Document:

Exhibit
10.3

 

AMENDMENT
NO. 3

TO

RELMADA THERAPEUTICS, INC. 2014 STOCK OPTION AND

EQUITY INCENTIVE PLAN, AS AMENDED

 

Pursuant
to Section 9(a) of the 2014 Stock Option and Equity Incentive Plan, as amended (the “Plan”) of Relmada Therapeutics,
Inc. (the “Company”), the Board of Directors of the Company has duly adopted a resolution, conditioned upon
approval by the stockholders of the Company, approving this Amendment No. 3 to the Plan to increase the total number of shares
of common stock, par value $.001 per share, of the Company (the “Common Stock”) reserved and available for
issuance under the Plan as follows:

 

1.        Section
4(a)(i) of the Plan is hereby amended to read in its entirety as follows:

 

“CALCULATION
OF NUMBER OF SHARES AVAILABLE. Subject to the provisions of Section 14 of the Plan, the maximum aggregate number of Shares that
may be sold under the Plan is 6,611,768 Shares of Common Stock, and the maximum aggregate number of Shares available for issuance
as Incentive Stock Options is the same. The Shares may be authorized, but unissued, or reacquired Common Stock. If an award should
expire or become unexercisable for any reason without having been exercised in full, or is surrendered pursuant to an Option Exchange
Program, the unpurchased Shares that were subject thereto shall, unless the Plan shall have been terminated, become available
for future grant under the Plan. In addition, any Shares of Common Stock which are retained by the Company upon exercise of an
award in order to satisfy the exercise or purchase price for such award or any withholding taxes due with respect to such exercise
or purchase shall be treated as not issued and shall continue to be available under the Plan. Shares issued under the Plan and
later repurchased by the Company pursuant to any repurchase right which the Company may have shall not be available for future
grant under the Plan.

 

2.        All
other terms and provisions of the Plan shall remain unchanged and in full force and effect as written.

 

3.        A
majority in voting interest of the stockholders present in person or by proxy and entitled to vote at the meeting of stockholders
at which this Amendment No. 3 was considered, has duly approved this Amendment No. 3 to the Plan.

 

IN
WITNESS WHEREOF, this Amendment No. 3 to the Plan is made effective this 12th day of May, 2018.

 

	 	RELMADA THERAPEUTICS, INC.
	 	 
	 	By:	 /s/
    Sergio Traversa
	 	Name:	Sergio Traversa
	 	Title:	Chief Executive OfficerExhibit 4.3

 

Legendary Pit   Bar-B-Que® SEE REVERSE SIDE FOR CERTAIN DEFINITIONS INCORPORATED UNDER THE   LAWS OF THE STATE OF MINNESOTA CUSIP 307068 10 6 THIS CERTIFIES THAT s EN I   (l me0 oz c r;:l is the owner of -z:(/) :_:,!zGi :oe:l FULLY PAID AND   NON-ASSESSABLE SHARES OF THE COMMON STOCK, PAR VALUE $.01 PER SHARE OF Cl>   (f)Z -; o FAMOUS DAVE'S OF AMERICA, INC. om:n (hereinafter called the   Corporation), transferable on the books of the Corporation by the holder   hereof in person or by duly authorized attorney, upon surrender of this   Certificate properly endorsed. This Certificate and the shares represented   hereby are issued and shall be held subject to all of the provisions of the   Articles of Incorporation of the Corporation and of the amendments from time   to time made thereto (copies of which are on file with the Transfer Agent),   to all of which the holder, by acceptance hereof assents. This certificate is   not valid until countersigned by the Transfer Agent and registered by the   Registrar. Witness the facsimile signatures of the duly authorized officers   of the Corporation. S::Ui }li! n:l z -<9 Dated: -i ) >:D zo l> :n (   /) mm Gl:D (jj)> -i Gl :IJm )>z :IJ-i AMERICAN FINANCIAL PRINTING   INCORPORATED - MINNEAPOLIS OJ -< 

    

 

 

