Document:

Exhibit 10.1

 

FLUIDIGM CORPORATION

CHANGE OF CONTROL AND SEVERANCE PLAN

AND SUMMARY PLAN DESCRIPTION

 

1.          
Introduction. The purpose of this Fluidigm Corporation Change of Control and Severance Plan (the “Plan”)
is to provide assurances of specified benefits to certain employees of the Company whose employment is subject to being involuntarily
terminated other than for death, Disability, or Cause or voluntarily terminated for Good Reason under the circumstances described
in the Plan. This Plan is an “employee welfare benefit plan,” as defined in Section 3(1) of ERISA. This document
constitutes both the written instrument under which the Plan is maintained and the required summary plan description for the Plan.

 

2.          
Important Terms. The following words and phrases, when the initial letter of the term is capitalized, will have the meanings
set forth in this Section ‎2, unless a different meaning is plainly required by the context:

 

2.1.      “Administrator”
means the Company, acting through the Compensation Committee or another duly constituted committee of members of the Board, or
any person to whom the Administrator has delegated any authority or responsibility with respect to the Plan pursuant to Section ‎12,
but only to the extent of such delegation.

 

2.2.      “Board”
means the Board of Directors of the Company.

 

2.3.      “Cause”
means (i) an act of dishonesty made by Participant in connection with Participant’s responsibilities as an employee,
(ii) Participant’s conviction of, or plea of nolo contendere to, a felony or any crime involving fraud, embezzlement
or any other act of moral turpitude, (iii) Participant’s gross misconduct, (iv) Participant’s unauthorized
use or disclosure of any proprietary information or trade secrets of the Company or any other party to whom Participant owes an
obligation of nondisclosure as a result of Participant’s relationship with the Company; (v) Participant’s willful
breach of any obligations under any written agreement or covenant with the Company; or (vi) Participant’s continued
failure to perform his employment duties after Participant has received a written demand of performance from the Company which
specifically sets forth the factual basis for the Company’s belief that Participant has not substantially performed his duties
and has failed to cure such non-performance to the Company’s satisfaction within 10 business days after receiving such notice.

 

2.4.      “Change
of Control” means:

 

(a)        
any “person” (as such term is used in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934, as amended)
is or becomes the “beneficial owner” (as defined in Rule 13d-3 under said Act), directly or indirectly, of securities
of the Company representing 50% or more of the total voting power represented by the Company’s then outstanding voting securities;
or

 

(b)        
a change in the composition of the Board occurring within a two-year period, as a result of which fewer than a majority of the
directors are Incumbent Directors. “Incumbent Directors” will mean directors who either (A) are directors
of the Company as of the date hereof, or (B) are elected, or nominated for election, to the Board with the affirmative votes
of at least a majority of the Incumbent Directors at the time of such election or nomination (but will not include an individual
whose election or nomination is in connection with an actual or threatened proxy contest relating to the election of directors
to the Company); or

 

     

     

    

(c)        
the date of the consummation of a merger or consolidation of the Company with any other corporation that has been approved by the
stockholders of the Company, other than a merger or consolidation which would result in the voting securities of the Company outstanding
immediately prior thereto continuing to represent (either by remaining outstanding or by being converted into voting securities
of the surviving entity) more than fifty percent (50%) of the total voting power represented by the voting securities of the
Company or such surviving entity outstanding immediately after such merger or consolidation, or the stockholders of the Company
approve a plan of complete liquidation of the Company; or

 

(d)       
the date of the consummation of the sale or disposition by the Company of all or substantially all the Company’s assets.

 

Notwithstanding the preceding, no transaction
will be a Change of Control under this definition unless it is also a “change in control” within the meaning of Treasury
Regulation Section 1.409A-3(i)(5) .

 

2.5.      “Change
of Control Period” means the time period beginning 3 months prior to a Change of Control and ending on the date that
is 12 months following the Change of Control.

 

2.6.      “Code”
means the Internal Revenue Code of 1986, as amended.

 

2.7.      “Company”
means Fluidigm Corporation, and any successor that assumes the obligations of the Company under the Plan, by way of merger, acquisition,
consolidation or other transaction.

 

2.8.      “Disability”
means that Participant has been unable to perform his Company duties as the result of his incapacity due to physical or mental
illness, and such inability, at least twenty-six (26) weeks after its commencement, is determined to be total and permanent
by a physician selected by the Company or its insurers and acceptable to Participant or Participant’s legal representative
(such agreement as to acceptability not to be unreasonably withheld). Termination resulting from Disability may only be effected
after at least 30 days’ written notice by the Company of its intention to terminate Participant’s employment. In the
event that Participant resumes the performance of substantially all of his duties hereunder before the termination of his employment
becomes effective, the notice of intent to terminate will automatically be deemed to have been revoked.

 

2.9.      “Effective
Date” means the date the Plan is adopted by the Compensation Committee of the Board.

 

2.10.   “Exchange Act”
means the U.S. Securities Exchange Act of 1934, as amended.

 

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2.11.   “Equity Awards”
means a Participant’s outstanding stock options, stock appreciation rights, restricted stock, restricted stock units, performance
shares, performance stock units and any other Company equity compensation awards.

 

2.12.   “ERISA” means
the Employee Retirement Income Security Act of 1974, as amended.

 

2.13.   “Good Reason”
has the meaning set forth in the Participant’s Participation Agreement.

 

2.14.   “Involuntary Termination”
means a Non-COC Involuntary Termination or a COC Involuntary Termination, in each case, under the circumstances described in Section 4
or Section 5, as applicable.

 

2.15.   “Participant”
means an employee of the Company or of any parent or subsidiary of the Company who (a) has been designated by the Administrator
to participate in the Plan and (b) has timely and properly executed and delivered a Participation Agreement to the Company.

 

2.16.   “Participation Agreement”
means the individual agreement (as will be provided in separate cover as Appendix A) provided by the Administrator to a
Participant under the Plan, which has been signed and accepted by the Participant.

 

2.17.   “Plan” means
the Fluidigm Corporation Change of Control and Severance Plan, as set forth in this document, and as hereafter amended from time
to time.

 

2.18.   “Section 409A Limit”
means 2 times the lesser of: (i) the Participant’s annualized compensation based upon the annual rate of pay paid to the
Participant during the Participant’s taxable year preceding the Participant’s taxable year of the Participant’s
termination of employment as determined under, and with such adjustments as are set forth in, Treasury Regulation 1.409A-1(b)(9)(iii)(A)(1)
and any Internal Revenue Service guidance issued with respect thereto; or (ii) the maximum amount that may be taken into account
under a qualified plan pursuant to Section 401(a)(17) of the Code for the year in which the Participant’s employment is terminated.

 

2.19.   “Severance Benefits”
means the compensation and other benefits that the Participant will be provided in the circumstances described in Section 4
or Section 5, as applicable.

 

3.          
Eligibility for Severance Benefits. An individual is eligible for Severance Benefits under the Plan, as described in Section 4
or Section ‎5, as applicable, only if he or she experiences an Involuntary Termination.

 

4.          
Involuntary Termination Outside the Change of Control Period. If, outside of the Change of Control Period, the Company (or
any parent or subsidiary of the Company) terminates the Participant’s employment for a reason other than for Cause, the Participant’s
death or Disability (a “Non-COC Involuntary Termination”), subject to the Participant’s compliance with
Section 7, the Participant will receive the following Severance Benefits:

 

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4.1.      Cash Severance
Benefits. Continued payments of cash severance for the period set forth in the Participant’s Participation Agreement;

 

4.2.      Continued
Medical Benefits. If the Participant, and any spouse and/or dependents of the Participant (“Family Members”)
has coverage on the date of the Participant’s Involuntary Termination under a group health plan sponsored by the Company,
the Company will reimburse the Participant the total applicable premium cost for continued group health plan coverage under the
Consolidated Omnibus Budget Reconciliation Act of 1985, as amended (“COBRA”) during the period of time following
the Participant’s employment termination, as set forth in the Participant’s Participation Agreement, provided that
the Participant validly elects and is eligible to continue coverage under COBRA for the Participant and his Family Members; and

 

4.3.      Outplacement
Services. Reasonable outplacement services in accordance with any applicable Company policy in effect as of the Participant’s
Non-COC Involuntary Termination (or if no such policy is in effect, as determined by the Company, in its sole discretion).

 

5.          
Involuntary Termination During the Change of Control Period. If, during the Change of Control Period, (i) a Participant
terminates his or her employment with the Company (or any parent or subsidiary of the Company) for Good Reason, or (ii) the
Company (or any parent or subsidiary of the Company) terminates the Participant’s employment for a reason other than Cause
or the Participant’s death or Disability (a “COC Involuntary Termination”), then, in each case, subject
to the Participant’s compliance with Section 7, the Participant will receive the following Severance Benefits:

 

5.1.      Cash Severance
Benefits. A lump-sum payment of cash severance and/or bonus equal to the amount set forth in the Participant’s Participation
Agreement;

 

5.2.      Equity Award
Vesting Acceleration Benefit. The Participant’s Equity Awards will accelerate and vest to the amount set forth in the
Participant’s Participation Agreement, as applicable; and

 

5.3.      Continued
Medical Benefits. If the Participant, and any Family Members has coverage on the date of the Participant’s Involuntary
Termination under a group health plan sponsored by the Company, the Company will reimburse the Participant the total applicable
premium cost for continued group health plan coverage under the COBRA during the period of time following the Participant’s
employment termination, as set forth in the Participant’s Participation Agreement, provided that the Participant validly
elects and is eligible to continue coverage under COBRA for the Participant and his Family Members.

