Document:

Specimen Stock Certificate

 Exhibit 4.1 
 

 

  

NEXX Systems, Inc. 
 THE COMPANY
WILL FURNISH WITHOUT CHARGE TO EACH SHAREHOLDER WHO SO REQUESTS, A SUMMARY OF THE POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OF THE COMPANY AND THE QUALIFICATIONS,
LIMITATIONS OR RESTRICTIONS OF SUCH PREFERENCES AND RIGHTS, AND THE VARIATIONS IN RIGHTS, PREFERENCES AND LIMITATIONS DETERMINED FOR EACH SERIES, WHICH ARE FIXED BY THE CERTIFICATE OF INCORPORATION OF THE COMPANY, AS AMENDED, AND THE RESOLUTIONS OF
THE BOARD OF DIRECTORS OF THE COMPANY, AND THE AUTHORITY OF THE BOARD OF DIRECTORS TO DETERMINE VARIATIONS FOR FUTURE SERIES. SUCH REQUEST MAY BE MADE TO THE OFFICE OF THE SECRETARY OF THE COMPANY OR TO THE TRANSFER AGENT. THE BOARD OF DIRECTORS MAY
REQUIRE THE OWNER OF A LOST OR DESTROYED STOCK CERTIFICATE, OR HIS LEGAL REPRESENTATIVES, TO GIVE THE COMPANY A BOND TO INDEMNIFY IT AND ITS TRANSFER AGENTS AND REGISTRARS AGAINST ANY CLAIM THAT MAY BE MADE AGAINST THEM ON ACCOUNT OF THE ALLEGED
LOSS OR DESTRUCTION OF ANY SUCH CERTIFICATE. 
  

																			
	The following abbreviations, when used in the inscription on the face of this
certificate, shall be construed as though they were written out in full according to applicable laws or regulations:	 	 
	 							 
	 	 	TEN COM	 	- as tenants in common	 		 	UNIF GIFT MIN ACT -	 	  
	 	Custodian	 	  

	 	 		 		 		 		 	(Cust)	 		 		 	(Minor)
	 	 	TEN ENT	 	- as tenants by the entireties	 		 		 	under Uniform Gifts to Minors Act	 	  

	 	 		 		 		 		 		 		 		 	(State)	 	 
	 	 	JT TEN	 	- as joint tenants with right of survivorship	 		 	UNIF TRF MIN ACT -	 	  
	 	Custodian	 	(until age	 	  
	 	)
	 	 		 		 		 		 	(Cust)	 		 		 		 	 
	 	 		 		 		 	         under Uniform 
Transfers to Minors Act                                 

	 	 		 		 		 		 	 (Minor)
	 		 		 	(State)        
	 	 	Additional abbreviations may also be used though not in the above
list.

  

									
		 		 		 		  	PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE
	For value received,	 	  
	 	 hereby sell, assign and transfer unto
  
	 		  	 

 

									
	  

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

	
	      

		
	  
	 	Shares of
	the common stock represented by the within Certificate, and do hereby irrevocably constitute and appoint
		
	  
	 	Attorney to
	transfer the said stock on the books of the within-named Company with full power of substitution in the
premises.

  

													
	Dated:	 	  
	 	20	 	  
	 	 	 	Signature(s) Guaranteed: Medallion Guarantee Stamp
		 		 	 	 	THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (Banks, Stockbrokers, Savings and
Loan Associations and Credit Unions) WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17Ad-15.
	  
 Signature:
	 	  
  
	 	 	 
	  
 Signature:
	 	  
  
	 	 	 
		 		 	 Notice:  The signature to this assignment must correspond with the name as written upon the face of the
certificate, in every particular, without alteration or enlargement, or any change whatever.Form of Amendment to Restricted Stock Unit Agreement

 EXHIBIT 10.1.5.1 

NEXX SYSTEMS, INC. 
 AMENDMENT TO 
 RESTRICTED STOCK UNIT AGREEMENT

 THIS AMENDMENT TO RESTRICTED STOCK UNIT AGREEMENT (this “Amendment”) is entered into on this
    day of                     , 2011 and amends that certain Restricted Stock Unit Agreement dated as of the
    day of                     , 201     (the “Agreement”), by and between NEXX
Systems, Inc., a Delaware corporation (the “Company”), and [NAME] (the “Participant”). Capitalized terms used herein and not otherwise defined shall have the respective meanings given to them in the Agreement.

