Document:

EX-10.1

 Exhibit 10.1 
  

EXCHANGE AND REDEMPTION AGREEMENT 

THIS EXCHANGE AND REDEMPTION AGREEMENT (the “Agreement”), dated as of July 22, 2015, is entered into by and between Taxus
Cardium Pharmaceuticals Group Inc., a Delaware Company (the “Company”), and the party identified as “Holder” on the signature page hereto (the “Holder”). 

WHEREAS, pursuant to the Securities Purchase Agreement, dated as of April 4, 2013, between the Company and the purchasers thereto
(“Purchase Agreement”), the Company issued to the Holder shares of Series A Convertible Preferred Stock of which 1,176 shares remain outstanding and beneficially owned by the Holder (such shares of preferred stock, the
“Preferred Stock”); and 
 WHEREAS, the Holder desires to allow for the redemption at Stated Value of the Preferred Stock
during the 120 days following the date hereof, and the Company desires to grant the Holder the right to exchange, from time to time after the date hereof, its shares of Preferred Stock for shares of Common Stock, all on the terms and conditions
contained herein. 
 NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants contained herein, and intending to
be legally bound, the Company and the Holder agree as follows: 
 1. Definitions. Terms used as defined terms herein and not
otherwise defined shall have the meanings provided therefor in the Purchase Agreement. 
 2. Company Redemption Right. At any time
after the date hereof until November 19, 2015, the Company may deliver a notice to the Holder (an “Optional Redemption Notice” and the date such notice is deemed delivered hereunder, the “Optional Redemption Notice
Date”) of its irrevocable election to redeem some or all of the then outstanding Preferred Stock, for cash in an amount equal to the aggregate Stated Value then outstanding plus any other amounts due in respect of the Preferred Stock (the
“Optional Redemption Amount”) on the 20th Trading Day following the Optional Redemption Notice Date (such date, the “Optional Redemption Date”, such period, the
“Optional Redemption Period” and such redemption, the “Optional Redemption”). The Optional Redemption Amount is payable in full on the Optional Redemption Date. The Company shall not take any action, or omit to take
any action with the purpose or intent of impeding or frustrating the Holders right to convert or exchange shares of Preferred Stock into Common Stock during the Optional Redemption Period and sell the Common Stock in the market. The Company
covenants and agrees that it will honor all Notices of Conversion and right to exchange under this Agreement tendered from the time of delivery of the Optional Redemption Notice through the date the Optional Redemption Amount is paid in full. If any
portion of the cash payment for an Optional Redemption has not been paid by the Company on the Optional Redemption Date, interest shall accrue thereon until such amount is paid in full at a rate equal to the lesser of 18% per annum or the maximum
rate permitted by applicable law. 
 3. Holder Exchange Right. After the date hereof until the Preferred Stock is no longer
outstanding, in addition to the right to convert the Preferred Stock pursuant to Section 6 of the Certificate of Designation, the Holder shall have the irrevocable right to exchange shares of 

 
Preferred Stock into shares of Common Stock (“Exchange Shares”), subject to the limitations set forth in Section 6(d) of the Certificate of Designation (as if the exchange were a
conversion), determined by dividing the Stated Value of such Preferred Stock by $0.30 (the “Exchange Price”), subject to adjustment as set forth in Section 7(a) of the Certificate of Designation. The Holder shall effect exchanges
hereunder by providing the Company with a notice of exchange (otherwise in the form of a Notice of Conversion). For clarity, when determining whether the Holder has exercised a conversion right or exchange right, absent written instructions to the
contrary by the Holder, the lowest Exchange Price or Conversion Price, as applicable, shall be assumed to apply (nothwithstanding whether the notice indicates a conversion or exchange). The provisions of Section 6(c), 6(d), 7(a), 7(c), 7(d), 7(e),
7(f) and 7(g) of the Certificate of Designation relating to Conversion Shares shall apply to the Exchange Shares as if the Exchange Shares were Conversion Shares. The right to receive Exchange Shares is a separate right from the Holder’s right
to convert Preferred Stock pursuant to the Certificate of Designations and no provision of the Certificate of Designation or the other Transaction Documents shall be deemed amended or waived hereunder. 