THE CORPORATION   WILL FURNISH ANY SHAREHOLDER UPON REQUEST AND WITHOUT CHARGE, A COPY OF THE   ARTICLES OF INCORPORATION AND A FULL STATEMENT OF THE DESIGNATIONS,   PREFERENCES, LIMITATIONS, AND RELATIVE RIGHTS OF THE SHARES OF EACH CLASS OR   SERIES AUTHORIZED TO BE ISSUED, SO FAR AS THEY HAVE BEEN DETERMINED, AND THE   AUTHORITY OF THE BOARD OF DIRECTORS TO DETERMINE THE RELATIVE RIGHTS AND   PREFERENCES OF SUBSEQUENT CLASSES OR SERIES. 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: Custodian _ UTMA - TEN COM TEN ENT JTTEN - as tenants in   common - as tenants by entireties (Gust) (Minor) under Uniform Transfers to   Minors Act - as joint tenants with right of survivorship and not as tenants   in common (State) Additional abbreviations may also be used though not in the   above list. PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF   ASSIGNEE (PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP   CODE OF ASSIGNEE) ---------------------------------J ami----------­ ami cb   ftere!ty em;ed tlw(] --------------------------Iff tlw saids/t{l/'e£/ {HZ/   tlw 6-oob(!/tlw toitltuv-(] Jidi 0ated (!/ itatUJ-/l/ ilv tlwfrenzt&e&   NOTICE: THE SIGNA1UAE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME N3   WRITTEN UPON THE FACE OF THE CEAnFICAlE IN EVERY PARTICUlAR WITHOUT   AI.JERATlON 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 MEDALUON PROGRAM { SEMP')   AND MUST NOT BE DATED. GUARANTEES BY A NOTARY PUBLIC ARE NOT ACCEPTABLE.cswc_Ex10_1

		
			Exhibit 10.1
		

		
			Execution Version
		

		
			 
		

		
			INCREMENTAL ASSUMPTION AGREEMENT
		

		
			dated as of May 11, 2018,
		

		
			made by
		

		
			ING CAPITAL LLC,
		

		
			 
		

		
			as  Increasing Lender,
		

		
			 
		

		
			relating to the
		

		
			SENIOR SECURED REVOLVING CREDIT AGREEMENT
		

		
			dated as of August 30, 2016,
		

		
			among
		

		
			CAPITAL SOUTHWEST CORPORATION,
		

		
			 as Borrower,
		

		
			 
		

		
			the Lenders from time to time party thereto,
		

		
			ING CAPITAL LLC,
		

		
			 as Administrative Agent,
		

		
			Arranger and Bookrunner
		

		
			and
		

		
			TEXAS CAPITAL BANK, N.A.,
		

		
			 as Documentation Agent,
		

		
			 
		

		
			 
		

		
			 
		

		
			

		 

		

			 

		

 

		

		
			INCREMENTAL ASSUMPTION AGREEMENT, dated as of May 11, 2018 (this “Assumption Agreement”), by and among CAPITAL SOUTHWEST CORPORATION (the “Borrower”), ING CAPITAL LLC (“ING”), in its capacity as Administrative Agent (in such capacity, the “Administrative Agent”), and  ING CAPITAL LLC (the “Increasing Lender”), relating to the SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of August 30, 2016 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among the Borrower, the Administrative Agent, the several lenders from time to time party to the Credit Agreement and TEXAS CAPITAL BANK, N.A., as documentation agent.
		

		
			A.The Borrower has requested that the Increasing Lender provide an additional Commitment in an amount equal to $10,000,000 (the “Incremental Commitment”), pursuant to Section 2.06(f) of the Credit Agreement.
		

		
			B.The Increasing Lender is willing to make such an Incremental Commitment to the Borrower on the terms and subject to the conditions set forth herein and in the Credit Agreement.
		

		
			Accordingly, in consideration of the mutual agreements herein contained and other good and valuable consideration, the sufficiency and receipt of which are hereby acknowledged, the parties hereto agree as follows:
		

			
	
			
				SECTION 1.
			    Defined Terms; Interpretation; Etc.    Capitalized terms used and not defined herein shall have the meanings assigned to such terms in the Credit Agreement.  The rules of construction set forth in Section 1.03 of the Credit Agreement shall apply equally to this Assumption Agreement.  This Assumption Agreement shall be a “Loan Document” for all purposes of the Credit Agreement and the other Loan Documents.

			
	
			
				SECTION 2.
			    Incremental Commitment.   Pursuant to Section 2.06(f) of the Credit Agreement and subject to the terms and conditions hereof, the Increasing Lender hereby agrees to make the Incremental Commitment to the Borrower effective on and as of the Increase Effective Date (as defined below). The Incremental Commitment shall constitute an additional “Commitment” and a “Commitment Increase” for all purposes of the Credit Agreement and the other Loan Documents, and the Increase Effective Date shall be the “Commitment Increase Date” of the Incremental Commitment for purposes of Section 2.06(f) of the Credit Agreement.

			
	
			
				 (a)
			The terms of the Incremental Commitment shall be the same as the other Commitments made under the Credit Agreement.  