 WHEREAS, the parties previously entered into the Agreement, pursuant to which the Company granted to the Participant RSUs,
each of which represents the right to receive one Share; 
 WHEREAS, Section 15 of the Agreement contains certain
conditions that must be fulfilled prior to the Company being required to issue any certificate or certificates for Shares for vested RSUs (the “Issuance Conditions”); and 

WHEREAS, the Company and the Participant believe it is in the best interest of the parties to amend the Issuance Conditions as provided
below. 
 NOW, THEREFORE, in consideration of the mutual covenants and agreements set forth herein, and for other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows: 
 1. Section 15 of the Agreement shall be replaced in its entirety with the following: 
 “15. Additional Conditions to Issuance of Certificates for Shares. The Company shall not be required to issue any certificate or certificates for Shares hereunder prior to fulfillment of all
the following conditions: (a) the admission of such Shares to listing on all stock exchanges on which such class of stock is then listed; (b) the completion of any registration or other qualification of such Shares under any state or
federal law or under the rulings or regulations of the Securities and Exchange Commission or any other governmental regulatory body, which the Administrator shall, in its absolute discretion, deem necessary or advisable; (c) the obtaining of
any approval or other clearance from any state or federal governmental agency, which the Administrator shall, in its absolute discretion, determine to be necessary or advisable; (d) the expiration of any transfer restrictions on securities of
the Company held by the Participant pursuant to an agreement between the Participant and the underwriters of the initial public offering of the Company’s common stock; and (e) the lapse of such reasonable period of time following the date
of vesting of the RSUs as the Administrator may establish from time to time for reasons of administrative convenience.” 

 2. A new Section 21 is hereby added to the Agreement, to read in its entirety as
follows: 
 “21. Section 409A. All payments and benefits hereunder are subject to applicable tax and other
legally required withholdings. Payments and benefits hereunder are intended to comply with the requirements of Section 409A of the Code (“Section 409A”) or the requirements for exemption from Section 409A, and shall be construed
and administered accordingly; provided, that in no event shall the Company be liable by reason of any failure of any such payment or benefit to comply with Section 409A or the requirements for an exemption from Section 409A.”

 Except as contemplated hereby, none of the other terms and provisions of the Agreement shall be modified or amended on
account hereof, and all such other provisions shall remain in full force and effect in accordance with their terms. 
 This
Amendment may be delivered by facsimile/PDF and may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. 

[Signature Page Follows] 

  
 2 

 In Witness Whereof, the parties hereto have executed, or caused to be executed by their
authorized official, this Amendment effective as of the date first above written. 
  

			
	COMPANY:
	
	NEXX SYSEMS, INC.
		
	By:  	 	
		 	  
 Name:

		 	Title:

  

			
	PARTICIPANT:
		
	By:	 	
		 	  
 Name:Amendment No. 1 to Warrant

 EXHIBIT 10.25.7.1 

AMENDMENT NO. 1 TO WARRANT 
 This Amendment No. 1 to Warrant (“Amendment”), is made, delivered, and effective as of the Effective Date by and between NEXX SYSTEMS, INC., a Delaware corporation
(“Borrower”) and COMERICA BANK, a Texas banking association (“Comerica”) in order to amend the Warrant to Purchase Stock dated June 10, 2011 issued by Borrower to Comerica Bank
(“Warrant”). 
 For valuable consideration, Borrower and Comerica agree as follows: 

1. Section 2.4 of the Warrant is amended entirely to read as set forth below: 

“2.4 Intentionally deleted.” 
 2. This Amendment is not an agreement to any further or other amendment of the Warrant. Borrower and Comerica expressly acknowledge and agree that except as expressly amended in this Amendment, the
Warrant, as amended, remains in full force and effect and is ratified and confirmed. 
 This Amendment No. 1 to Warrant is executed and
delivered as of the date first written above. 
  