4. Amendment to definition of Permitted Indebtedness. The definition of Permitted Indebtedness in the Certificate of Designstion shall
be amended to add clause (c) which shall be as follows: “, and (c) additional Indebtedness for borrowed money in an amount not to exceed to $250,000” For purposes of clarification, the provisions of Section 7(b) of the Certificate of
Determination related to the adjustment of the Conversion Price shall apply to any Common Stock or Common Stock Equivalents issued in connection with the issuance of any Permitted Indebtedness. 

5. Representations and Warranties. The Company hereby makes to the Holder the following representations and warranties: 

(a) Organization and Qualification. The Company is an entity duly incorporated, validly existing and in good standing
under the laws of the jurisdiction of its incorporation, with the requisite corporate power and authority to enter into and to consummate the transactions contemplated by this Agreement and otherwise to carry out its obligations hereunder. 

(b) Authorization; Enforcement. The execution and delivery of this Agreement by the Company and the consummation by it
of the transactions contemplated hereby have been duly authorized by all necessary action on the part of the Company and no further action is required by the Company, its board of directors or its stockholders in connection therewith. This Agreement
has been duly executed by the Company and, when delivered in accordance with the terms hereof will constitute the valid and binding obligation of the Company enforceable against the Company in accordance with its terms except (i) as limited by
general equitable principles and applicable bankruptcy, insolvency, reorganization, moratorium and other laws of general application affecting enforcement of creditors’ rights generally, (ii) as limited by laws relating to the availability of
specific performance, injunctive relief or other equitable remedies and (iii) insofar as indemnification and contribution provisions may be limited by applicable law. 

  
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 (c) No Conflicts. The execution, delivery and performance of this
Agreement by the Company and the consummation by the Company of the transactions contemplated hereby do not and will not: (i) conflict with or violate any provision of the Company’s or any Subsidiary’s certificate or articles of
incorporation, bylaws or other organizational or charter documents, or (ii) conflict with, or constitute a default (or an event that with notice or lapse of time or both would become a default) under, result in the creation of any Lien upon any of
the properties or assets of the Company or any Subsidiary, or give to others any rights of termination, amendment, acceleration or cancellation (with or without notice, lapse of time or both) of, any material agreement, credit facility, debt or
other material instrument (evidencing a Company or Subsidiary debt or otherwise) or other material understanding to which the Company or any Subsidiary is a party or by which any property or asset of the Company or any Subsidiary is bound or
affected, or (iii) conflict with or result in a violation of any law, rule, regulation, order, judgment, injunction, decree or other restriction of any court or governmental authority to which the Company or a Subsidiary is subject (including
federal and state securities laws and regulations), or by which any property or asset of the Company or a Subsidiary is bound or affected; except in the case of each of clauses (ii) and (iii), such as could not have or reasonably be expected to
result in a Material Adverse Effect. 
 (d) Issuance of the Exchange Shares. The Exchange Shares, when issued in
accordance with the terms of this Agreement and the Transaction Documents, will be validly issued, fully paid and nonassessable, free and clear of all Liens imposed by the Company other than restrictions on transfer provided for in the Transaction
Documents. The Company has reserved from its duly authorized capital stock a sufficient number of shares of Common Stock for issuance of all of the Exchange Shares. 

(e) Status of Exchange Shares. The shares of Preferred Stock were issued to the Holder pursuant to the terms of an
effective Registration Statement (333-168693) and have the status of unrestricted, freely transferable shares. The exchange of the shares of Preferred Stock for Exchange Shares is exempt from registration pursuant to Section 3(a)(9) of the
Securities Act, and the Exchanges Shares, when issued in accordance with the terms of this Agreement will be unrestricted, freely transferable shares. The Company agrees not to take a position contrary to this paragraph. If requested by a Holder,
the Company shall promptly, and in any event within 3 Business Days of such request, provide a legal opinion of outside counsel opining to the unrestricted and freely tradeable nature of the Exchange Shares. 

