Document:

exv4w1

 

Exhibit 4.1

	COMPASS DIVERSIFIED HOLDINGS

	ORGANIZED UNDER THE LAWS OF THE STATE OF DELAWARE

	SHARES

	SEE REVERSE FOB CERTAIN DEFINITIONS

	CUSIP 20451Q 10 4

	This certifies that

	is the owner of.

	Shares

	OF CQMPASS DVERSIFIED HOLDINGS, A DEJWARE STATUTORY TRUST (THE “TRUST”) WITH SUCH RIGHT AND
PRIVILEGES AS ARE SET FORTH IN THE AMENDED AND RESTATED TRUST AGREEMENT OF THE TRUST APRIL 25,
        .2006 (“THE 1RUST AGREEMENT”) AS IT MAY 3E AMENDED FROM TIME TO TIME.

	COMPASS DIVERSIFIED HOLDINGS

	Subject to any transfer restrictions in the Trust Agreement or on this Certificate, this
certificate is transferable on this books of the Trust in person or by duly authorized attorney
upon surrender of this certificate if properly endorsed. This Certificate is not valid unless
countersigned by the Transfer Agent and registered by the Registrar of the Trust.

	IN WITNESS WHEREOF, said Trust has caused this Certificate to be signed by its Regular Trustee.

	Dated

COUNTERSIGNED AND REGISTERED

	THE BANK OF NEW YORK

	TRANSFER AGENT

AND REGISTRAR

	AUTHORIZED SIGNATURE

	COMPASS DIVERSIFIED HOLDINGS

 

 

	SUCH HOLDER’S SHARES OF UNDIVIDED BENEFICIAL INTEREST IN THE PROPERTY OF THE TRUST. A STATEMENT OF
THE RELATIVE RIGHTS AND PREFERENCES OF THE TRUST’S SHARES WILL BE FURNISHED BY THE TRUST TO THE
HOLDER HEREOF” UPON REQUEST WITHOUT CHARGE.

	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 the entireties

	JT TEN- as joint tenants with right of survivorship and not as tenants in common

	UNIF GIFT MIN ACT-___Custodian___

	Under Uniform Gifts 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 ZIP CODE OF ASSIGNEE

	Shares

	of the Trust represented by the within certificate, and do hereby irrevocably constitute and
appoint

	to transfer the said Shares on the books of the within named Trust with full power of
substitution in the premises.

	Dated

	By:

	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 ENI ARGEMENT OR ANY CHANGE
WHATEVER.

	Signature(s) Guaranteed.

	By:

	THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS,
STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED
SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17Ad-15)exv4w1

 

Exhibit 4.1

	COMPASS DIVERSIFIED HOLDINGS

 

 

	SUCH HOLDER’S SHARES OF UNDIVIDED BENEFICIAL INTEREST IN THE PROPERTY OF THE TRUST. A STATEMENT OF
THE RELATIVE RIGHTS AND PREFERENCES OF THE TRUST’S SHARES WILL BE FURNISHED BY THE TRUST TO THE
HOLDER HEREOF UPON REQUEST WITHOUT CHARGE.

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

	TEN COM -TEN ENT            as tenants in            UNIF GIFT MIN ACT- Cushxlian
-JT TEN  —  common as tenants
by the entireties
as joint tenants
with right of
survivorship and
not as tenants in
common
—
(Cast} [Minor)
Under Uniform Gifts to Minors Act
—
(Suite)

	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 Oh ASSGNEE

	(PEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING ZIP CODE, OF ASSIGNEE)

	Shares

	of the Trust represented by the within Certificate, and do hereby irrevocably constitute and
appoint

	Attorney,

	to transfer the said Shares on the books of the within named Trust with full power of substitution
in the premises.

	Dated By:
—

	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 INLARGEMENT OR ANY CHANGE
WHATEVER.