			
	
			
				 (b)
			On the Increase Effective Date, in connection with the adjustments to any outstanding Loans and participation interests contemplated by Section 2.06(f)(iv) of the Credit Agreement, the Increasing Lender shall make a payment to the Administrative Agent, for account of the other Lenders, in an amount calculated by the Administrative Agent in accordance with such section, so that after giving effect to such payment and to the distribution thereof to the other Lenders in accordance with such section, the Loans are held ratably by the Lenders in accordance with the respective Commitments of such Lenders (after giving effect to the Incremental Commitment and any other Commitment Increases, if any, occurring on the date hereof).

			
	
			
				SECTION 3.
			    Conditions Precedent to Incremental Commitment.  This Assumption Agreement, and the obligations of the Increasing Lender to make its Incremental Commitment, shall become effective on and as of the Business Day (the “Increase Effective Date”) occurring on or before May 11, 2018, on which the following conditions precedent have been satisfied:

		
			

		 

		

			2

		

 

		

			
	
			
				 (a)
			the Administrative Agent shall have received counterparts of this Assumption Agreement that, when taken together, bear the signatures of the Borrower, the Administrative Agent and the Increasing Lender;

			
	
			
				 (b)
			on the date hereof, each of the conditions set forth or referred to in Section 2.06(f)(i) of the Credit Agreement shall be satisfied, and pursuant to Section 2.06(f)(ii)(x) of the Credit Agreement the Administrative Agent shall have received a certificate of a duly authorized officer of the Borrower dated the date hereof certifying as to the foregoing; 

			
	
			
				 (c)
			(i) the Increasing Lender shall have received all fees due to such Increasing Lender on the date hereof pursuant to any outstanding fee letters or commitment letters by and between the Borrower and the Increasing Lender, and (ii) ING, in its capacity as the Lead Arranger, shall have received all fees due to it on the date hereof pursuant to any outstanding fee letters by and between the Borrower and ING;

			
	
			
				 (d)
			the Administrative Agent shall have received for the account of the Lenders the amounts, if any, payable under Section 2.13 of the Credit Agreement as a result of the adjustments of Borrowings pursuant to Section 2(c) of this Assumption Agreement; and

			
	
			
				 (e)
			pursuant to Section 9.03 of the Credit Agreement, the Administrative Agent shall have received all other reasonable and documented out-of-pocket fees and expenses related to this Agreement owing on the date hereof.

			
	
			
				SECTION 4.
			    Representations and Warranties of the Borrower.  To induce the other parties hereto to enter into this Assumption Agreement, the Borrower represents and warrants to the Administrative Agent and the Increasing Lender that, as of the date hereof:

			
	
			
				 (a)
			This Assumption Agreement has been duly authorized, executed and delivered by the Borrower, and constitutes a legal, valid and binding obligation of the Borrower in accordance with its terms, except as enforceability may be limited by applicable bankruptcy, insolvency, reorganization, moratorium or similar laws affecting the enforcement of creditors’ rights generally and by general equitable principles (whether enforcement is sought by proceedings in equity or at law).  

			
	
			
				 (b)
			Each of the representations and warranties made by the Borrower in or pursuant to the Loan Documents are true and correct in all material respects as if made on such date (except to the extent they relate specifically to an earlier date, in which case they are true and correct in all material respects as of such earlier date, and unless a representation or warranty is already qualified by materiality or by Material Adverse Effect, in which case it is true and correct in all respects).

			
	
			
				 (c)
			No Default or Event of Default has occurred and is continuing on the date hereof or shall result from the Incremental Commitment.

			
	
			
				SECTION 5.
			    Consent and Reaffirmation.  (a) The Borrower agrees that, notwithstanding the effectiveness of this Assumption Agreement, the Guarantee and Security Agreement and each of the other Security Documents continue to be in full force and effect, (b) the Borrower acknowledges that the terms “Revolving Credit Agreement Obligations,” “Guaranteed Obligations” and “Secured Obligations” (each as defined in the Guarantee and Security Agreement) include any and all Loans made now or in the future by the Increasing Lender in respect of the Incremental Commitment and all interest and other amounts owing in respect thereof under the Loan Documents (including all interest and expenses accrued or incurred subsequent to the commencement of any bankruptcy or insolvency proceeding with respect to the Borrower, whether or not such interest or expenses are allowed as a claim in such proceeding), and (c) the Borrower confirms its grant of a security interest in its assets 

		 

		

			3

		

 

	as Collateral for the Secured Obligations, all as provided in the Loan Documents as originally executed (and amended prior to the date hereof and supplemented hereby).  On the Increase Effective Date, each reference in the Credit Agreement to “this Agreement,” “hereunder,” “hereof,” “herein” or words of similar import shall mean and be a reference to the Credit Agreement as modified by this Agreement and each reference in any other Loan Document shall mean the Credit Agreement as modified hereby.