 

5.4.      Outplacement
Services. Reasonable outplacement services in accordance with any applicable Company policy in effect as of the Participant’s
COC Involuntary Termination (or if no such policy is in effect, as determined by the Company, in its sole discretion); provided,
however, that such outplacement services shall be in no case less than the outplacement services provided under any applicable
Company policy in effect immediately prior to the applicable Change of Control.

 

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6.          
Limitation on Payments. In the event that the severance and other benefits provided for in this Plan or otherwise (“280G
Payments”) payable to a Participant (i) constitute “parachute payments” within the meaning of Section 280G
of the Code, and (ii) but for this Section 6, would be subject to the excise tax imposed by Section 4999 of the Code, then the
280G Payments will be either:

 

(a)        
delivered in full, or

 

(b)        
delivered as to such lesser extent which would result in no portion of such benefits being subject to excise tax under Section
4999 of the Code, whichever of the foregoing amounts, taking into account the applicable federal, state and local income taxes
and the excise tax imposed by Section 4999, results in the receipt by the Participant on an after-tax basis, of the greatest amount
of benefits, notwithstanding that all or some portion of such benefits may be taxable under Section 4999 of the Code. If a reduction
in severance and other benefits constituting “parachute payments” is necessary so that benefits are delivered to a
lesser extent, reduction will occur in the following order: (i) cancellation of awards granted “contingent on a change in
ownership or control” (within the meaning of Code Section 280G); (ii) a pro rata reduction of (A) cash payments that are
subject to Section 409A as deferred compensation and (B) cash payments not subject to Section 409A of the Code; (iii) a pro rata
reduction of (A) employee benefits that are subject to Section 409A as deferred compensation and (B) employee benefits not subject
to Section 409A; and (iv) a pro rata cancellation of (A) accelerated vesting equity awards that are subject to Section 409A as
deferred compensation and (B) equity awards not subject to Section 409A. In the event that acceleration of vesting of equity awards
is to be cancelled, such acceleration of vesting will be cancelled in the reverse order of the date of grant of the Participant’s
equity awards. Notwithstanding the foregoing, to the extent the Company submits any payment or benefit payable to the Participant
under this Plan or otherwise to the Company’s stockholders for approval in accordance with Treasury Regulation Section 1.280G-1
Q&A 7, the foregoing provisions shall not apply following such submission and such payments and benefits will be treated in
accordance with the results of such vote, except that any reduction in, or waiver of, such payments or benefits required by such
vote will be applied without any application of discretion by the Participant and in the order prescribed by this Section 6.

 

Unless the Participant and the Company otherwise
agree in writing, any determination required under this Section 6 will be made in writing by the Company’s independent public
accountants immediately prior to the Change of Control or such other person or entity to which the parties mutually agree (the
“Firm”), whose determination will be conclusive and binding upon the Participant and the Company. For purposes
of making the calculations required by this Section 6 the Firm may make reasonable assumptions and approximations concerning applicable
taxes and may rely on reasonable, good faith interpretations concerning the application of Sections 280G and 4999 of the Code.
The Participant and the Company will furnish to the Firm such information and documents as the Firm may reasonably request in order
to make a determination under this Section 6. The Company will bear all costs the Firm may incur in connection with any calculations
contemplated by this Section 6.

 

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7.          
Conditions to Receipt of Severance.

 

7.1       
Release Agreement. As a condition to receiving the Severance Benefits under this Plan, each Participant will be required
to sign and not revoke a separation and release of claims agreement in a form reasonably satisfactory to the Company (the “Release”).
In all cases, the Release must become effective and irrevocable no later than the 60th day following the Participant’s Involuntary
Termination (the “Release Deadline Date”). If the Release does not become effective and irrevocable by the Release
Deadline Date, the Participant will forfeit any right to the Severance Benefits. In no event will the Severance Benefits be paid
or provided until the Release becomes effective and irrevocable.

 

7.2       
Other Requirements. A Participant’s receipt of Severance Benefits will be subject to the Participant continuing to
comply with the provisions of this Section ‎7 and the terms of any confidentiality, proprietary information and inventions
agreement and such other appropriate agreement between the Participant and the Company. Severance Benefits under this Plan will
terminate immediately for a Participant if the Participant, at any time, violates any such agreement and/or the provisions of this
Section ‎7.

 

8.          
Timing of Severance Benefits. Provided that the Release becomes effective and irrevocable by the Release Deadline Date and
subject to Section 10, the Severance Benefits will be paid (or in the case of Severance Benefits scheduled to be paid installments,
will commence) on the first Company payroll date following the Release Deadline Date (such payment date, the “Severance
Start Date”), and any severance payments or benefits otherwise payable to the Participant during the period immediately
following the Participant’s termination of employment with the Company through the Severance Start Date will be paid in a
lump sum to the Participant on the Severance Start Date, with any remaining payments to be made as provided in this Plan.

 

9.          
Exclusive Benefit. The benefits provided under this Plan shall be the exclusive benefit for a Participant related to termination
of employment and/or change in control and shall supersede and replace any severance and/or change in control benefits set forth
in any offer letter, employment agreement and/or severance agreement. For the avoidance of doubt, if a Participant was otherwise
eligible to participate in any other Company severance plan (whether or not subject to ERISA), then participation in this Plan
will supersede and replace eligibility in such other plan.

 

10.       
Section 409A.

 

10.1     Notwithstanding anything
to the contrary in this Plan, no severance payments or benefits to be paid or provided to a Participant, if any, under this Plan
that, when considered together with any other severance payments or separation benefits, are considered deferred compensation under
Section 409A of the Code, and the final regulations and any guidance promulgated thereunder (“Section 409A”)
(together, the “Deferred Payments”) will be paid or provided until the Participant has a “separation from
service” within the meaning of Section 409A. Similarly, no severance payable to a Participant, if any, under this Plan
that otherwise would be exempt from Section 409A pursuant to Treasury Regulation Section 1.409A-1(b)(9) will be payable until
the Participant has a “separation from service” within the meaning of Section 409A.

 

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10.2     It is intended that
none of the severance payments or benefits under this Plan will constitute Deferred Payments but rather will be exempt from Section
409A as a payment that would fall within the “short-term deferral period” as described in Section ‎10.3 below or
resulting from an involuntary separation from service as described in Section ‎10.4 below. In no event will a Participant have
discretion to determine the taxable year of payment of any Deferred Payment.

 

10.3     Notwithstanding anything
to the contrary in this Plan, if a Participant is a “specified employee” within the meaning of Section 409A at the
time of the Participant’s separation from service (other than due to death), then the Deferred Payments, if any, that are
payable within the first 6 months following the Participant’s separation from service, will become payable on the date 6
months and 1 day following the date of the Participant’s separation from service. All subsequent Deferred Payments, if any,
will be payable in accordance with the payment schedule applicable to each payment or benefit. Notwithstanding anything herein
to the contrary, in the event of the Participant’s death following the Participant’s separation from service, but before
the 6 month anniversary of the separation from service, then any payments delayed in accordance with this paragraph will be payable
in a lump sum as soon as administratively practicable after the date of the Participant’s death and all other Deferred Payments
will be payable in accordance with the payment schedule applicable to each payment or benefit. Each payment and benefit payable
under this Plan is intended to constitute a separate payment under Section 1.409A-2(b)(2) of the Treasury Regulations.

 

10.4     Any amount paid under
this Plan that satisfies the requirements of the “short-term deferral” rule set forth in Section 1.409A-1(b)(4) of
the Treasury Regulations will not constitute Deferred Payments for purposes of Section ‎10 above.

 

10.5     Any amount paid under
this Plan that qualifies as a payment made as a result of an involuntary separation from service pursuant to Section 1.409A-1(b)(9)(iii)
of the Treasury Regulations that does not exceed the Section 409A Limit will not constitute Deferred Payments for purposes of Section
‎10 above.

 

10.6     The foregoing provisions
are intended to comply with or be exempt from the requirements of Section 409A so that none of the payments and benefits to be
provided under the Plan will be subject to the additional tax imposed under Section 409A, and any ambiguities herein will be interpreted
to so comply or be exempt. Notwithstanding anything to the contrary in the Plan, including but not limited to Sections ‎12
and 15, the Company reserves the right to amend the Plan as it deems necessary or advisable, in its sole discretion and without
the consent of the Participants, to comply with Section 409A or to avoid income recognition under Section 409A prior
to the actual payment of benefits under the Plan or imposition of any additional tax. In no event will the Company reimburse a
Participant for any taxes that may be imposed on the Participant as result of Section 409A.

 

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11.       
Withholdings. The Company will withhold from any payments or benefits under the Plan all applicable U.S. federal, state,
local and non-U.S. taxes required to be withheld and any other required payroll deductions.

 

12.       
Administration. The Company is the administrator of the Plan (within the meaning of section 3(16)(A) of ERISA). The Plan
will be administered and interpreted by the Administrator (in its sole discretion). The Administrator is the “named fiduciary”
of the Plan for purposes of ERISA and will be subject to the fiduciary standards of ERISA when acting in such capacity. Any decision
made or other action taken by the Administrator with respect to the Plan, and any interpretation by the Administrator of any term
or condition of the Plan, or any related document, will be conclusive and binding on all persons and be given the maximum possible
deference allowed by law. In accordance with Section 2.1, the Administrator (a) may, in its sole discretion and on such
terms and conditions as it may provide, delegate in writing to one or more officers of the Company all or any portion of its authority
or responsibility with respect to the Plan, and (b) has the authority to act for the Company (in a non-fiduciary capacity) as to
any matter pertaining to the Plan; provided, however, that any Plan amendment or termination or any other action that reasonably
could be expected to increase materially the cost of the Plan must be approved by the Board.