									
	NEXX SYSTEMS, INC.	 	 	 	COMERICA BANK
					
	By:	 	 /S/ STANLEY D. PIEKOS
	 	 	 	By:	 	 /S/ LAREEDA RENTIE

	Name:	 	Stanley D. Piekos	 	 	 	Name:	 	LaReeda Rentie
	Title:	 	Chief Financial Officer	 	 	 	Title:	 	First Level OfficerAmendement No. 10 to the Loan & Security Agreement

 Exhibit 10.39 
 $4,336,694.42 
 FOURTH AMENDED
AND RESTATED SECURED PROMISSORY NOTE 
 This
FOURTH AMENDED AND RESTATED SECURED PROMISSORY NOTE (this “Note”) is made July 1, 2011, by GLASSHOUSE
TECHNOLOGIES, INC. (“Borrower”) in favor of LIGHTHOUSE CAPITAL PARTNERS V, L.P. (collectively with its assigns, “Lender”).
Initially capitalized terms used and not otherwise defined herein are defined in that certain Loan and Security Agreement No. 4091 between Borrower and Lender dated June 30, 2004, as amended, (the “Loan Agreement”), and
amends and restates, but is not a replacement or novation of that certain Third Amended and Restated Secured Promissory Note dated June 1, 2010. 
 FOR VALUE RECEIVED, Borrower promises to pay in lawful money of the United States, to the order of Lender, at 300 Drake’s Landing Road, Suite 210,
Greenbrae, California 94904, or such other place as Lender may from time to time designate (“Lender’s Office”), the principal sum of $4,336,694.42 (the “Advance”), including interest on the unpaid balance and
all other amounts due or to become due hereunder according to the terms hereof and of the Loan Agreement. 
 “Basic Rate”
means, (i) prior to the Loan Commencement Date, a fixed rate of 13.5% per annum and (ii) on and after the Loan Commencement Date, a fixed rate of 10% per annum. 
 “Final Payment” means $857,500. 
 “Loan Commencement Date” means
October 1, 2011. 
 “Maturity Date” means the earliest of (a) the last day of the Repayment Period, (b) the date
of any prepayment pursuant to Section 3 hereof, and (c) Lender declaring due and payable all amounts due or to become due under the Note following an Event of Default. 
 “Payment Amount” means $498,004.32. 
 “Payment Date” means the
first day of each calendar month. 
 “Prepayment Fee” means (i) 2% of the outstanding principal amount being
prepaid if such prepayment is made in calendar year 2009; or (ii) 1% of the outstanding principal amount being prepaid if such prepayment is made in calendar year 2010 or later. 
 “Repayment Period” means the nine (9) calendar month period beginning on the Loan Commencement Date. 
 “Restructure Fee” means $380,250.00 payable on the Maturity Date. 

“Second Restructure Fee” means $125,000 payable on the Maturity Date. 
 “Third Restructure Fee” means $325,000 payable on the Maturity Date. 
 1.
Repayment. Borrower shall pay principal and interest due hereunder from the date of this Note, until this Note is paid in full, on each Payment Date pursuant to the terms of the Loan and Security Agreement and this Note. Notwithstanding the
foregoing, prior to the Loan Commencement Date, Borrower shall pay to Lender, monthly in advance on each Payment Date, interest on the Advance calculated at the Basic Rate. Beginning on the Loan Commencement Date and on each Payment Date

 
thereafter during the Repayment Period, Borrower shall make equal installments of principal and interest in advance, in an amount equal to the Payment Amount. On the Maturity Date, Borrower shall
pay, in addition to all unpaid principal and interest outstanding hereunder, the Final Payment, the Restructure Fee, the Second Restructure Fee, and the Third Restructure Fee. 
 2. Interest. Interest not paid when due will, to the maximum extent permitted under applicable law, become part of principal, at Lender’s option, and thereafter bear like interest as
principal. All interest computation shall be based on a 360-day year and actual days elapsed. All Obligations not paid when due shall bear interest at the Default Rate unless waived in writing by Lender. All amounts paid hereunder will be applied to
the Obligations in Lender’s discretion and as provided in the Loan and Security Agreement. 
 3. Prepayment. 

