Document:

EX-10.6

 Exhibit 10.6 

Amendment No. 1 to 

At Market Issuance Sales Agreement 

May 7, 2015 
 MLV & Co. LLC 

1301 Avenue of the Americas, 43rd Floor 
 New York, NY 10019 

Ladies and Gentlemen: 
 Reference is made to the
At Market Issuance Sales Agreement, dated February 27, 2015, including the Schedules thereto, relating to the sale and issuance of common stock (the “Sales Agreement”), between MLV & Co. LLC (“MLV”)
and Aveo Pharmaceuticals, Inc., a Delaware corporation (the “Company”). All capitalized terms used in this Amendment No. 1 to At Market Issuance Sales Agreement between MLV and the Company (this “Amendment”)
and not otherwise defined herein shall have the respective meanings assigned to such terms in the Sales Agreement. MLV and the Company agree as follows: 

A. Amendments to Sales Agreement. The Sales Agreement is amended as follows: 

1. In Section 1 of the Sales Agreement, clause (a) in the first paragraph is deleted and replaced with “would
cause the Company to exceed the limitations set forth in General Instruction I.B.6 of Form S-3, if applicable to the Company” 

2. In Section 1 of the Sales Agreement, the reference to “a registration statement on Form S-3 (File
No. 333-178756),” in the second paragraph, is deleted and replaced with “with respect to sales of Placement Shares prior to the effectiveness of the registration statement initially filed on May 7, 2015, a registration statement
on Form S-3 (File No. 333-178756), and, with respect to sales of Placement Shares on or after the effectiveness of the registration statement initially filed on May 7, 2015, the registration statement on Form S-3 initially filed on
May 7, 2015.” 
 3. Section 14 is amended by deleting the words “1251 Avenue of the Americas, 41st Floor, New York, NY 10020, Attention: President, Telephone: (212) 542-5870, Email: dcolucci@mlvco.com and replacing them with “1301 Avenue of the Americas, 43rd Floor, New York, NY 10019, Attention: General Counsel, Telephone: (212) 542-5880, Email: mlvlegal@mlvco.com.” 

4. Schedule 1 is amended by adding the words “as amended on May 7, 2015” immediately after “February 27,
2015.” 
 5. Schedule 3 is amended by deleting in its entirety the words “Dean Colucci
dcolucci@mlvco.com” 

 6. The first sentence of the Form of Representation Date Certificate attached as
Exhibit 7(l) is amended to add “as amended on May 7, 2015” after “February 27, 2015.” 
 B. No Other
Amendments. Except as set forth in Part A above, all the terms and provisions of the Sales Agreement shall continue in full force and effect. 

C. Counterparts. This Amendment may be executed in two or more counterparts, each of which shall be deemed an original, but all of
which together shall constitute one and the same instrument. Delivery of an executed Amendment by one party to the other may be made by facsimile or email transmission. 

D. Governing Law. This Amendment shall be governed by, and construed in accordance with, the internal laws of the State of New York
without regard to the principles of conflicts of laws. 
 [Remainder of page intentionally left blank.] 

  
 2 

 If the foregoing correctly sets forth the understanding between us, please so indicate in the
space provided below for that purpose. 
  

			
	 Very truly yours,
  

Aveo Pharmaceuticals, Inc.

		
	By:		/s/ Michael Bailey
			 Name: Michael Bailey
 Title: President and
CEO

  
  

			
	 ACCEPTED as of the date first above written:
  

MLV & Co. LLC

		
	By:		/s/ Patrice McNicoll
			 Name: Patrice McNicoll
 Title: Chief
Executive Officer

  
 3Exhibit 4.1

 

THE BANK OF NEW YORK MELLON

NEW YORK’S FIRST BANK-FOUNDED 1784 BY ALEXANDER HAMILTON

 

 

2 HANSON PLACE, 12TH FLOOR, BROOKLYN,
N.Y. 11217

 

 

 

May 7, 2015

 

Hennion & Walsh, Inc.