 

13.       
Eligibility to Participate. To the extent that the Administrator has delegated administrative authority or responsibility
to one or more officers of the Company in accordance with Sections ‎2.1 and ‎12, each such officer will not be excluded
from participating in the Plan if otherwise eligible, but he or she is not entitled to act upon or make determinations regarding
any matters pertaining specifically to his or her own benefit or eligibility under the Plan. The Administrator will act upon and
make determinations regarding any matters pertaining specifically to the benefit or eligibility of each such officer under the
Plan.

 

14.       
Term. This Plan will have a term of three years commencing on the Effective Date (the “Term”). If a Change
of Control occurs, the Term will extend automatically through the date that is 12 months following the effective date of the Change
of Control. If the Participant becomes entitled to benefits during the term of this Plan, the Plan will not terminate with respect
to such Participant until all of the obligations of the Company and such Participant with respect to this Plan have been satisfied.

 

15.       
Amendment or Termination. The Company, by action of the Administrator, reserves the right to amend or terminate the Plan
at any time, without advance notice to any Participant and without regard to the effect of the amendment or termination on any
Participant or on any other individual. Any amendment or termination of the Plan will be in writing. In addition, notwithstanding
the preceding, during the Term, the Company may not, without a Participant’s written consent, amend or terminate the Plan
in any way, nor take any other action, that (i) prevents that Participant from becoming eligible for the Severance Benefits
under the Plan, or (ii) reduces or alters to the detriment of the Participant the Severance Benefits payable, or potentially
payable, to a Participant under the Plan (including, without limitation, imposing additional conditions). Any action of the Company
in amending or terminating the Plan will be taken in a non-fiduciary capacity.

 

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16.       
Claims and Appeals.

 

(a)        
Claims Procedure. Any employee or other person who believes he or she is entitled to any payment under the Plan may submit
a claim in writing to the Administrator within 90 days of the earlier of (i) the date the claimant learned the amount of his
or her benefits under the Plan or (ii) the date the claimant learned that he or she will not be entitled to any benefits under
the Plan. If the claim is denied (in full or in part), the claimant will be provided a written notice explaining the specific reasons
for the denial and referring to the provisions of the Plan on which the denial is based. The notice also will describe any additional
information needed to support the claim and the Plan’s procedures for appealing the denial. The denial notice will be provided
within 90 days after the claim is received. If special circumstances require an extension of time (up to 90 days), written notice
of the extension will be given within the initial 90 day period. This notice of extension will indicate the special circumstances
requiring the extension of time and the date by which the Administrator expects to render its decision on the claim.

 

(b)        
Appeal Procedure. If the claimant’s claim is denied, the claimant (or his or her authorized representative) may apply
in writing to the Administrator for a review of the decision denying the claim. Review must be requested within 60 days following
the date the claimant received the written notice of their claim denial or else the claimant loses the right to review. The claimant
(or representative) then has the right to review and obtain copies of all documents and other information relevant to the claim,
upon request and at no charge, and to submit issues and comments in writing. The Administrator will provide written notice of its
decision on review within 60 days after it receives a review request. If additional time (up to 60 days) is needed to review the
request, the claimant (or representative) will be given written notice of the reason for the delay. This notice of extension will
indicate the special circumstances requiring the extension of time and the date by which the Administrator expects to render its
decision. If the claim is denied (in full or in part), the claimant will be provided a written notice explaining the specific reasons
for the denial and referring to the provisions of the Plan on which the denial is based. The notice also will include a statement
that the claimant will be provided, upon request and free of charge, reasonable access to, and copies of, all documents and other
information relevant to the claim and a statement regarding the claimant’s right to bring an action under Section 502(a)
of ERISA.

 

17.       
Attorneys’ Fees. The parties shall each bear their own expenses, legal fees and other fees incurred in connection
with this Plan.

 

18.       
Source of Payments. All payments under the Plan will be paid from the general funds of the Company; no separate fund will
be established under the Plan, and the Plan will have no assets. No right of any person to receive any payment under the Plan will
be any greater than the right of any other general unsecured creditor of the Company.

 

19.       
Inalienability. In no event may any current or former employee of the Company or any of its subsidiaries or affiliates sell,
transfer, anticipate, assign or otherwise dispose of any right or interest under the Plan. At no time will any such right or interest
be subject to the claims of creditors nor liable to attachment, execution or other legal process.

 

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20.       
No Enlargement of Employment Rights. Neither the establishment or maintenance or amendment of the Plan, nor the making of
any benefit payment hereunder, will be construed to confer upon any individual any right to continue to be an employee of the Company.
The Company expressly reserves the right to discharge any of its employees at any time, with or without cause. However, as described
in the Plan, a Participant may be entitled to benefits under the Plan depending upon the circumstances of his or her termination
of employment.

 

21.       
Successors. Any successor to the Company of all or substantially all of the Company’s business and/or assets (whether
direct or indirect and whether by purchase, merger, consolidation, liquidation or other transaction) will assume the obligations
under the Plan and agree expressly to perform the obligations under the Plan in the same manner and to the same extent as the Company
would be required to perform such obligations in the absence of a succession. For all purposes under the Plan, the term “Company”
will include any successor to the Company’s business and/or assets which become bound by the terms of the Plan by operation
of law, or otherwise.

 

22.       
Applicable Law. The provisions of the Plan will be construed, administered and enforced in accordance with ERISA and, to
the extent applicable, the internal substantive laws of the state of California (but not its conflict of laws provisions).

 

23.       
Severability. If any provision of the Plan is held invalid or unenforceable, its invalidity or unenforceability will not
affect any other provision of the Plan, and the Plan will be construed and enforced as if such provision had not been included.

 

24.       
Headings. Headings in this Plan document are for purposes of reference only and will not limit or otherwise affect the meaning
hereof.

 

25.       
Indemnification. The Company hereby agrees to indemnify and hold harmless the officers and employees of the Company, and
the members of its Board, from all losses, claims, costs or other liabilities arising from their acts or omissions in connection
with the administration, amendment or termination of the Plan, to the maximum extent permitted by applicable law. This indemnity
will cover all such liabilities, including judgments, settlements and costs of defense. The Company will provide this indemnity
from its own funds to the extent that insurance does not cover such liabilities. This indemnity is in addition to and not in lieu
of any other indemnity provided to such person by the Company.

 

26.       
Additional Information.

 

	Plan Name:	 	Fluidigm Corporation Change of Control and Severance Plan
	 	 	 
	Plan Sponsor:	 	Fluidigm Corporation
	 	 	c/o General Counsel
	 	 	7000 Shoreline Court, Suite 100
	 	 	South San Francisco, CA 94080

 

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	Identification Numbers:	 	EIN: 77-0513190
	 	 	PLAN: 502
	 	 	 
	Plan Year:	 	Company’s fiscal year
	 	 	 
	Plan Administrator:	 	Fluidigm Corporation
	 	 	Attention: Administrator of the Fluidigm
	 	 	Corporation Change of Control and Severance Plan
	 	 	7000 Shoreline Court, Suite 100
	 	 	South San Francisco, CA 94080
	 	 	650-266-6000
	 	 	 
	Agent for Service of	 	 
	Legal Process:	 	Fluidigm Corporation
	 	 	Attention: General Counsel
	 	 	Change of Control and Severance Plan
	 	 	7000 Shoreline Court, Suite 100
	 	 	South San Francisco, CA 94080
	 	 	650-266-6000
	 	 	 
	 	 	Service of process also may be made upon the Administrator.
	 	 	 
	Type of Plan	 	Severance Plan/Employee Welfare Benefit Plan
	 	 	 
	Plan Costs	 	The cost of the Plan is paid by the Employer.

 

27.       
Statement of ERISA Rights.

 

As a Participant under the Plan, you have certain
rights and protections under ERISA:

 

(a)        
You may examine (without charge) all Plan documents, including any amendments and copies of all documents filed with the U.S. Department
of Labor. These documents are available for your review in the Company’s Human Resources Department.

 

(b)        
You may obtain copies of all Plan documents and other Plan information upon written request to the Administrator. A reasonable
charge may be made for such copies.

 

In addition to creating rights for Participants,
ERISA imposes duties upon the people who are responsible for the operation of the Plan. The people who operate the Plan (called
“fiduciaries”) have a duty to do so prudently and in the interests of you and the other Participants. No one, including
the Company or any other person, may fire you or otherwise discriminate against you in any way to prevent you from obtaining a
benefit under the Plan or exercising your rights under ERISA. If your claim for payments or benefits under the Plan is denied,
in whole or in part, you must receive a written explanation of the reason for the denial. You have the right to have the denial
of your claim reviewed. (The claim review procedure is explained in Section ‎16 above.)

 

    	 	11	 

     

    

Under ERISA, there are steps you can take to
enforce the above rights. For example, if you request materials and do not receive them within 30 days, you may file suit in a
federal court. In such a case, the court may require the Administrator to provide the materials and to pay you up to $110 a day
until you receive the materials, unless the materials were not sent due to reasons beyond the control of the Administrator. If
you have a claim which is denied or ignored, in whole or in part, you may file suit in a federal court. If it should happen that
you are discriminated against for asserting your rights, you may seek assistance from the U.S. Department of Labor, or you may
file suit in a federal court.