			
	
			
				SECTION 6.
			    Notices.  All notices hereunder shall be given in accordance with the provisions of Section 9.01 of the Credit Agreement.

			
	
			
				SECTION 7.
			    Expenses.  The Borrower agrees to pay all reasonable out-of-pocket expenses incurred by the Administrative Agent in connection with this Assumption Agreement in accordance with the Credit Agreement, including the reasonable and documented fees, charges and disbursements of one outside counsel for the Administrative Agent.

			
	
			
				SECTION 8.
			    Counterparts.  This Assumption Agreement may be executed in any number of counterparts and by different parties hereto in separate counterparts, each of which when so executed and delivered shall be deemed an original, but all such counterparts together shall constitute but one and the same contract.  Delivery of an executed counterpart of a signature page of this Assumption Agreement by facsimile or electronic transmission shall be as effective as delivery of a manually executed counterpart hereof.

			
	
			
				SECTION 9.
			    Applicable Law; Jurisdiction; Consent to Service of Process; Other.  THIS ASSUMPTION AGREEMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES UNDER THIS ASSUMPTION AGREEMENT SHALL BE GOVERNED BY, AND CONSTRUED AND INTERPRETED IN ACCORDANCE WITH, THE LAW OF THE STATE OF NEW YORK.  THE PROVISIONS OF SECTION 9.09 OF THE CREDIT AGREEMENT (AND ALL OTHER APPLICABLE PROVISIONS OF ARTICLE IX OF THE CREDIT AGREEMENT) ARE HEREBY INCORPORATED BY REFERENCE.

			
	
			
				SECTION 10.
			    Headings.  The headings of this Assumption Agreement are for purposes of reference only and shall not limit or otherwise affect the meaning hereof.

			
	
			
				SECTION 11.
			    No Third Party Beneficiaries.  This Assumption Agreement is intended to be solely for the benefit of the parties hereto and is not intended to confer any benefits upon, or create any rights in favor of, any other person or entity.  No person or entity other than the parties hereto shall have any rights under or be entitled to rely upon this Assumption Agreement. 

			
	
			
				SECTION 12.
			    Acknowledgments.  Pursuant to Section 2.06(f)(i)(C) of the Credit Agreement, each of the Administrative Agent and the Borrower consents to the Commitment Increase provided for herein.  For the avoidance of doubt, pursuant to Section 2.06(f)(iv) of the Credit Agreement, the Borrower hereby acknowledges, and consents to the fact, that the Increase Effective Date (and thereby the Commitment Increase Date with respect to the Incremental Commitment provided for herein) may occur on a day other than the last day of an Interest Period.

		
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			4

		

 

		

		
			 
		

		
			IN WITNESS WHEREOF, the parties hereto have caused this Assumption Agreement to be duly executed and delivered by their proper and duly authorized representatives as of the day and year first above written.
		

			
					
						 

					
					
						CAPITAL SOUTHWEST CORPORATION,  

				
	
					
						 

					
					
						as Borrower

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						/s/ Michael Sarner

				
	
					
						 

					
					
						Name:

					
					
						Michael Sarner

				
	
					
						 

					
					
						Title:

					
					
						Chief Financial Officer

				

		
			 
		

		
			
		

		
			

		 

		

			[Signature Page to Incremental Assumption Agreement]

		

 

		

		
			 
		

			
					
						 

					
					
						 

					
					
						 

				
	
					
						 

					
					
						ING CAPITAL LLC,

				
	
					
						 

					
					
						as Administrative Agent

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						/s/ Patrick Frisch

				
	
					
						 

					
					
						Name:

					
					
						Patrick Frisch

				
	
					
						 

					
					
						Title:

					
					
						Managing Director

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						/s/ Grace Fu

				
	
					
						 

					
					
						Name:

					
					
						Grace Fu

				
	
					
						 

					
					
						Title:

					
					
						Director

				

		
			 
		

		
			
		

		
			

		 

		

			[Signature Page to Incremental Assumption Agreement]

		

 

		

		
			 
		

			
					
						 

					
					
						 

					
					
						 

				
	
					
						 

					
					
						ING CAPITAL LLC,

				
	
					
						 

					
					
						as Increasing Lender

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						/s/ Patrick Frisch

				
	
					
						 

					
					
						Name:

					
					
						Patrick Frisch

				
	
					
						 

					
					
						Title:

					
					
						Managing Director

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						/s/ Grace Fu

				
	
					
						 

					
					
						Name:

					
					
						Grace Fu

				
	
					
						 

					
					
						Title:

					
					
						Director

				

		
			 
		

		 

		

			[Signature Page to Incremental Assumption Agreement]

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