a. Mandatory Prepayment Upon a Liquidation Event. If a Liquidation Event shall occur, then Borrower shall within 60 days of such
Liquidation Event pay to Lender (i) the outstanding principal amount of the Note and any unpaid accrued interest, (ii) the Final Payment ,(iii) the Prepayment Fee, (iv) the Restructure Fee,
(v) the Second Restructure Fee, (vi) the Third Restructure Fee, and (vii) all other sums, if any, that shall have become due and payable hereunder with respect to this Note. 

b. Voluntary Prepayment. Borrower may voluntarily prepay all or any part of the principal due under this Note, provided
that each of the following conditions is satisfied: Borrower pays to Lender (i) the outstanding principal amount of the Note and any unpaid accrued interest, (ii) the Final Payment ,(iii) the Prepayment Fee,
(iv) the Restructure Fee, (v) the Second Restructure Fee, (vi) the Third Restructure Fee, and (vii) all other sums, if any, that shall have become due and payable hereunder with respect to this Note to
the extent allocable to the amount being prepaid, and all such other amounts if such prepayment represents the outstanding principal balance hereunder. 
 4. Collateral. This Note is secured by the Collateral. 
 5. Waivers. Borrower, and
all guarantors and endorsers of this Note, regardless of the time, order or place of signing, hereby waive notice, demand, presentment, protest, and notices of every kind, presentment for the purpose of accelerating maturity, diligence in
collection, and, to the fullest extent permitted by law, all rights to plead any statute of limitations as a defense to any action on this Note. 
 6. Choice of Law; Venue. THIS NOTE SHALL BE GOVERNED BY, AND CONSTRUED
IN ACCORDANCE WITH THE INTERNAL LAWS OF THE STATE OF CALIFORNIA,
WITHOUT REGARD TO PRINCIPLES OF CONFLICTS OF LAW. EACH OF BORROWER
AND LENDER HEREBY SUBMITS TO THE EXCLUSIVE JURISDICTION AND VENUE OF
THE STATE AND FEDERAL COURTS LOCATED IN THE CITY AND COUNTY OF
SAN FRANCISCO, STATE OF CALIFORNIA. BORROWER AND LENDER EACH HEREBY WAIVE
THEIR RESPECTIVE RIGHTS TO A JURY TRIAL OF ANY CLAIM OR CAUSE
OF ACTION BASED UPON OR ARISING OUT OF THIS NOTE. EACH PARTY
FURTHER WAIVES ANY RIGHT TO CONSOLIDATE ANY ACTION IN WHICH A JURY
TRIAL HAS BEEN WAIVED WITH ANY OTHER ACTION IN WHICH A JURY
TRIAL CANNOT BE OR HAS NOT BEEN WAIVED. 
 7. Miscellaneous. THIS NOTE MAY BE MODIFIED ONLY BY A WRITING
SIGNED BY BORROWER AND LENDER. Each provision hereof is severable from every other provision hereof and of the Loan Agreement when determining its legal
enforceability. Sections and subsections are titled for convenience, and not for construction. “Hereof,” “herein,” “hereunder,” and similar words refer to this Note in its entirety. “Or” is not necessarily
exclusive. “Including” is not limiting. The terms and conditions hereof inure to the benefit of and are binding upon the parties’ respective permitted successors and assigns. This Note is subject to all the terms and conditions of the
Loan Agreement. 

 IN WITNESS WHEREOF, Borrower has caused this Second Amended and
Restated Secured Promissory Note to be executed by a duly authorized officer as of the day and year first above written. 
  

			
	GLASSHOUSE TECHNOLOGIES, INC.
		
	By:	 	/s/ Kenneth W. Hale
	Name:	 	Kenneth W. Hale
	Title:	 	CFO

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