 

In any case, the court will decide who will
pay court costs and legal fees. If you are successful, the court may order the person you have sued to pay these costs and fees.
If you lose, the court may order you to pay these costs and fees, for example, if it finds that your claim is frivolous.

 

If you have any questions regarding the Plan,
please contact the Administrator. If you have any questions about this statement or about your rights under ERISA, you may contact
the nearest area office of the Employee Benefits Security Administration (formerly the Pension and Welfare Benefits Administration),
U.S. Department of Labor, listed in your telephone directory, or the Division of Technical Assistance and Inquiries, Employee Benefits
Security Administration, U.S. Department of Labor, 200 Constitution Avenue, N.W. Washington, D.C. 20210. You also may obtain certain
publications about your rights and responsibilities under ERISA by calling the publications hotline of the Employee Benefits Security
Administration.

 

 

 

 

 

 

 

 

 

 

 

 

 

    	 	12	 

     

    

Sample

 

Appendix A

 

Fluidigm Corporation Change of Control and Severance
Plan

Participation Agreement

 

Fluidigm Corporation (the “Company”)
is pleased to inform you, Chris Linthwaite, that you have been selected to participate in the Company’s Change of Control
and Severance Plan (the “Plan”) as a Participant.

 

A copy of the Plan was delivered to you with this
Participation Agreement. Your participation in the Plan is subject to all of the terms and conditions of the Plan. The capitalized
terms used but not defined herein will have the meanings ascribed to them in the Plan.

 

In order to actually become a participant in the
Plan, you must complete and sign this Participation Agreement.

 

Definition of “Good Reason”

 

“Good Reason” means the occurrence
of one or more of the following events effected without your prior consent, provided you terminate your employment with the Company
within one (1) year following the initial existence of the “Good Reason” condition (discussed below): (i) the
assignment to you of any duties or the reduction of your then-current duties, either of which results in a material diminution
in your then-current position or responsibilities with the Company; (ii) a material reduction by the Company in your then-current
base salary; (iii) a material change in the geographic location at which you must perform services (for purposes of this Participation
Agreement, your relocation to a facility or a location less than 25 miles from your then-present location shall not be considered
a material change in geographic location); or (iv) any material breach by the Company of any material provision of this Participation
Agreement. You will not resign for Good Reason without first providing the Company with written notice of the acts or omissions
constituting the grounds for “Good Reason” within 90 days of the initial existence of the grounds for “Good
Reason” and a reasonable cure period of not less than 30 days following the date of such notice.

 

Non-COC Involuntary Termination

 

If, outside of the Change of Control Period, you
incur a Non-COC Involuntary Termination, then subject to the terms and conditions of the Plan, you will receive:

 

1.          
Cash Severance Benefits. Continued payments of [___]% of your base salary in effect as of the date of your Non-COC Involuntary
Termination paid in equal installments over a period of [___] months following your termination date.

 

     

     

    

2.          
Continued Medical Benefits. Your reimbursement of continued health coverage under COBRA will be provided for a period of
12 months following your termination of employment.

 

3.          
Outplacement Services. Outplacement services as described in Section 4.3 of the Plan.

 

COC Involuntary Termination

 

If, during the Change of Control Period, you incur
a COC Involuntary Termination, then subject to the terms and conditions of the Plan, you will receive:

 

1.          
Cash Severance Benefits. A lump-sum payment equal to [____]% of the sum of (x) your annual base salary (as in effect immediately
prior to the Change of Control or your COC Involuntary Termination, whichever is greater), plus (y) the greater of (A) your annual
target bonus (as in effect immediately prior to the Change of Control or your COC Involuntary Termination, whichever is greater)
or (B) the average of the annual bonuses actually paid to you for the 3 fiscal years preceding the year in which your COC Involuntary
Termination occurs. For the avoidance of doubt, if you incurred a termination prior to a Change of Control that qualifies as a
COC Involuntary Termination, then you will be entitled to a lump-sum payment of the amount calculated under the preceding sentence,
less amounts already paid as cash Severance Benefits for a Non-COC Involuntary Termination.

 

2.          
Continued Medical Benefits. Your reimbursement of continued health coverage under COBRA will be provided for a period of
[___] months following your termination of employment.

 

3.          
Equity Award Vesting Acceleration. [___]% of your then-outstanding and unvested Equity Awards will become vested in full.
If, however, an outstanding Equity Award is to vest and/or the amount of the award to vest is to be determined based on the achievement
of performance criteria, then, unless otherwise provided in the applicable Equity Award agreement, the Equity Award will vest as
to 100% of the amount of the Equity Award assuming the performance criteria had been achieved at target levels for the relevant
performance period(s).

 

4.          
Outplacement Services. Outplacement services as described in Section 5.4 of the Plan.

 

In order to receive any Severance Benefits for
which you otherwise become eligible under the Plan, you must sign and deliver to the Company the Release, which must have become
effective and irrevocable within the requisite period set forth in the Plan.

 

     

     

    

By your signature below, you and the Company
agree that your participation in the Plan is governed by this Participation Agreement and the provisions of the Plan. Your signature
below confirms that: (1) you have received a copy of the Change of Control and Severance Plan and Summary Plan Description;
(2) you have carefully read this Participation Agreement and the Change of Control and Severance Plan and Summary Plan Description;
(3) decisions and determinations by the Administrator under the Plan will be final and binding on you and your successors;
and (4) participation in the Plan and this Participation Agreement replaces in its entirety any severance and/or change of control
provisions set forth in any offer letter, employment agreement and/or Equity Award agreement.

 

	FLUIDIGM CORPORATION	 	 	PARTICIPANT	 
	 	 	 	 	 
	 	 	 	 	 
	Signature	 	 	Signature                                                                                                        	 
	 	 	 	 	 
	 	 	 	 	 
	Name	 	 	Date	 
	 	 	 	 	 
	 	 	 	 	 
	Title	 	 	 	 

 

Attachment: Fluidigm Corporation Change of
Control and Severance Plan and Summary Plan Description

 

 

 

[Signature Page to the Participation Agreement]EX-10.1

 Exhibit 10.1 

REGISTRATION RIGHTS AGREEMENT 

This REGISTRATION RIGHTS AGREEMENT, dated as of August 17, 2017 (this “Agreement”), is entered into between
Seaspan Corporation, a corporation organized under the laws of the Republic of the Marshall Islands (the “Company”) and David Sokol (the “Shareholder”). Capitalized terms which are not defined in this
Agreement have the respective meanings ascribed to them in the Employment Agreement (as defined below). 
 RECITALS 

A. The Company and the Shareholder are parties to a Share Subscription Agreement dated July 28, 2017 (the “Subscription
Agreement”) in regard to the subscription and issuance of 1,000,000 Class A common shares of the Company (the “Private Placement Shares”). 

B. Also on July 28, 2017, (i) the Company issued to the Shareholder 1,000,000 fully vested Class A common shares of the Company
in connection with his appointment and service as Chairman of the board of directors of the Company (the “Compensation Shares”) and (ii) Deep Water Holdings, LLC, the Company’s largest shareholder, transferred to
the Shareholder 1,000,000 Class A common shares (the “Transferred Shares” and collectively with the Private Placement Shares and the Compensation Shares, the “Shares”). 

C. Pursuant to the Subscription Agreement and in connection with his appointment as Chairman, the Company agreed to grant to the Shareholder
certain registration rights as set forth below. 
 NOW, THEREFORE, in consideration of the premises and of the representation, warranties,
covenants and agreements set forth herein, the parties agree as follows: 
 ARTICLE 1 

GENERAL 
  

	1.1	Definitions. 

 As used in this Agreement, the following terms shall have the following
respective meanings: 
 “Affiliate” has the meaning specified in Rule 12b-2 under the Exchange Act. 

“Agreement” has the meaning set forth in the Preamble. 

“Business Day” means a business day in the City of New York. 

“Common Shares” means the Class A common shares of the Company, par value $0.01 per share. 

“Company” has the meaning set forth in the Preamble. 

“Demand Notice” has the meaning set forth in Section 2.1(d). 

“Demand Registration” has the meaning set forth in Section 2.1(a). 

  
 -1- 

 “Demand Registration Statement” has the meaning set forth in
Section 2.1(a). 
 “Demanding Holder” has the meaning set forth in Section 2.1(a). 

“Exchange Act” means the Securities Exchange Act of 1934, as amended, or similar federal statute, and the rules and
regulations of the Commission thereunder, all as the same shall be in effect at the time. 
 “Holder” means the
Shareholder and any other holder of Registrable Securities to whom the registration rights conferred by this Agreement have been assigned in compliance with Section 2.9 hereof. 

“Holders’ Counsel” means one counsel for the selling Holders chosen by Holders holding a majority interest in the
Registrable Securities being registered. 
 “Indemnitee” has the meaning set forth in Section 2.8(a). 

“Material Adverse Change” means (a) any general suspension of trading in, or limitation on prices for, securities
on any national securities exchange or in the over-the-counter market in the United States, (b) the declaration of a banking moratorium or any suspension of payments in respect of banks in the United States and (c) any event, change,
circumstance or effect that is or is reasonably likely to be materially adverse to the business, properties, assets, liabilities, condition (financial or otherwise), operations, results of operations or prospects of the Company and its subsidiaries
taken as a whole. 
 “NYSE” means the New York Stock Exchange, Inc. 