6. Representations and Warranties of the Holder. The Holder hereby represents and warrants as of the date hereof to the Company as
follows: 
 (a) Organization. The Holder is an entity duly incorporated or formed, validly existing and in good
standing under the laws of the jurisdiction of its incorporated or formed with full right, corporate, partnership, limited liability company or similar power and authority to enter into and to consummate the transactions contemplated by this
Agreement and otherwise to carry out its obligations hereunder. 

  
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 (b) Authorization; Enforcement. The execution and delivery of this
Agreement and performance by the Holder of the transactions contemplated herein have been duly authorized by all necessary corporate, partnership, limited liability company or similar action, as applicable, on the part of the Holder. This Agreement
has been duly executed by the Holder, and when delivered by the Holder in accordance with the terms hereof, will constitute the valid and legally binding obligation of the Holder, enforceable against it in accordance with its terms, except: (i) as
limited by general equitable principles and applicable bankruptcy, insolvency, reorganization, moratorium and other laws of general application affecting enforcement of creditors’ rights generally, (ii) as limited by laws relating to the
availability of specific performance, injunctive relief or other equitable remedies and (iii) insofar as indemnification and contribution provisions may be limited by applicable law. 

The Company acknowledges and agrees that the representations contained in this Section 6 shall not modify, amend or affect the Holder’s right to rely on
the Company’s representations and warranties contained in this Agreement or any other document or instrument executed and/or delivered in connection with this Agreement or the consummation of the transaction contemplated hereby. 

7. Miscellaneous. 

(a) The Company shall, prior to 9 a.m. E.T. on the Trading Day immediately following the date hereof, file a Current Report on
Form 8-K with the Commission disclosing the material terms of the transactions contemplated hereby, and shall attach this Agreement as an exhibit thereto. From and after such filing, the Holder shall not be in possession of any material, nonpublic
information received from the Company, any of its Subsidiaries or any of their respective officers, directors, employees or agents that is not disclosed in such Form 8-K. The Company shall consult with the Holder in issuing the Form 8-K and any
other press releases with respect to the transactions contemplated hereby. 
 (b) This Agreement may be executed in two or
more counterparts and may be delivered by electronic mail in portable document format or other means intended to preserve the original graphic content of a signature, and each of such counterparts shall be deemed an original and all of such
counterparts together shall constitute one and the same agreement. 
 (c) Each party shall pay the fees and expenses of its
advisers, counsel, accountants and other experts, if any, and all other expenses incurred by such party incident to the negotiation, preparation, execution, delivery and performance of this Agreement. 

(d) If any provision of this Agreement is prohibited by law or otherwise determined to be invalid or unenforceable by a court
of competent jurisdiction, the provision that would otherwise be prohibited, invalid or unenforceable shall be deemed amended to apply to the broadest extent that it would be valid and enforceable, and the invalidity or unenforceability of such
provision shall not affect the validity of the 

  
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remaining provisions of this Agreement so long as this Agreement as so modified continues to express, without material change, the original intentions of the parties as to the subject matter
hereof and the prohibited nature, invalidity or unenforceability of the provision(s) in question does not substantially impair the respective expectations or reciprocal obligations of the parties or the practical realization of the benefits that
would otherwise be conferred upon the parties. The parties will endeavor in good faith negotiations to replace the prohibited, invalid or unenforceable provision(s) with a valid provision(s), the effect of which comes as close as possible to that of
the prohibited, invalid or unenforceable provision(s). 
 (e) Except as expressly set forth herein, all of the terms and
conditions of the Transaction Documents shall continue in full force and effect after the execution of this Agreement and shall not be in any way changed, modified or superseded by the terms set forth herein. 

(f) This Agreement shall be governed by and interpreted in accordance with laws of the State of New York, excluding its choice
of law rules. The parties hereto hereby waive the right to a jury trial in any litigation resulting from or related to this Agreement. The parties hereto consent to exclusive jurisdiction and venue in the federal courts sitting in the southern
district of New York, unless no federal subject matter jurisdiction exists, in which case the parties hereto consent to exclusive jurisdiction and venue in the New York state courts in the borough of Manhattan, New York. Each party waives all
defenses of lack of personal jurisdiction and forum non conveniens. Process may be served on any party hereto in the manner authorized by applicable law or court rule. 

