
			May 1, 2024 – 

			April 30, 2025

				
			$364,344.98

				
			$30,362.08

				
			$5.85

			

 

4.2.     Operating Expenses and Real Property Taxes. Prior to and continuing throughout the Extended Term, Tenant shall pay Tenant's Percentage Share of all Operating Expenses and Real Property Taxes which arise or accrue with respect to the Premises pursuant to the terms of the Lease.

 

5.     Brokers. Landlord and Tenant hereby warrant to each other that they have had no dealings with any real estate broker or agent in connection with the negotiation of this First Amendment other than CBRE, Inc. and Kidder Matthews (the "Brokers"), and that they know of no other real estate broker or agent who is entitled to a commission in connection with this First Amendment. Each party agrees to indemnify and defend the other party against and hold the other party harmless from any and all claims, demands, losses, liabilities, lawsuits, judgments, costs and expenses (including without limitation reasonable attorneys' fees) with respect to any leasing commission or equivalent compensation alleged to be owing on account of any dealings with any real estate broker or agent, other than the Brokers, occurring by, through, or under the indemnifying party. The terms of this Section 5 shall survive the expiration or earlier termination of the term of the Lease, as hereby amended.

 

 

-2-

 

 

6.     Security Deposit. Notwithstanding anything in the Lease to the contrary, the security deposit held by Landlord pursuant to the Lease, as amended hereby, shall equal $60,724.16. Landlord and Tenant acknowledge that, in accordance with the Lease, Tenant has previously delivered the sum of $42,041.80 to Landlord as security for the faithful performance by Tenant of the terms, covenants and conditions of the Lease. Concurrently with Tenant's execution of this First Amendment, Tenant shall deposit with Landlord an amount equal to $18,682.36 to be held by Landlord as a part of the security deposit. To the extent that the total amount held by Landlord at any time as security for the Lease, as hereby amended, is less than $60,724.16, Tenant shall pay the difference to Landlord within ten (10) days following Tenant's receipt of notice thereof from Landlord.

 

7.     California Required Disclosures. For purposes of Section 1938 of the California Civil Code, Landlord hereby discloses to Tenant, and Tenant hereby acknowledges, that the Premises have not undergone inspection by a Certified Access Specialist (CASp). As required by Section 1938(e) of the California Civil Code, Landlord hereby states as follows: "A Certified Access Specialist (CASp) can inspect the subject premises and determine whether the subject premises comply with all of the applicable construction-related accessibility standards under state law. Although state law does not require a CASp inspection of the subject premises, the commercial property owner or lessor may not prohibit the lessee or tenant from obtaining a CASp inspection of the subject premises for the occupancy or potential occupancy of the lessee or tenant, if requested by the lessee or tenant. The parties shall mutually agree on the arrangements for the time and manner of the CASp inspection, the payment of the fee for the CASp inspection, and the cost of making any repairs necessary to correct violations of construction-related accessibility standards within the premises." In furtherance of the foregoing, Landlord and Tenant hereby agree as follows: (a) any CASp inspection requested by Tenant shall be conducted, at Tenant's sole cost and expense, by a CASp approved in advance by Landlord; and (b) Tenant, at its cost, is responsible for making any repairs within the Premises to correct violations of construction-related accessibility standards; and, if anything done by or for Tenant in its use or occupancy of the Premises shall require repairs to the Building (outside the Premises) to correct violations of construction-related accessibility standards, then Tenant shall, at Landlord's option, either perform such repairs at Tenant's sole cost and expense or reimburse Landlord upon demand, as additional rent, for the cost to Landlord of performing such repairs.

 

8.     No Further Modification. Except as specifically set forth in this First Amendment, all of the terms and provisions of the Lease shall remain unmodified and in full force and effect.

 

[SIGNATURES FOLLOW ON NEXT PAGE]

 

 

-3-

 

 

 

IN WITNESS WHEREOF, this First Amendment has been executed as of the day and year first above written.

 

	
			LANDLORD:

			 

			HCP, INC.,

			a Maryland corporation

			 

			By:  /s/ SCOTT BOHN     

			Name: Scott Bohn             

			Its: Senior Vice President  

				
			TENANT:

			 

			VAXART, INC.,

			a Delaware corporation

			 

			By:  /s/ WOUTER LATOUR    

			            Wouter Latour               

			               Print Name

			Its:  CEO                                    

			 

			By:                                               

			                                                     

			                  Print Name

			Its:                                                 

			

 

 

 

 

 

 

 

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