“Person” means any individual, corporation, partnership, joint venture, limited liability company, business trust,
joint stock company, trust or unincorporated organization or any government or any agency or political subdivision thereof. 

“Piggyback Registration” has the meaning set forth in Section 2.2(a). 

“Register,” “registered,” and “registration” shall refer to a
registration effected by preparing and (a) filing a registration statement in compliance with the Securities Act and applicable rules and regulations thereunder, and the declaration or ordering of effectiveness of such registration statement or
(b) filing a prospectus and/or prospectus supplement in respect of an appropriate effective registration statement on Form F-3 or S-3. 

“Registrable Securities” means the Shares; provided that the Shares shall cease to be Registrable Securities when
(a) they are sold pursuant to an effective registration statement under the Securities Act, (b) they are sold pursuant to Rule 144, (c) they shall have ceased to be outstanding (d) they have been sold in a private transaction in
which the transferor’s rights under this Agreement are not assigned to the transferee of the Shares or (e) they have been otherwise transferred and new certificates for them not bearing a legend restricting transfer under the Securities
Act shall have been delivered by the Company and such securities may be publicly resold without registration under the Securities Act. No Registrable Securities may be registered under more than one registration statement at any one time. 

  
 -2- 

 “Registration Expenses” means all expenses incurred by the Company in
effecting any registration pursuant to this Agreement, including, without limitation, (a) all registration and filing fees and any other fees and expenses associated with filings required to be made with the SEC or the NYSE (or any other
securities exchange or inter-dealer quotation system on which Common Shares are at such time admitted for trading or otherwise quoted), (b) all printing, duplicating, word processing, messenger, telephone, facsimile and delivery expenses
(including expenses of printing certificates for the Registrable Securities in a form eligible for deposit with The Depository Trust Company and of printing prospectuses), (c) fees and disbursements of counsel for the Company, (d) Blue Sky
fees and expenses, (e) all reasonable fees and disbursements of Holders’ Counsel, (f) all fees and expenses incurred in connection with the listing of the Registrable Securities on any securities exchange or quotation of the
Registrable Securities on any inter-dealer quotation system, (g) expenses of the Company’s independent accountants in connection with any regular or special reviews or audits incident to or required by any such registration, (h) any
reasonable fees and disbursements of underwriters customarily paid by issuers or sellers of securities, (i) all fees and expenses of any special experts or other Persons retained by the Company in connection with any registration and
(j) all of the Company’s internal expenses (including all salaries and expenses of its officers and employees performing legal or accounting duties). 

“Restricted Period” has the meaning set forth in Section 2.10. 

“Scheduled Black-out Period” means the period beginning two (2) weeks preceding the last day of a fiscal quarter
of the Company to and including the second Business Day after the day on which the Company publicly releases its earnings for such fiscal quarter. 

“SC Trading Average” means, as of a given date, the volume-weighted, average Trading Price of the Company’s
Common Shares for the twenty (20) Trading Days immediately preceding such date. 
 “SEC” or
“Commission” means the Securities and Exchange Commission and any successor agency. 
 “Securities
Act” means the Securities Act of 1933, as amended, or similar federal statute, and the rules and regulations of the Commission thereunder, all as the same shall be in effect at the time. 

“Selling Expenses” means all underwriting discounts, selling commissions and stock transfer taxes applicable to the
sale of Registrable Securities. 
 “Employment Agreement” has the meaning ascribed to it in the Recitals. 

“Shareholder” has the meaning set forth in the Preamble. 

“Shares” has the meaning set forth in the Recitals. 

“Shelf Registration Statement” has the meaning set forth in Section 2.1(f). 

“Shelf Suspension” has the meaning set forth in Section 2.1(g). 

  
 -3- 

 “Trading Day” means (a) if the applicable security is listed or
admitted for trading on the NYSE or another national securities exchange, a day on which the NYSE or such other national securities exchange is open for business or (b) if the applicable security is not so listed or admitted for trading, any
day other than a Saturday or Sunday or a day on which banking institutions in the State of New York are authorized or obligated by law or executive order to close. 

ARTICLE 2 
 REGISTRATION

  

	2.1	Demand Registration. 

 (a) Subject to the conditions of this Section 2.1, if at any
time after the earlier of March 31, 2018 and the date the Company files its Annual Report on Form 20-F for the year ending December 31, 2017, the Company shall receive a written request from a Holder or group of Holders that the Company
register under the Securities Act Shares with an aggregate value (based on the SC Trading Average) of at least $1.0 million as of the date of such request (a “Demanding Holder”) then the Company shall, subject to the
limitations of this Section 2.1, effect, as promptly as reasonably practicable, the registration under the Securities Act of all Registrable Securities that the Holder requests to be registered. Any such requested registration shall hereinafter
be referred to as a “Demand Registration” and any such registration statement filed with the SEC shall be referred to as a “Demand Registration Statement.” 

(b) If a demanding Holder so elects, an offering of Registrable Securities pursuant to a Demand Registration shall be in the form of an
underwritten offering. Such demanding Holder shall have the right to select the managing underwriter or underwriters to administer the offering; provided such managing underwriter or underwriters shall be reasonably acceptable to the Company. 

(c) The Company shall not be required to effect a registration pursuant to this Section 2.1: (i) after the Company has effected two
(2) registrations pursuant to this Section 2.1, and each of such registrations has been declared or ordered effective and kept effective by the Company as required by Section 2.4(a) of this Agreement, (ii) with respect to a
registration of Registrable Securities during the period starting with the date thirty (30) days prior to the Company’s good faith estimate of the launch date of, and ending on a date ninety (90) days after the closing date of, a
Company-initiated registered offering of equity securities or securities convertible into or exchangeable for equity securities; provided that the Company is actively employing in good faith all commercially reasonable efforts to launch such
registered offering, (iii) during any Scheduled Black-out Period, (iv) if the Company has notified the Holder that in the good faith judgment of the Company, it would be materially detrimental to the Company or its securityholders for such
registration to be effected at such time, or (v) if the filing or initial effectiveness of a Demand Registration Statement at any time would require the Company to make disclosure of any event that the Board of Directors of the Company
determines would not be in the best interests of the Company and its shareholders due to a pending transaction, investigation or other event, including any public disclosure of material non-public information, where such disclosure would, at that
time, materially adversely affect the Company and its shareholders; provided, further that in the case of clauses (ii), (iv) or (v), the Company shall have 

  
 -4- 

 
the right to defer such filing for a period of not more than ninety (90) days after receipt of the request of the Holder; provided that such right to delay a request shall be exercised by
the Company for not more than two (2) periods in any twelve (12) month period and not more than ninety (90) days in the aggregate in any twelve (12) month period. 

(d) Promptly upon receipt of any request for a Demand Registration pursuant to Section 2.1(a) (but in no event more than five
(5) Business Days thereafter), the Company shall deliver a written notice (a “Demand Notice”) of any such registration request to all other Holders of Registrable Securities, and the Company shall include in such Demand
Registration all Registrable Securities with respect to which the Company has received written requests for inclusion therein within ten (10) Business Days after the date that the Demand Notice has been delivered. All requests made pursuant to
this Section 2.1(d) shall specify the aggregate amount of Registrable Securities to be registered and the intended method of distribution of such securities. 

(e) If the managing underwriter or underwriters of a proposed underwritten offering of the Registrable Securities included in a Demand
Registration advise the Board of Directors of the Company in writing that, in its or their opinion, the number of securities requested to be included in such Demand Registration exceeds the number that can be sold in such offering without being
likely to have a significant adverse effect on the price, timing or distribution of the securities offered or the market for the securities offered, the securities to be included in such Demand Registration shall be: 

(i) first, up to 100% of the Registrable Securities that the demanding Holder proposes (or Holders propose) to include in the
Demand Registration; 
 (ii) second, and only if all the securities referred to in clause (i) have been included, the
number of Registrable Securities that, in the opinion of such managing underwriter or underwriters can be sold without having such adverse effect, with such number to be allocated pro rata among the other Holders that have requested to participate
in such Demand Registration based on the relative number of Registrable Securities then held by each such other Holder (provided that any securities thereby allocated to any such other Holder that exceed such other Holder’s request shall be
reallocated among the remaining requesting Holders in like manner); and 
 (iii) third, and only if all the securities
referred to in clauses (i) and (ii) have been included, the number of securities that the Company proposes to include in such registration that, in the opinion of the managing underwriter or underwriters can be sold without having such
adverse effect. 
 (f) Any registration pursuant to this Section 2.1 may be required by the demanding Holders to be effected by means
of a shelf registration statement filed with the SEC if the Company qualifies to file using either (i) Form F-3 or S-3 or (ii) any successor form or other appropriate form under the Securities Act (a “Shelf Registration
Statement”) relating to any or all of the Registrable Securities in accordance with the methods and distribution set forth in the Shelf Registration Statement and Rule 415 under the Securities Act. The Company shall use its commercially
reasonable efforts to cause any Shelf Registration Statement to remain effective, including by filing extensions of the Shelf Registration Statement, until the termination of the 

  
 -5- 

 
period contemplated in Section 2.6. The Company shall use its reasonable best efforts to keep such Shelf Registration Statement continuously effective under the Securities Act in order to
permit the prospectus forming a part thereof to be usable by Holders until the earlier of (i) the date as of which all Registrable Securities have been sold pursuant to the Shelf Registration Statement or another registration statement filed
under the Securities Act (but in no event prior to the applicable period referred to in Section 4(3) of the Securities Act and Rule 174 thereunder) and (ii) until the termination of the period contemplated in Section 2.6. 

