Document:

EX-10.2

 

Exhibit 10.2

LCA-VISION, INC.

2001 LONG-TERM STOCK INCENTIVE PLAN

RESTRICTED STOCK AWARD AND AGREEMENT

You have been awarded a restricted stock award under the LCA-Vision Inc. 2001 Long-Term Stock
Incentive Plan (the “Plan”).

GRANT: LCA-Vision Inc., a Delaware corporation (the
“Company”), hereby awards to you (the “Grantee”
named below) restricted shares of the Company’s Common Stock, par value $.001 per share (“Shares”),
subject to the forfeiture provisions and other terms of this Agreement. The Shares will be issued
at no cost to you on the Vesting Date[s] set forth below, provided that you are employed by the
Company or any of its subsidiaries on the [applicable] Vesting Date. Please read this Agreement
carefully and return one copy as requested below. Unless otherwise provided in this Agreement,
capitalized terms have the meanings specified in the Plan.

Grantee:                     No. of Shares:                     Grant Date:                    
Vesting Dates:

VESTING: [All of the Shares will vest (become deliverable) on [date]] or [The Shares will
vest (become deliverable) between the Grant Date and [last vesting date] with [% or number of
shares] vesting on [dates]] or, if earlier, upon a Change of Control of the Company (the “Vesting
Date”); subject, however, to the forfeiture provisions set forth below. If your employment
terminates because of your death or incapacity, all the Shares issuable under this award will vest
on your termination of employment. On [the][each] Vesting Date (or promptly thereafter), the
Company will deliver to you a certificate representing the Shares which have vested on such date.

[NO] RIGHTS AS STOCKHOLDER PRIOR TO VESTING: Prior to [the][any] Vesting Date, you will
have [no] rights as a stockholder of the Company with respect to the Shares to be issued on or
after [the][that] Vesting Date.

[DIVIDEND EQUIVALENT: You will receive [cash] [shares of the Company’s Common Stock] in an
amount equal to the dividends which would have been payable in respect of the Shares if they had
been issued at the time of the Grant.]

FORFEITURE OF SHARES: In the event you cease to be employed by the Company, or by any of
its subsidiaries for any reason (other than as a result of death) prior to [the] [any] Vesting
Date, then all unvested Shares subject to this award will be forfeited as of the date of your
termination of employment and any rights with respect to such forfeited Shares will immediately
cease.

CONFIDENTIALITY: In consideration of your receipt of this award, you agree as
follows:

(a) During your employment with the Company or by any of its subsidiaries, and after
the termination of your employment, for any reason, voluntary or involuntary, you will hold
in a fiduciary capacity for the benefit of the Company all information, knowledge or data relating
to the Company or any of its subsidiaries and their respective businesses which the Company or any
of its subsidiaries consider to be proprietary, trade secret or confidential that you obtain or
have previously obtained during your employment by the Company or any of its subsidiaries and that
is not public knowledge (other than as a result of your violation of this provision) (“Confidential
Information”). You will not directly or indirectly use any Confidential Information for any purpose
not associated with the activities of the Company or any of its subsidiaries, or communicate,
divulge or disseminate Confidential Information to any person or entity not authorized by the
Company or any of its subsidiaries to receive it at any time during or after your employment with
the Company, except with the prior written consent of the Company or as otherwise required by law
or legal process. At any time requested by the Company and immediately upon the termination of
your employment, you shall return all copies of all documents and other materials in any form that
constitute, contain, refer or relate to any Confidential Information.

 

 

(b) You understand and agree that the restrictions set forth above are reasonable and
necessary to protect the legal interests of the Company. You further agree that the Company will
be entitled to seek injunctive relief in the event of any actual or threatened breach of such
restrictions, and you hereby consent to the exercise of personal jurisdiction and venue in a
federal or state court of competent jurisdiction located in Hamilton County, Ohio. You understand
and agree that this Agreement shall be construed and enforced in accordance with the laws of the
state of Delaware applicable to contracts executed and performed therein. If any provision
of this Agreement is determined to be unenforceable by any court, then such provision will be
modified or omitted only to the extent necessary to make the remaining provisions of this Agreement
enforceable.

TAXES: You must pay all applicable U.S. federal, state, local and foreign
taxes resulting from the grant of this award and the issuance of the Shares upon any vesting of
this award. The Company has the right to withhold all applicable taxes due upon the vesting of
this award (by payroll deduction or otherwise) from the proceeds of this award or from future
earnings (including salary, bonus or any other payments.) In advance of [the][each] Vesting Date
you may elect to pay the withholding amounts due by surrendering to the Company a number of the
Shares otherwise deliverable on that Vesting Date that have a fair market value on that Vesting
Date equal to the amount of the payroll withholding taxes due.