*********************** 

  
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 IN WITNESS WHEREOF, this Exchange and Redemption Agreement is executed as of the date first set
forth above. 
  

			
	TAXUS CARDIUM PHARMACEUTICALS GROUP INC.
		
	By:	 	/s/ Christopher J. Reinhard
	Name:	 	Christopher J. Reinhard
	Title:	 	

 [signature page of Holder to follow] 

  
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 SIGNATURE PAGE OF HOLDER TO 

EXCHANGE AND REDEMPTION AGREEMENT 

BETWEEN CRXM AND 
 THE HOLDER
THEREUNDER 
  

			
	 Name of Holder:
		 Sabby Healthcare Volatility Master Fund,
Ltd.

			
		
	By:		 /s/ Robert Grundstein

			
		
	Name:		 Robert Grundstein

			
		
	Title:		 COO of Investment ManagementEX-4.1

 Exhibit 4.1 

EXECUTION VERSION 
 FOURTH
SUPPLEMENTAL INDENTURE 
 FOURTH SUPPLEMENTAL INDENTURE (the “Fourth Supplemental Indenture”), dated as of
July 23, 2015, to the Indentures (defined below) by and among RTI International Metals, Inc., an Ohio corporation (the “Company”), each of the Subsidiary Guarantors, Alcoa Inc., a Pennsylvania corporation
(“Alcoa”), and The Bank of New York Mellon Trust Company, N.A., a national banking association, as Trustee under the Indenture (the “Trustee”). 

WITNESSETH 
 WHEREAS, the
Company has heretofore executed and delivered to the Trustee an indenture, dated as of December 14, 2010 (the “Base Indenture”), providing for the issuance from time to time of its Securities (as defined in the Base Indenture)
to be issued in one or more series as therein provided; 
 WHEREAS, the Company has heretofore executed and delivered to the
Trustee, pursuant to the terms of the Base Indenture (i) a First Supplemental Indenture, dated as of December 14, 2010 (the “First Supplemental Indenture”) and a Second Supplemental Indenture, dated as of May 30, 2012
(the “Second Supplemental Indenture”) (the Base Indenture, together with the First Supplemental Indenture and Second Supplemental Indenture, the “2015 Notes Indenture”), providing for the establishment of a series
of the Company’s Securities known as its 3.000% Convertible Senior Notes due 2015 (the “2015 Notes”) and (ii) a Third Supplemental Indenture, dated as of April 17, 2013 (the “Third Supplemental
Indenture”) (the Base Indenture, together with the Third Supplemental Indenture, the “2019 Notes Indenture” and, together with the 2015 Notes Indenture, the “Indentures”), providing for the establishment of
a series of the Company’s Securities known as its 1.625% Convertible Senior Notes due 2019 (the “2019 Notes” and, together with the 2015 Notes, the “Notes”); 

WHEREAS, the Company entered into the Agreement and Plan of Merger, dated as of March 8, 2015 (the “Merger Agreement”),
by and among the Company, Alcoa and Ranger Ohio Corporation, a direct wholly owned subsidiary of Alcoa (“Merger Sub”), pursuant to which, among other things, concurrently with the execution of this Fourth Supplemental Indenture,
Merger Sub is being merged with and into the Company, with the Company being the surviving corporation in such Merger (the “Merger”); 

WHEREAS, pursuant to the Merger Agreement and subject to the terms and conditions therein, at the effective time of the Merger, each
share of common stock, par value $0.01 per share, of the Company (the “Shares”) issued and outstanding immediately prior to the effective time of the Merger is being converted into the right to receive 2.8315 shares of Alcoa common
stock, par value $1.00 per share (each share of such stock, “Reference Property”);  
 WHEREAS, the Merger
constitutes a Merger Event with respect to each series of Notes under Section 8.07 of the First Supplemental Indenture and the Third Supplemental Indenture, as applicable; 

WHEREAS, pursuant to (i) Section 8.07 of the First Supplemental Indenture and the Third Supplemental Indenture, as applicable, at
the effective time of such Merger Event, the 