(g) If the continued use of such Shelf Registration Statement at any time would require the Company to make disclosure of any event that the
Board of Directors of the Company determines would not be in the best interests of the Company and its shareholders due to a pending transaction, investigation or other event, including any public disclosure of material non-public information, where
such disclosure would, at that time, materially adversely affect the Company and its shareholders, the Company may, upon giving at least ten (10) days’ prior written notice of such action to the Holders, suspend all Holders’ ability
to use the Shelf Registration Statement (a “Shelf Suspension”); provided that the Company shall not be permitted to exercise a Shelf Suspension for more than two (2) periods in any twelve (12) month period and not
more than ninety (90) days in the aggregate in any twelve (12) month period. In the case of a Shelf Suspension, the Holders agree to suspend use of the applicable prospectus in connection with any sale or purchase of, or offer to sell or
purchase, Registrable Securities, upon receipt of the notice referred to above. The Company shall immediately notify the Holders upon the termination of any Shelf Suspension, amend or supplement the prospectus, if necessary, so it does not contain
any material untrue statement or omission and furnish to the Holders such numbers of copies of the prospectus as so amended or supplemented as the Holders may reasonably request. 

 

	2.2	Piggyback Registration. 

 (a) If the Company at any time proposes to file a registration
statement under the Securities Act with respect to any offering of its securities for its own account or for the account of any other Persons (other than (i) a Demand Registration under Section 2.1, (ii) a registration on Form F-4 or
S-8 or any successor form to such referenced forms or (iii) a registration of securities solely relating to an offering and sale to employees or directors of the Company pursuant to any employee stock plan or other employee benefit plan
arrangement), then, as soon as practicable (but in no event less than thirty (30) days prior to the proposed date of filing of such registration statement), the Company shall give written notice of such proposed filing to all Holders of
Registrable Securities, and such notice shall offer each Holder the opportunity to Register under such registration statement such number of Registrable Securities as each such Holder may request in writing (a “Piggyback
Registration”). Subject to Section 2.2(b), the Company shall include in such registration statement all such Registrable Securities that are requested to be included therein within fifteen (15) days after such notice is
delivered; provided that if at any time after giving written notice of its intention to Register any securities and prior to the effective date of the registration statement filed in connection with such registration, the Company shall determine for
any reason not to Register or to delay registration of such securities, the Company shall give written notice of such determination to each Holder and, thereupon: 

  
 -6- 

 (i) in the case of a determination not to Register, shall be relieved of its
obligation to Register any Registrable Securities in connection with such registration (but not from its obligation to pay the Registration Expenses in connection therewith), without prejudice, however, to the rights of any Holders of Registrable
Securities entitled to request that such registration be effected as a Demand Registration under Section 2.1; and 

(ii) in the case of a determination to delay Registering, in the absence of a request for a Demand Registration, shall be
permitted to delay Registering any Registrable Securities, for the same period as the delay in Registering such other securities. 
 If the
offering pursuant to such registration statement is to be underwritten, then each Holder making a request for a Piggyback Registration pursuant to this Section 2.2(a) must, and the Company shall make such arrangements with the managing
underwriter or underwriters so that each such Holder may, participate in such underwritten offering. If the offering pursuant to such registration statement is to be on any other basis, then each Holder making a request for a Piggyback Registration
pursuant to this Section 2.2(a) must, and the Company shall make such arrangements so that each such Holder may, participate in such offering on such basis. 

Each Holder of Registrable Securities shall be permitted to withdraw all or part of such Holder’s Registrable Securities from a Piggyback
Registration at any time prior to the effectiveness of such registration statement. 
 (b) If the managing underwriter or underwriters of
any proposed underwritten offering of Registrable Securities included in a Piggyback Registration informs the Company and the Holders in writing that, in its or their opinion, the number of securities which such Holders and any other Persons intend
to include in such offering exceeds the number that can be sold in such offering without being likely to have a significant adverse effect on the price, timing or distribution of the securities offered or the market for the securities offered, then
the securities to be included in such registration shall be: 
 (i) first, up to 100% of the securities that the Company or
(subject to Section 2.12) any Person (other than a Holder) exercising a contractual right to demand registration, as the case may be, proposes to sell; 

(ii) second, and only if all the securities referred to in clause (i) have been included, the number of Registrable
Securities that, in the opinion of such managing underwriter or underwriters, can be sold without having such adverse effect, with such number to be allocated pro rata among the Holders that have requested to participate in such registration based
on the relative number of Registrable Securities then held by each such Holder (provided that any securities thereby allocated to a Holder that exceed such Holder’s request shall be reallocated among the remaining requesting Holders in like
manner); and 
 (iii) third, and only if all of the Registrable Securities referred to in clauses (i) and
(ii) have been included in such registration, any other securities eligible for inclusion in such registration. 

  
 -7- 

 (c) No registration of Registrable Securities effected pursuant to a request under this
Section 2.2 shall be deemed to have been effected pursuant to Section 2.1 or shall relieve the Company of its obligations under Section 2.1. 
  

	2.3	Expenses of Registration. 

 Except as specifically provided herein, all Registration
Expenses incurred in connection with any registration, qualification or compliance hereunder shall be borne by the Company. All Selling Expenses incurred in connection with any registrations hereunder, shall be borne by the holders of the securities
so registered pro rata on the basis of the aggregate offering or sale price of the securities so registered. The Company shall not, however, be required to pay for expenses of any registration proceeding begun pursuant to Section 2.1, the
request of which has been subsequently withdrawn by the requesting Holder(s) unless (a) the withdrawal is based upon (i) the occurrence of a Material Adverse Change or (ii) material adverse information concerning the Company that the
Company had not publicly revealed at least forty-eight (48) hours prior to the request or that the Company had not otherwise notified the requesting Holders of at the time of such request or (b) the Holders of a majority of Registrable
Securities, as the case may be, agree to forfeit their right to one requested registration pursuant to Section 2.1, as applicable, in which event such right shall be forfeited by all Holders. 

If the Demanding Holder and/or the Holders are required to pay Registration Expenses, such expenses shall be borne by the Demanding Holder or
the Holders requesting such registration in proportion to the number of Shares for which registration was requested. If the Company is required to pay the Registration Expenses of a withdrawn offering pursuant to clause (a) above, then the
Demanding Holders or the Holders, as the case may be, shall not forfeit their rights pursuant to Section 2.1. 
  

	2.4	Obligations of the Company. 

 Whenever required to effect the registration of any
Registrable Securities, the Company shall, as expeditiously as reasonably practicable: 
 (a) Prepare and file with the SEC not later than
sixty (60) days after the request a registration statement with respect to such Registrable Securities and use all commercially reasonable efforts to cause such registration statement to become effective, or prepare and file with the SEC a
prospectus supplement with respect to such Registrable Securities pursuant to an effective registration statement and, upon the request of the Holders of a majority of the Registrable Securities registered thereunder, keep such registration
statement effective or such prospectus supplement current, for up to one hundred and twenty (120) days other than a registration statement required by the Holder to be effected by means of a Shelf Registration Statement pursuant to
Section 2.1(f) or, if earlier, until the Holder or Holders have completed the distribution related thereto. 
 (b) Prepare and file
with the SEC such amendments and supplements to the applicable registration statement and the prospectus or prospectus supplement used in connection with such registration statement as may be necessary to comply with the provisions of the Securities
Act with respect to the disposition of all securities covered by such registration statement for the period set forth in paragraph (a) above. 

  
 -8- 

 (c) Furnish to the Holders such number of copies of the applicable registration statement and
each such amendment and supplement thereto (including in each case all exhibits) and of a prospectus, including a preliminary prospectus, in conformity with the requirements of the Securities Act, and such other documents as they may reasonably
request in order to facilitate the disposition of Registrable Securities owned by them. 
 (d) Use its commercially reasonable efforts to
register and qualify the securities covered by such registration statement under such other securities or Blue Sky laws of such jurisdictions as shall be reasonably requested by the Holders, to keep such registration or qualification in effect for
so long as such registration statement remains in effect, and to take any other action which may be reasonably necessary to enable such seller to consummate the disposition in such jurisdictions of the securities owned by such Holder; provided that
the Company shall not be required in connection therewith or as a condition thereto to qualify to do business or to file a general consent to service of process in any such states or jurisdictions. 

(e) Enter customary agreements (including if the method of distribution is by means of an underwriting, an underwriting agreement in customary
form with the managing underwriter(s) of such offering) and take such other actions (including participating in and making documents available for the due diligence review of underwriters if the method of distribution is by means of an underwriting)
as are reasonably required in order to facilitate the disposition of such Registrable Securities. Each Holder participating in such underwriting shall also enter into and perform its obligations under such underwriting agreement. 

(f) Notify each Holder at any time when a prospectus relating thereto is required to be delivered under the Securities Act of the happening of
any event as a result of which the applicable prospectus, as then in effect, includes an untrue statement of a material fact or omits to state a material fact required to be stated therein or necessary to make the statements therein not misleading
in light of the circumstances then existing. 
 (g) Use its commercially reasonable efforts to furnish, on the date that such Registrable
Securities are delivered to the underwriters for sale, if such securities are being sold through underwriters, (i) an opinion, dated as of such date, of outside legal counsel representing the Company for the purposes of such registration, in
form and substance as is customarily given to underwriters in an underwritten public offering, addressed to the underwriters and (ii) a letter dated as of such date, from the independent registered public accountants of the Company, in form and
substance as is customarily given by independent registered public accountants to underwriters in an underwritten public offering addressed to the underwriters. 