	Signature(s) Guaranteed:

	By:

	THE SIGNATURES) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR

	institution (banks, stockbrokers, savings and loan associations

	AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED SIGNATURE

	GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17AD-I5).exv10w20

 

Exhibit 10.20

[*] = CERTAIN INFORMATION IN THIS EXHIBIT HAS BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. WITH RESPECT TO EXHIBIT D, FOUR PAGES HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED WITH RESPECT TO THE OMITTED PORTIONS.

AMENDMENT NO. 1 TO

LICENSE, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT

THIS AMENDMENT NO. 1 TO LICENSE, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT (“Amendment”), made
this 19th day of September, 2007 (“Effective Date”), is entered into by and between Cook
Incorporated, an Indiana corporation having a place of business at 750 Daniels Way, Bloomington,
Indiana 47404, USA, and its Affiliates (“Cook”), and Cardica, Inc., a Delaware corporation having a
place of business at 900 Saginaw Drive, Redwood City, CA 94063, and its Affiliates (“Cardica”).
Capitalized terms used herein without definition shall have the same meanings herein as set forth
in the License, Development and Commercialization Agreement dated December 9, 2005 (“Agreement”),
unless expressly amended in this Amendment.

RECITALS

	A.	 	Cardica is developing a medical device known as the X-Port for use in femoral access closure
procedures, among other applications, pursuant to the Agreement.

	B.	 	Cook in engaged in the business of developing, manufacturing and selling medical devices.

	C.	 	Cook is amenable to funding certain development work to be performed by Cardica on a product
designated the X-Port II defined in the Development Plan attached hereto as Exhibit D, in
exchange for receiving a license under the terms and conditions set forth in the Agreement to
continue to develop and to commercialize the X-Port II device worldwide for femoral access
closure procedures, as further described in the Agreement.

The parties agree as follows:

I. Amendments to Article I

     Section 1.16 of the Agreement is hereby amended by deleting section 1.16 in its entirety and
inserting the following:

1.16 “Product” means (a) the product designated by Cardica as of the Effective Date of this
Agreement as the X-Port device, size [*] as illustrated in Exhibit C of this Agreement, (b)
the product designated by Cardica as of the Effective Date of the Amendment to this
Agreement as the X-Port II device, sizes [*] and [*] as illustrated in Exhibit D of this
Agreement, and (c) any improvements thereto relating to vascular access closure developed
under this Agreement, including without limitation X-Port devices in formats other than size
[*] and X-Port II devices in formats other than sizes [*] and [*], expressly excluding any
devices not relating to vascular access closure, such as any device used in the closure of
holes made in the performance of an anastomosis.

 

 

II. Amendments to Article II

     Section 2.2 of the Agreement is hereby amended by deleting section 2.2 in its entirety and
inserting the following:

2.2 Prototype Product Development. The respective obligations of the parties for developing
prototypes of the Product designated as the X-Port device are set forth in Exhibit A to this
Agreement (“Development Plan”), which may be modified from time to time to time in
accordance with Section 11.9 (Integration) of this Agreement, and which is hereby
incorporated by reference. The respective obligations of the parties for developing
prototypes of the Product designated as the X-Port II device are set forth in Exhibit D to
this Agreement (“X-Port II Development Plan”), which may be modified from time to time to
time in accordance with Section 11.9 (Integration) of this Agreement, and which is hereby
incorporated by reference. Each party will use commercially reasonable efforts to perform
its obligations under each Development Plan. In the event a conflict arises between this
Agreement and a Development Plan, the terms of this Agreement will control.

III. Amendments to Article V

     Section 5.3 of the Agreement is hereby amended by inserting the following Section 5.3(A) after
the end of the existing Section 5.3:

A. X-Port II Device. Development of the Product designated as the X-Port II device by
Cardica will proceed through discrete phases set forth in the Development Plan attached as
Exhibit D. Cook will pay Cardica the following phase payments:

Phase 1. Four hundred fifty thousand Dollars ($450,000), due within thirty (30) days after
the Effective Date of the Amendment.