2001 Route 46, Waterview Plaza

Parsippany, New Jersey 07054

 

Smart Trust, Enhanced Value II Trust, Series
12

 

Dear Sirs:

The Bank of New York
Mellon is acting as trustee for Smart Trust, Enhanced Value II Trust, Series 12 set forth above (the “Trust”).
We enclosed a list of the Securities to be deposited in the Trust on the date hereof. The prices indicated therein reflect our
evaluation of such Securities as of close of business on May 6, 2015, in accordance with the valuation method set forth in the
Trust Indenture and Agreement. We consent to the reference to The Bank of New York Mellon as the party performing the evaluations
of the Trust Securities in the Registration Statement (No. 333-202720) filed with the Securities and Exchange Commission with respect
to the registration of the sale of the Trust Units and to the filing of this consent as an exhibit thereto.

 

 

Very truly yours,

 

/s/ GERARDO CIPRIANO                             

Gerardo Cipriano

Vice PresidentExhibit 4.3

 

Consent of Independent Registered
Public Accounting Firm

We consent to the
reference made to our firm under the caption “Independent Registered Public Accounting Firm” in Part B of the Prospectus
and to the use of our report dated May 7, 2015, in this Registration Statement (Form S-6 No. 333-202720) of Smart Trust, Enhanced
Value II Trust, Series 12.

 

/s/ Grant
Thornton LLP

 

Chicago, Illinois

May 7, 2015GXP 03/31/2015-EX10.1

Ex. 10.1

PERFORMANCE SHARE AGREEMENT

THIS PERFORMANCE SHARE AGREEMENT (the “Award Agreement”) is entered into as of March 2, 2015 (the “Grant Date”), by and between Great Plains Energy Incorporated (the “Company”) and _________ (the “Grantee”).  All capitalized terms in this Award Agreement that are not defined herein shall have the meanings ascribed to such terms in the Company’s Amended Long-Term Incentive Plan, effective as of January 1, 2014 (the “Plan”).

WHEREAS, the Grantee is employed by the Company or one of its subsidiaries in a key capacity, and the Company desires to (i) encourage the Grantee to acquire a proprietary and vested long-term interest in the growth and performance of the Company, (ii) provide the Grantee with an incentive to enhance the value of the Company for the benefit of its customers and shareholders, and (iii) encourage the Grantee to remain in the employ of the Company as one of the key employees upon whom the Company’s success depends; and

WHEREAS, the Company wishes to grant to Grantee, and Grantee wishes to accept, an Award of Performance Shares as approved on February 10, 2015, pursuant to the terms and conditions of the Plan and this Award Agreement.

NOW, THEREFORE, in consideration of the covenants and agreements herein contained, the parties hereto agree as follows:

		
	1.
	Performance Share Award.  The Company hereby grants to the Grantee an Award of ___  Performance Shares for the three-year period ending December 31, 2017 (the “Award Period”). The Performance Shares may be earned based upon the Company’s performance as set forth in Appendix A.

		
	2.
	Terms and Conditions.  The Award of Performance Shares is subject to the following terms and conditions:

		
	a.
	The Performance Shares shall be credited with a hypothetical cash credit equal to the per share dividend paid on the Company’s common stock as of the date of any such dividend paid during the entire Award Period, and not just the period of time after the Grant Date.  At the end of the Award Period and provided the Performance Shares have not been forfeited in accordance with the terms of the Plan, the Grantee shall be paid, in a lump sum cash payment, the aggregate amount of such hypothetical dividend equivalents.  