(h) Give written notice to the Holders: 

(i) when any registration statement filed at the request of the Demanding Holder pursuant to Section 2.1 or any amendment
thereto has been filed with the SEC and when such registration statement or any post-effective amendment thereto has become effective; 

  
 -9- 

 (ii) of any request by the SEC for amendments or supplements to any registration
statement filed at the request of the Demanding Holder pursuant to Section 2.1 or the prospectus included therein or for additional information; 

(iii) of the issuance by the SEC of any stop order suspending the effectiveness of any registration statement filed at the
request of the Demanding Holder pursuant to Section 2.1 or the initiation of any proceedings for that purpose; 
 (iv)
of the receipt by the Company or its legal counsel of any notification with respect to the suspension of the qualification of the Shares for sale in any jurisdiction or the initiation or threatening of any proceeding for such purpose; and 

(v) of the occurrence of any event that requires the Company to make changes in any effective registration statement filed at
the request of the Holder pursuant to Section 2.1 or the prospectus related to the registration statement in order to make the statements therein not misleading (which notice shall be accompanied by an instruction to suspend the use of the
prospectus until the requisite changes have been made). 
 (i) Use its commercially reasonable efforts to prevent the issuance or obtain the
withdrawal of any order suspending the effectiveness of any registration statement referred to in Section 2.4(h)(iii) at the earliest practicable time. 

(j) Upon the occurrence of any event contemplated by Section 2.4(h)(v) above, promptly prepare a post-effective amendment to such
registration statement or a supplement to the related prospectus or file any other required document so that, as thereafter delivered to the Holders, the prospectus will not contain an untrue statement of a material fact or omit to state any
material fact necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. If the Company notifies the Holders in accordance with Section 2.4(h)(v) above to suspend the use of the
prospectus until the requisite changes to the prospectus have been made, then the Holders shall suspend use of such prospectus and use their commercially reasonable efforts to return to the Company all copies of such prospectus (at the
Company’s expense) other than permanent file copies then in such Holder’s possession, and the period of effectiveness of such registration statement provided for above shall be extended by the number of days from and including the date of
the giving of such notice to the date Holders shall have received such amended or supplemented prospectus pursuant to this Section 2.4(j). 

(k) Use commercially reasonable efforts to procure the cooperation of the Company’s transfer agent in settling any offering or sale of
Registrable Securities, including with respect to the transfer of physical stock certificates into book-entry form in accordance with any procedures reasonably requested by the Holders or the underwriters. 

 

	2.5	Suspension of Sales. 

 During any Scheduled Black-out Period or upon receipt of written
notice from the Company that a registration statement, prospectus or prospectus supplement contains or may contain an untrue statement of a material fact or omits to state a material fact required to be stated therein or necessary to make the
statements therein not misleading or that circumstances exist that make inadvisable use of such registration statement, prospectus or prospectus 

  
 -10- 

 
supplement, each Holder of Registrable Securities shall forthwith discontinue disposition of Registrable Securities until termination of such Scheduled Black-Out Period or until the Demanding
Holder and/or Holder has received copies of a supplemented or amended prospectus or prospectus supplement, or until such Holder is advised in writing by the Company that the use of the prospectus and, if applicable, prospectus supplement may be
resumed, and, if so directed by the Company, such Holder shall deliver to the Company (at the Company’s expense) all copies, other than permanent file copies then in such Holder’s possession, of the prospectus and, if applicable,
prospectus supplement covering such Registrable Securities current at the time of receipt of such notice. The total number of days that any such suspension (other than a suspension due to a Scheduled Black-out Period) may be in effect in any
twelve-month period shall not exceed the excess of ninety (90) days over the number of days in such twelve-month period that the Company has delayed effecting a registration in reliance on Section 2.1(c)(v) and the number of days in such
twelve-month period that the Company has suspended a Shelf Registration Statement in reliance on Section 2.1(g). 
  

	2.6	Termination of Registration Rights. 

 The registration rights granted under this Article
2 shall terminate with respect to any Holder upon the occurrence of the last Payment Date pursuant to the Employment Agreement. 
  

	2.7	Delay of Registration; Furnishing Information. 

 (a) Neither the Demanding Holder nor
any Holder shall use any free writing prospectus (as defined in Rule 405 under the Securities Act) in connection with the sale of Registrable Securities without the prior written consent of the Company. 

(b) It shall be a condition precedent to the obligations of the Company to take any action pursuant to Section 2.1 that the selling
Holders shall furnish to the Company such information regarding themselves, the Registrable Securities held by them and the intended method of disposition of such securities as shall be required to effect the registration of their Registrable
Securities. 
  

	2.8	Indemnification. 

 (a) The Company agrees to indemnify each Holder and, if a Holder is a
person other than an individual, such Holder’s officers, directors, employees, agents, representatives and Affiliates, and each person or entity, if any, that controls a Holder within the meaning of the Securities Act (each, an
“Indemnitee”), against any and all losses, claims, damages, actions, liabilities, costs and expenses (including without limitation reasonable fees, expenses and disbursements of attorneys and other professionals), joint or
several, arising out of or based upon any untrue or alleged untrue statement of material fact contained in any registration statement, including any preliminary prospectus or final prospectus contained therein or any amendments or supplements
thereto or contained in any free writing prospectus (as such term is defined in Rule 405 under the Securities Act) prepared by the Company or authorized by it in writing for use by such Holder (or any amendment or supplement thereto); or any
omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading; provided, that

  
 -11- 

 
the Company shall not be liable to such Indemnitee in any such case to the extent that any such loss, claim, damage, liability (or action or proceeding in respect thereof) or expense arises out
of or is based upon (i) an untrue statement or alleged untrue statement or omission or alleged omission made in such registration statement, including any such preliminary prospectus or final prospectus contained therein or any such amendments
or supplements thereto or contained in any free writing prospectus (as such term is defined in Rule 405 under the Securities Act) prepared by the Company or authorized by it in writing for use by such Holder (or any amendment or supplement thereto),
in reliance upon and in conformity with information regarding such Indemnitee or its plan of distribution or ownership interests which was furnished in writing to the Company for use in connection with such registration statement, including any such
preliminary prospectus or final prospectus contained therein or any such amendments or supplements thereto, (ii) offers or sales effected by or on behalf such Indemnitee “by means of” (as defined in Securities Act Rule 159A) a
“free writing prospectus” (as defined in Securities Act Rule 405) that was not authorized in writing by the Company or (iii) the failure of any Indemnitee to deliver or make available to a purchaser of Registrable Securities, a copy
of any registration statement, including any preliminary prospectus or final prospectus contained therein or any amendments or supplements thereto (if the same was required by applicable law to be delivered or made available), provided that the
Company shall have delivered to such Holder such registration statement, including such preliminary prospectus or final prospectus contained therein and any amendments or supplements thereto. 

(b) If the indemnification provided for in Section 2.8(a) is unavailable to an Indemnitee with respect to any losses, claims, damages,
actions, liabilities, costs or expenses referred to therein or is insufficient to hold the Indemnitee harmless as contemplated therein, then the Company, in lieu of indemnifying such Indemnitee, shall contribute to the amount paid or payable by such
Indemnitee as a result of such losses, claims, damages, actions, liabilities, costs or expenses in such proportion as is appropriate to reflect the relative fault of the Indemnitee, on the one hand, and the Company, on the other hand, in connection
with the statements or omissions which resulted in such losses, claims, damages, actions, liabilities, costs or expenses as well as any other relevant equitable considerations. The relative fault of the Company, on the one hand, and of the
Indemnitee, on the other hand, shall be determined by reference to, among other factors, whether the untrue or alleged untrue statement of a material fact or omission to state a material fact relates to information supplied by the Company or by the
Indemnitee and the parties’ relative intent, knowledge, access to information and opportunity to correct or prevent such statement or omission; the Company and each Holder agree that it would not be just and equitable if contribution pursuant
to this Section 2.8(b) were determined by pro rata allocation or by any other method of allocation that does not take account of the equitable considerations referred to in Section 2.8(a). No Indemnitee guilty of fraudulent
misrepresentation (within the meaning of Section 11(f) of the Securities Act) shall be entitled to contribution from the Company if the Company was not guilty of such fraudulent misrepresentation. 

 

	2.9	Assignment of Registration Rights. 

 The rights of the Shareholder or a Holder to
registration of Registrable Securities pursuant to Article 2 of this Agreement may be assigned by the Shareholder or a Holder to a transferee or assignee of Registrable Securities to which (a) there is transferred to such transferee no less
than 500,000 Shares, (b) such transferee is an Affiliate, subsidiary or parent company, 

  
 -12- 

 
family member or family trust or similar entity for the benefit of a party hereto, (c) such transferee is an entity in which the Shareholder owns 25% or more of the equity interests, or
(d) such transferee or transferees are partners of a Holder, who agree to act through a single representative; provided, however, that (i) the transferor shall, within ten (10) days after such transfer, furnish to the Company written
notice of the name and address of such transferee or assignee and the securities with respect to which such registration rights are being assigned and (ii) such transferee acquired such Registrable Securities in a transaction that complied with
the Employment Agreement and shall agree to be subject to all applicable restrictions set forth in the Employment Agreement and this Agreement. 
  