 
Company is required to execute with the Trustee a supplemental indenture providing for the change in the right to convert each series of Notes resulting from the Merger Event and
(ii) Section 8.07(b) of the First Supplemental Indenture and the Third Supplemental Indenture, as applicable, and Section 14.05 of the Base Indenture, the Company is required to execute an Officer’s Certificate related to such
supplemental indenture; 
 WHEREAS, pursuant to Sections 10.03 of each of the Indentures, the Trustee has received an Officer’s
Certificate stating that this Fourth Supplemental Indenture is authorized or permitted by each of the Indentures; and 
 WHEREAS, pursuant
to Sections 10.03 of each of the Indentures, the Trustee has received an Opinion of Counsel stating that this Fourth Supplemental is authorized or permitted by each of the Indentures; 

NOW, THEREFORE, in consideration of the foregoing and for other good and valuable consideration, the receipt of which is hereby acknowledged,
the Company, Alcoa, the Subsidiary Guarantors and the Trustee hereby agree as follows: 
 1. Capitalized Terms. Capitalized
terms used herein without definition shall have the meanings assigned to them in the applicable Indenture. 
 2. Agreement
of Parties. (a) With respect to the 2015 Notes, in accordance with Section 8.07 of the First Supplemental Indenture, at and after the effective time of the Merger, the right to convert each $1,000 principal amount of 2015 Notes shall
be changed to a right to convert such principal amount of 2015 Notes into the amount of Reference Property that a holder of a number of Shares equal to the Conversion Rate (as defined in the First Supplemental Indenture) immediately prior to the
Merger would have owned or been entitled to receive upon the consummation of the Merger. The provisions of the 2015 Notes Indenture, as modified herein, including without limitation, (i) all references and provisions respecting the terms
“Common Stock,” “Conversion Price” and “Conversion Rate” and (ii) the provisions of Section 8.01(b) of the First Supplemental Indenture respecting when a Holder of 2015 Notes may surrender its 2015 Notes for
conversion, shall continue to apply, mutatis mutandis, to the Holders’ right to convert each 2015 Note into the Reference Property. Alcoa hereby agrees to furnish Reference Property, if any, deliverable upon conversion of the 2015 Notes
and be bound by the conversion provisions of Article 8 of the First Supplemental Indenture. As and to the extent required by Section 8.07(a) of the First Supplemental Indenture, the Conversion Rate (as defined in the First Supplemental
Indenture) shall be adjusted as a result of events occurring subsequent to the date hereof with respect to the Reference Property as nearly equivalent as possible to the adjustments provided for in Article 8 of the First Supplemental Indenture, with
respect to the Common Stock.  
 (b) With respect to the 2019 Notes, in accordance with Section 8.07 of the Third Supplemental Indenture, at and
after the effective time of the Merger, the right to convert each $1,000 principal amount of 2019 Notes shall be changed to a right to convert such principal amount of 2019 Notes into the amount of Reference Property that a holder of a number of
Shares equal to the Conversion Rate (as defined in the Third Supplemental Indenture) immediately prior to the Merger would have owned or been entitled to receive upon the consummation of the Merger. 

 
The provisions of the 2019 Notes Indenture, as modified herein, including without limitation, (i) all references and provisions respecting the terms “Common Stock,”
“Conversion Price” and “Conversion Rate” and (ii) the provisions of Section 8.01(b) of the Third Supplemental Indenture respecting when a Holder of 2019 Notes may surrender its 2019 Notes for conversion, shall continue
to apply, mutatis mutandis, to the Holders’ right to convert each 2019 Note into the Reference Property. Alcoa hereby agrees to furnish Reference Property, if any, deliverable upon conversion of the 2019 Notes and be bound by the
conversion provisions of Article 8 of the Third Supplemental Indenture. As and to the extent required by Section 8.07(a) of the Third Supplemental Indenture, the Conversion Rate (as defined in the Third Supplemental Indenture) shall be adjusted
as a result of events occurring subsequent to the date hereof with respect to the Reference Property as nearly equivalent as possible to the adjustments provided for in Article 8 of the Third Supplemental Indenture, with respect to the Common Stock.