    
		
	b.
	No Company common stock will be delivered under this or any other outstanding awards of performance shares until either (i) the Grantee (or the Grantee’s successor) has paid to the Company the amount that must be withheld under federal, state and local income and employment tax laws or (ii) the Grantee and the Company have made satisfactory provision for the payment of such taxes. The Company shall first withhold such taxes from the cash portion, if any, of the Award. To the extent the cash portion of the Award is insufficient to cover the full withholding amount, unless otherwise elected by the Grantee or not permitted by the Compensation and Development Committee (which may 

disallow share withholding at any time), the remaining tax withholding will be accomplished through the Company’s withholding of a number of shares having a Fair Market Value equal to the Company’s applicable tax withholding obligation.  

As an alternative to the Company retaining that number of shares (valued at their Fair Market Value) necessary to satisfy the Company’s applicable tax withholding obligations, the Grantee or the Grantee’s successor may elect to make a cash payment to the Company in an amount equal to the Company’s applicable tax withholding obligation.  If the Grantee desires to satisfy his or her remaining tax withholding liability through a cash payment to the Company, the Grantee must make an election on the form provided by the Corporate Secretary of the Company and return it to the designated person set forth on the form no later than the date specified thereon (which shall in no event be more than thirty (30) days from the Grant Date of the Award).  Following satisfaction of all tax withholding liabilities, the Company will release or deliver, as applicable, the shares owed to the Grantee.

		
	c.
	The Company will, to the full extent permitted by law, have the discretion based on the particular facts and circumstances to require that the Grantee reimburse the Company for all or any portion of any awards if and to the extent the awards reflected the achievement of financial results that were subsequently the subject of a restatement, or the achievement of other objectives that were subsequently found to be inaccurately measured, and a lower award would have occurred based upon the restated financial results or inaccurately measured objectives.  The Company may, in its discretion, (i) seek repayment from the Grantee; (ii) reduce the amount that would otherwise be payable to the Grantee  under current or future awards; (iii) withhold future equity grants or salary increases; (iv) pursue other available legal remedies; or (v) any combination of these actions. The Company may take such actions against any Grantee, whether or not such Grantee engaged in any misconduct or was otherwise at fault with respect to such restatement or inaccurate measurement. The Company will, however, not seek reimbursement with respect to any awards paid more than three years prior to such restatement or the discovery of inaccurate measurements, as applicable.

		
	d.
	Except as otherwise specifically provided herein, the Award of Performance Shares is subject to and governed by the applicable terms and conditions of the Plan, which are incorporated herein by reference. 

		
	3.
	Amendment.  This Agreement may be amended only in the manner provided by the Company evidencing both parties’ agreement to the amendment.  This Agreement may also be amended, without prior notice to Grantee and without Grantee’s consent prior to any Change in Control by the Committee if the Committee in good faith determines the amendment does not materially adversely affect any of Grantee’s rights under this Agreement.

		
	4.
	Entire Agreement.  This Agreement contains the entire agreement between the parties with respect to the subject matter hereof, and supersedes all prior agreements or understandings between the parties relating thereto. 

2

	
		
	GREAT PLAINS ENERGY INCORPORATED
	 

	 
	 

	By: _____________________________________
	________________________________________

	       Terry Bassham
	_______________

	 
	Grantee

	 
	 

	 
	March _____, 2015

3

APPENDIX A

2015 - 2017 Performance Criteria

	
						
	Objectives
	Weighting
(Percent)
	Threshold
(50%)
	Target
(100%)
	Stretch
(150%)
	Superior
(200%)

	Total Shareholder Return (TSR) versus EEI Index1
(Interpolation applicable)
	100%
	30th 
Percentile
	50th
Percentile
	70th
 Percentile
	90th
 Percentile

______________________________________________________ 
1  TSR is compared to an industry peer group of the Edison Electric Institute (EEI) index of electric companies during the three-year measurement period.  At the end of the three-year measurement period, the Company will assess its total shareholder return compared to the EEI index. Depending on the Company’s percentile rank, the executive will receive a percentage of the performance share grants.  

Cap on Negative TSR:  If actual TSR performance is negative, payout would be capped at Target (100%).

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