	2.10	“Market Stand-Off” Agreement; Agreement to Furnish Information. 

 The
Shareholder and each Holder hereby agree that the Shareholder and/or Holder shall not sell, transfer, make any short sale of, grant any option for the purchase of, or enter into any hedging or similar transaction with the same economic effect as a
sale with respect to, any Common Shares (or other securities of the Company) held by the Shareholder or Holder (other than those included in the registration) for a period (the “Restricted Period”) specified by the
representatives of the underwriters of Common Shares (or other securities of the Company) not to exceed ten (10) days prior and ninety (90) days following any registered sale by the Company in which the Company gave the Shareholder an
opportunity to participate; provided that all executive officers and directors of the Company enter into similar agreements and only if such Persons remain subject thereto (and are not released from such agreement) for such period. The Demanding
Shareholder and each Holder agree to execute and deliver such other agreements as may be reasonably requested by the Company or the representatives of the underwriters which are consistent with the foregoing or which are necessary to give further
effect thereto. Notwithstanding the foregoing, if (a) during the last seventeen (17) days of the Restricted Period, the Company issues an earnings release or material news or a material event relating to the Company occurs, or
(b) prior to the expiration of the Restricted Period, the Company announces that it will release earnings results during the sixteen-day period beginning on the last day of the Restricted Period, the restrictions imposed by this
Section 2.10 shall continue to apply until the expiration of the eighteen-day period beginning on the issuance of the earnings release or the occurrence of the material news or material event. 

In addition, if requested by the Company or the representative of the underwriters of Common Shares (or other securities of the Company), the
Demanding Holder and each Holder shall provide, within ten (10) days of such request, such information as may be required by the Company or such representative in connection with the completion of any public offering of the Company’s
securities pursuant to a registration statement filed under the Securities Act in which the Demanding Holder or such Holder participates. 
  

	2.11	Rule 144 and Exchange Act Reporting. 

 With a view to making available to the
Shareholders and Holders the benefits of certain rules and regulations of the SEC which may permit the sale of the Registrable Securities that are Common Shares to the public without registration, the Company agrees to use its commercially
reasonable efforts to: 

  
 -13- 

 (a) make and keep public information available, as those terms are understood and defined in Rule
144 under the Securities Act or any similar or analogous rule promulgated under the Securities Act, at all times after the effective date of this Agreement; 

(b) file with the SEC, in a timely manner, all reports and other documents required of the Company under the Exchange Act; and 

(c) so long as any of the Shareholder or a Holder owns any Registrable Securities, furnish to the Shareholder or such Holder forthwith upon
request: a written statement by the Company as to its compliance with the reporting requirements of Rule 144 under the Securities Act, and of the Exchange Act; a copy of the most recent annual or quarterly report of the Company; and such other
reports and documents as the Shareholder or Holder may reasonably request in availing itself of any rule or regulation of the SEC allowing it to sell any such Common Shares without registration. 

 

	2.12	No Inconsistent Agreements: Additional Rights. 

 The Company shall not hereafter enter
into, and is not currently a party to, any agreement with respect to its securities that is inconsistent with the rights granted to the Holders by this Agreement. 

ARTICLE 3 
 MISCELLANEOUS

  

	3.1	Successors and Assigns. 

 Except as otherwise provided herein, the terms and conditions
of this Agreement shall inure to the benefit of and be binding upon the respective successors and assigns of the parties (including transferees of any shares of Registrable Securities to the extent set forth herein). Nothing in this Agreement,
express or implied, is intended to confer upon any party other than the parties hereto or their respective successors and assigns any rights, remedies, obligations or liabilities under or by reason of this Agreement, except as expressly provided in
this Agreement. The term “Shareholder,” as used herein, shall include the entity referenced as the Shareholder in the Preamble to this Agreement and, if such entity shall have transferred the Shares to an Affiliate, such Affiliate. 

 

	3.2	Applicable Law and Submission to Jurisdiction. 

 (a) This Agreement will be governed by,
and construed in accordance with, the laws of the State of New York applicable to contracts made and to be performed within the State of New York. 

(b) The Shareholder and the Holders irrevocably submit to the nonexclusive jurisdiction of any New York State or United States Federal court
sitting in the County of New York, New York over any suit, action or proceeding arising out of or relating to this Agreement or the transactions contemplated thereby. The Shareholder and the Holders irrevocably waive, to the fullest extent permitted
by law, any objection which it may now or hereafter have to the laying of venue of any such suit, action or proceeding brought in such a court and any claim that 

  
 -14- 

 
any such suit, action or proceeding brought in such a court has been brought in an inconvenient forum. EACH PARTY ACKNOWLEDGES AND AGREES THAT ANY CONTROVERSY WHICH MAY ARISE UNDER THIS AGREEMENT
IS LIKELY TO INVOLVE COMPLICATED AND DIFFICULT ISSUES, AND THEREFORE EACH SUCH PARTY HEREBY IRREVOCABLY AND UNCONDITIONALLY WAIVES ANY RIGHT SUCH PARTY MAY HAVE TO A TRIAL BY JURY IN RESPECT OF ANY LITIGATION DIRECTLY OR INDIRECTLY ARISING OUT OF OR
RELATING TO THIS AGREEMENT, OR THE TRANSACTIONS CONTEMPLATED BY THIS AGREEMENT. EACH PARTY CERTIFIES AND ACKNOWLEDGES THAT (I) NO REPRESENTATIVE, AGENT OR ATTORNEY OF ANY OTHER PARTY HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER
PARTY WOULD NOT, IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER, (II) EACH PARTY UNDERSTANDS AND HAS CONSIDERED THE IMPLICATIONS OF THIS WAIVER, (III) EACH PARTY MAKES THIS WAIVER VOLUNTARILY AND (IV) EACH PARTY HAS BEEN INDUCED TO
ENTER INTO THIS AGREEMENT BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION 3.2(B). 
  

	3.3	Counterparts and Facsimile. 

 For the convenience of the parties hereto, this Agreement
may be executed in any number of separate counterparts, each such counterpart being deemed to be an original instrument, and all such counterparts will together constitute the same agreement. Executed signature pages to this Agreement may be
delivered by facsimile and such facsimiles will be deemed as sufficient as if actual signature pages had been delivered. 
  

	3.4	Titles and Subtitles. 

 The titles and subtitles used in this Agreement are used for
convenience only and are not to be considered in construing or interpreting this Agreement. 
  

	3.5	Notices. 

 Except as otherwise provided in this Agreement, all notices, requests,
claims, demands, waivers and other communications hereunder shall be in writing and shall be deemed to have been duly given when delivered by hand or overnight courier service, or when received by facsimile transmission if promptly confirmed, as
follows: 
  

	 	(a)	If to the Shareholder: 

  

	 	

	 	

	 	

  

	 	(b)	If to the Company: 

  

	 	    	Seaspan Corporation 

	 	    	Unit 2, 2nd Floor, Bupa Center 

	 	    	141 Connaught Road West 

	 	    	Hong Kong 

	 	    	Attention: Corporate Secretary 

	 	    	Facsimile: 604-638-2595 

  
 -15- 

	 	    	with a copy (which shall not constitute notice) to: 

  

	 	    	Perkins Coie LLP 

	 	    	1120 NW Couch Street, Tenth Floor 

	 	    	Portland, Oregon 97209 USA 

	 	    	Attention: David Matheson 

	 	    	Facsimile: 503-346-2008 

 or to such other address, facsimile number or telephone as either party may, from
time to time, designate in a written notice given in a like manner. 
  

	3.6	Amendments and Waivers. 

 Any term of this Agreement may be amended and the observance
of any term of this Agreement may be waived (either generally or in a particular instance and either retroactively or prospectively), only with the written consent of the Company and the Holders of a majority of the Registrable Securities then
outstanding. Any amendment or waiver effected in accordance with this paragraph shall be binding upon each Holder of any Registrable Securities then outstanding, each future Holder of all such Registrable Securities and the Company. 

 

	3.7	Severability. 

 If any provision of this Agreement or the application thereof to any
person or circumstance is determined by a court of competent jurisdiction to be invalid, void or unenforceable, the remaining provisions hereof, or the application of such provision to persons or circumstances other than those as to which it has
been held invalid or unenforceable, will remain in full force and effect and shall in no way be affected, impaired or invalidated thereby, so long as the economic or legal substance of the transactions contemplated hereby is not affected in any
manner materially adverse to any party. Upon such determination, the parties shall negotiate in good faith in an effort to agree upon a suitable and equitable substitute provision to effect the original intent of the parties. 

 

	3.8	Aggregation of Securities. 

 All Registrable Securities held or acquired by any
wholly-owned subsidiary or parent of, or any corporation or entity that is controlling, controlled by, or under common control with, Holder shall be aggregated together for the purpose of determining the availability of any rights under this
Agreement. 
  

	3.9	Entire Agreement, Etc. 

 This Agreement constitutes the entire agreement, and supersedes
all other prior agreements, understandings, representations and warranties, both written and oral, between the parties, with respect to the subject matter hereof. 

  
 -16- 

 IN WITNESS WHEREOF, this Agreement has been duly executed and delivered by the duly authorized
officers of the parties hereto as of the date first herein above written. 
  

			
	COMPANY:
	
	SEASPAN CORPORATION
		
	By:	 	/s/ Mark Chu
	Name:	 	Mark Chu
	Title:	 	General Counsel and Secretary
	
	SHAREHOLDER:
	
	 /s/ David Sokol

	 David Sokol

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