CONDITIONS: This award is
governed by and subject to the terms and conditions of the Plan, which contains important
provisions of this award and forms a part of this Agreement. A copy of the Plan is being provided
to you, along with a summary of the Plan. If there is any conflict between any provision of this
Agreement and the Plan, this Agreement will control, unless the provision is not permitted by the
Plan, in which case the provision of the Plan will apply. Your rights and obligations under this
Agreement are also governed by and are subject to applicable U.S. laws and foreign laws.

AGREEMENT: To acknowledge your agreement to the terms and conditions of this award, please
sign and return one copy of this Agreement to                                                            .

	 	 	 	 	 	 	 
	LCA-VISION INC.	 	Complete Grantee Information below:
	 
	 	 	 	 	 	 
	By:
	 	 	 	 	 	 
	 	 	 	 	 
	Name:

	 	 	 	 	 	Home Address (including country):
	 
	 	 	 	 	 	 
	 	 	 	 	 
	Title:
	 	 	 	 	 	 
	 	 	 	 	 
	 
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	Date Agreed To:	 	 	 	 
	 	 	 	 	 	 	 
	 	 	 	 	 	 	U.S. Social Security Number (if applicable)EX-10.3

 

Exhibit 10.3

LCA-VISION INC.

2001 LONG-TERM STOCK INCENTIVE PLAN

DIRECTORS’ NON-QUALIFIED STOCK OPTION AWARD AND AGREEMENT

GRANT: LCA-Vision Inc., a Delaware corporation (“Company”), hereby awards you (the
“Optionee” named below) a Non-Qualified Stock Option (“Option”) under the 2001 Stock Incentive Plan
(the “Plan”) to purchase the number of shares of the Company’s Common Stock, par value $.001 per
share (“Shares”), at the Option Price, set forth below, subject to the following terms and conditions:

Optionee                     No. of Shares:                     Option Date:                     Grant
 Date:

Unless otherwise provided in this Agreement, capitalized terms have the meanings specified in the
Plan.

VESTING: This Option vests between the Grant Date and second anniversary of the Grant Date,
with 50% of the total number of Shares vesting (becoming exercisable) on            [month and day
of award] in each of 20___ and
20___ [the first and second anniversaries of the Grant Date] or, if
earlier, upon a Change of Control of the Company; provided that this Option has been outstanding
for at least six months and you have served continuously as a director of the Company through the
applicable vesting date. If your service as a director terminates because of your death or
incapacity, all Shares covered by this Option will vest on the termination of your service.

TERM: This Option expires 5 years from the Grant Date set forth above. If your service as a
director terminates prior to the expiration date, this Option will be subject to earlier expiration
as specified in the Plan.

EXERCISE: In order to exercise this Option, you must deliver to the Company a written
notice indicating the number of Shares being exercised, accompanied by full payment of the Option
Price. You must exercise this Option for at least 100
shares, unless the total number of vested Shares covered by this Option is less than 100, in which
case you must exercise this Option for all then-vested Options. You may pay the Option Price in
cash or in shares of Common Stock owned
by you for at least six months prior to the exercise. You will have no rights as a stockholder with
respect to the Shares before exercise of this Option and delivery to you of a certificate
evidencing those Shares.

TAXES: You must pay all applicable U.S. federal, state and local taxes resulting from the
issuance of Shares upon exercise of this Option. The Company has the right to withhold all
applicable taxes due upon the exercise of this Option (by deduction from director’s fees or
otherwise) from the proceeds of such exercise or from future director’s fees or any other payments.

CONDITIONS: This Option is governed by and subject to the terms and conditions of the Plan,
which contains important provisions of this award and forms a part of this Agreement. A copy of the
Plan is being provided to you, along with a
summary of the Plan. If there is any conflict between any provision of this Agreement and the Plan,
this Agreement will control, unless the provision is not permitted by the Plan, in which case the
provisions of the Plan will apply. Your
rights and obligations under this Agreement are also governed by and are subject to applicable U.S.
laws.

ACKNOWLEDGEMENT: To acknowledge receipt of this award, please sign and return one copy of
this Agreement to                                                             .

	 	 	 	 	 	 	 
	LCA-VISION INC.	 	Complete Grantee Information below:
	 
	 	 	 	 	 	 
	By:
	 	 	 	 	 	 
	 	 	 	 	 
	Name:

	 	 	 	 	 	Home Address (including country):
	 
	 	 	 	 	 	 
	 	 	 	 	 
	Title:
	 	 	 	 	 	 
	 	 	 	 	 
	 
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	Date Agreed To:	 	 	 	 
	 	 	 	 	 	 	 
	 	 	 	 	 	 	U.S. Social Security Number (if applicable)

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