 3. Indentures Remain in Full Force and Effect. Except as supplemented hereby, all provisions of the Indentures shall remain in
full force and effect. 
 4. GOVERNING LAW. THIS FOURTH SUPPLEMENTAL INDENTURE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE
WITH, THE LAWS OF THE STATE OF NEW YORK. EACH OF THE COMPANY, ALCOA, THE SUBSIDIARY GUARANTORS AND THE TRUSTEE HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING
ARISING OUT OF OR RELATING TO THIS FOURTH SUPPLEMENTAL INDENTURE OR THE TRANSACTIONS CONTEMPLATED HEREBY. 
 5. Multiple
Counterparts. The parties may sign multiple counterparts of this Fourth Supplemental Indenture. Each signed counterpart shall be deemed an original, but all of them together represent the same agreement. 

6. Effect of Headings. The Section headings herein are for convenience of reference only, are not to be considered a part hereof, and
shall in no way modify or restrict any of the terms or provisions hereof. 
 7. Trustee. The Trustee accepts the amendment of the
Indentures effected by this Fourth Supplemental Indenture and agrees to execute the trust created by the Indentures as hereby amended, but only upon the terms and conditions set forth in the Indentures, including the terms and provisions defining
and limiting the liabilities and responsibilities of the Trustee, which terms and provisions shall in like manner define and limit its liabilities and responsibilities in the performance of the trust created by the Indentures as hereby amended.
Without limiting the generality of the foregoing, the Trustee shall not be responsible in any manner whatsoever for or with respect to any of the recitals or statements contained herein, all of which recitals or statements are made solely by the
Company, Alcoa and the Subsidiary Guarantors or for or with respect to (i) the validity, efficacy, or sufficiency of this Fourth Supplemental Indenture or any of the terms or provisions hereof, (ii) the proper authorization hereof by the
Company, Alcoa or the Subsidiary Guarantors, as applicable, by corporate action or otherwise, or (iii) the due execution hereof by the Company, Alcoa or the Subsidiary Guarantors, as applicable, and the Trustee makes no representation with
respect to any such matters. 

 [Signature Pages Follow] 

 EXECUTION VERSION 

IN WITNESS WHEREOF, the parties hereto have caused this Fourth Supplemental Indenture to be duly executed, all as of the date first above
written. 
  

			
	RTI INTERNATIONAL METALS, INC.
		
	By:		 /s/ Peter Hong

	Name:		Peter Hong
	Title:		Vice President

  
 [Signature Page
– Fourth Supplemental Indenture] 

 
			
	RMI TITANIUM COMPANY
		
	By:		 /s/ Michael G. McAuley

	Name:		Michael G. McAuley
	Title:		Treasurer
	
	EXTRUSION TECHNOLOGY CORPORATION OF AMERICA
		
	By:		 /s/ Michael G. McAuley

	Name:		Michael G. McAuley
	Title:		Treasurer
	
	RTI FINANCE CORP.
		
	By:		 /s/ Michael G. McAuley

	Name:		Michael G. McAuley
	Title:		Treasurer
	
	RTI MARTINSVILLE, INC.
		
	By:		 /s/ Michael G. McAuley

	Name:		Michael G. McAuley
	Title:		Treasurer

  
 [Signature Page
– Fourth Supplemental Indenture] 

 
			
	RTI REMMELE MEDICAL, INC.
		
	By:		 /s/ Michael G. McAuley

	Name:		Michael G. McAuley
	Title:		Treasurer
	
	RTI REMMELE ENGINEERING, INC.
		
	By:		 /s/ Michael G. McAuley

	Name:		Michael G. McAuley
	Title:		Treasurer

  
 [Signature Page
– Fourth Supplemental Indenture] 

 
			
	ALCOA INC.
		
	By:		 /s/ Peter Hong

	Name:		Peter Hong
	Title:		Vice President and Treasurer

  
 [Signature Page
– Fourth Supplemental Indenture] 

 
			
	THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee
		
	By:		 /s/ Teresa Petta

	Name:		Teresa Petta
	Title:		Vice President

  
 [Signature Page
– Fourth Supplemental Indenture]

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