Phase 2. Three hundred thousand Dollars ($300,000), due within thirty (30) days after the
Development Committee unanimously approves Cardica’s successful completion of Phase 1 per
the Development Plan attached as Exhibit D.

[*] = CERTAIN INFORMATION IN THIS EXHIBIT HAS BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. WITH RESPECT TO EXHIBIT D, FOUR PAGES HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED WITH RESPECT TO THE OMITTED PORTIONS.

 

 

Each of the parties has caused this Amendment to be executed by its duly authorized
representative as of the date set forth in the first paragraph hereof.

	 	 	 	 	 
	COOK INCORPORATED 

 	 
	By:  	/s/ Brian Bates
 	 
	 	Brian Bates                    	 
	 	Senior Vice President, Business Development 	 
	 

	 	 	 	 	 
	CARDICA, INC. 

 	 
	By:  	/s/ Bernard A. Hausen, M.D.
	 
	 	Bernard A. Hausen, M.D.                         	 
	 	President and Chief Executive Officer 	 
	 

[*] = CERTAIN INFORMATION IN THIS EXHIBIT HAS BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. WITH RESPECT TO EXHIBIT D, FOUR PAGES HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED WITH RESPECT TO THE OMITTED PORTIONS.

 

 

Exhibit D

X-Port II Development Plan

General Description

The X-Port II device is a second generation vascular closure device intended to close the entry
hole created in the femoral artery during diagnostic and interventional procedures that use a
[*]fr or [*]fr sheath. The primary difference between the X-Port II and the original X-Port is
the [*].

Sequence of Operation

The sequence of operation will mimic that of the original X-Port as closely as possible to allow
a similar user experience. The following is a brief description of the operation sequence:

The device is passed through the [*]fr or [*]fr sheath used in the procedure. Therefore, the
length of the device will be identical to the X-Port. The design incorporates [*] that are used
to [*] with the vessel wall. Again, these [*] are identical to those incorporated in the
X-Port. The [*] are deployed automatically by [*] shaft until the [*] activates a button on the
device. The device is then [*] until the [*] against the intimal surface of the vessel. [*].
Once the position has been verified, the user [*] 316L stainless steel implant(clip) to close
the hole. At the end of the [*] so the device can be easily removed from the vessel.

[*] = CERTAIN INFORMATION IN THIS EXHIBIT HAS BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. WITH RESPECT TO EXHIBIT D, FOUR PAGES HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED WITH RESPECT TO THE OMITTED PORTIONS.

 

 

[*]

Advantages of the X-Port II:

[*]

Phase 1: Proof of Concept 

     Objective

Develop and demonstrate the basic device functionality at the scale of the final design.
Specifically, the following device design elements will be investigated:

          • [*]

Technical Strategy

Device — [*] The distal portion of the [*] design required for the final device.
All of the components required for these devices [*]. [*].

     [*]

          Testing — The [*] prototypes will be tested [*]. [*].

     Deliverables

          • [*]

Phase Cost

$450K

[*]

Schedule

          [*]

Phase 2: Pilot Production Device

Objective

     [*]

[*] = CERTAIN INFORMATION IN THIS EXHIBIT HAS BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. WITH RESPECT TO EXHIBIT D, FOUR PAGES HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED WITH RESPECT TO THE OMITTED PORTIONS.

 

 

          Technical Strategy

     Device — [*]

Testing — All of the [*] test methods required for design verification and
validation of the design [*].

Deliverables

• [*]

Project Cost

$ 300K

[*]

Schedule

[*]

Future Phases: Commercial Device (High Volume Production)

Objective

     [*]

Technical Strategy

          Device — [*]

          Testing — [*]

Deliverables

     • [*]

Project/Product Cost

     • [*]

Schedule

     [*]

[*] = CERTAIN INFORMATION IN THIS EXHIBIT HAS BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. WITH RESPECT TO EXHIBIT D, FOUR PAGES HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE
COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED WITH RESPECT TO THE OMITTED PORTIONS.

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