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EXHIBIT 4.21

AMENDING AGREEMENT #5
THIS AMENDING AGREEMENT made effective as of the 1st day of January, 2022.
BETWEEN:
ONCOLYTICS BIOTECH (U.S.), INC.,
("OBUS")
- and -
ANDREW DE GUTTADAURO
(the "Employee")
WHEREAS the Employee is an officer of OBUS whose terms of employment are set forth in the Employment Agreement dated effective June 29, 2017, as amended by Amending Agreement #1, Amending Agreement #2, Amending Agreement #3 and Amending Agreement #4 (collectively the “Employment Agreement”);
AND WHEREAS OBUS and the Employee wish to further amend the Employment Agreement;
NOW THEREFORE in consideration of the mutual covenants contained in this Amending Agreement, and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, it is agreed as follows:
1Interpretation

This Amending Agreement is supplemental to and shall form one agreement with the Employment Agreement, and the Employment Agreement and this Amending Agreement shall be read together and have effect so far as practicable as though all the provisions thereof and hereof were contained in one instrument.  In this Amending Agreement, including the recitals hereto, unless there is something within the subject matter or context inconsistent therewith, expressions herein, unless otherwise defined herein, have the same meanings as the corresponding expressions defined in the Employment Agreement.

2Amendment to the Employment Agreement

The Employment Agreement Section 3 – Remuneration is amended as follows:

(1)    Commencing January 1, 2022, OBUS shall pay to the Employee a salary of THREE HUNDRED THIRTY-FIVE THOUSAND EIGHT HUNDRED AND SIXTEEN ($335,816.00) UNITED STATES DOLLARS per annum, exclusive of bonuses, benefits and other compensation, payable in equal installments of THIRTEEN THOUSAND NINE HUNDRED NINETY-TWO UNITED STATES DOLLARS and THIRTY-THREE CENTS ($13,992.33) on the 15th and last day of each month.

3Confirmation

(1)    The parties confirm that the increase in Base Salary is a result of an assessment of increases in cost-of-living indices and salary benchmarking.

(2)    The parties hereto hereby acknowledge and confirm that, except as specifically amended by the provisions of this Amending Agreement, all of the terms and conditions contained in the Employment Agreement are and shall remain in full force and effect, unamended, in accordance with the provisions thereof.

EXHIBIT 4.21

4Miscellaneous

(a)This Agreement shall be governed by and construed in accordance with the laws of California.  

(b)The parties shall with reasonable diligence take all action, do all things, attend or cause their representatives to attend all meetings and execute all further documents, agreements and assurances as may be required from time to time in order to carry out the terms and conditions of this Agreement in accordance with their true intent.

(c)This Agreement may be executed in one or more counterparts, each of which shall be an original and all of which together shall constitute one document.  Delivery of an executed counterpart signature hereof by electronic mail in “portable document format” (“.pdf”) form, or by any other electronic means intended to preserve the original graphic and pictorial appearance of a document, will have the same effect as physical delivery of the paper document bearing the original signature.

IN WITNESS WHEREOF the parties hereto have executed this Amending Agreement as of the date and year first above written. 
						
	ONCOLYTICS BIOTECH (U.S.), INC.
		
	Per:	/s/ Gilles Gosselin
		Gilles Gosselin
Director

	

	
	Per:	/s/ Matt Coffey
		Matt Coffey
Director

/s/ Andrew de Guttadauro
________________________________
ANDREW DE GUTTADAURODocument

EXHIBIT 4.22

AMENDING AGREEMENT #2
THIS AMENDING AGREEMENT made effective as of the 1st day of January, 2022.
BETWEEN:
ONCOLYTICS BIOTECH (U.S.), INC.,
("OBUS")
- and -
THOMAS C. HEINEMAN, M.D., Ph.D.
(the "Employee")
WHEREAS the Employee is an officer of OBUS whose terms of employment are set forth in the Employment Agreement dated effective August 3, 2020, as amended by Amending Agreement #1 (collectively the “Employment Agreement”); 
AND WHEREAS OBUS and the Employee wish to amend the Employment Agreement;
NOW THEREFORE in consideration of the mutual covenants contained in this Amending Agreement, and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, it is agreed as follows:
1Interpretation

This Amending Agreement is supplemental to and shall form one agreement with the Employment Agreement, and the Employment Agreement and this Amending Agreement shall be read together and have effect so far as practicable as though all the provisions thereof and hereof were contained in one instrument.  In this Amending Agreement, including the recitals hereto, unless there is something within the subject matter or context inconsistent therewith, expressions herein, unless otherwise defined herein, have the same meanings as the corresponding expressions defined in the Employment Agreement.

2Amendments to the Employment Agreement

(1)The Employment Agreement Section 1 – Employment is amended by replacing all references to “Global Head of Clinical Development and Operations” to “Chief Medical Officer”.

(2)The Employment Agreement Section 3.1 – Base Salary is amended as follows:

Commencing January 1, 2022, OBUS shall pay to the Employee a Base Salary at an annual rate of FOUR HUNDRED AND FORTY-THREE THOUSAND ($443,000.00) UNITED STATES DOLLARS per annum, exclusive of bonuses, benefits and other compensation, payable in equal installments of EIGHTEEN THOUSAND AND FOUR HUNDRED AND FIFTY-EIGHT UNITED STATES DOLLARS and THIRTY-THREE CENTS ($18,458.33) on the 15th and last day of each month.

(3)The Employment Agreement Section 3.2 – Incentive Bonus is amended by replacing “30%” with “40%”.

(4)Exhibit A to the Employment Agreement is amended by replacing it with the version of Exhibit A attached to this Amending Agreement #2.

3Confirmation

(1)    The parties confirm that the increase in Base Salary is a result of an assessment of increases in cost-of-living indices and salary benchmarking.

EXHIBIT 4.22

(2)    The parties hereto hereby acknowledge and confirm that, except as specifically amended by the provisions of this Amending Agreement, all of the terms and conditions contained in the Employment Agreement are and shall remain in full force and effect, unamended, in accordance with the provisions thereof.

4Miscellaneous

(a)This Agreement shall be governed by and construed in accordance with the laws of California.  

(b)The parties shall with reasonable diligence take all action, do all things, attend or cause their representatives to attend all meetings and execute all further documents, agreements and assurances as may be required from time to time in order to carry out the terms and conditions of this Agreement in accordance with their true intent.

(c)This Agreement may be executed in one or more counterparts, each of which shall be an original and all of which together shall constitute one document.  Delivery of an executed counterpart signature hereof by electronic mail in “portable document format” (“.pdf”) form, or by any other electronic means intended to preserve the original graphic and pictorial appearance of a document, will have the same effect as physical delivery of the paper document bearing the original signature.

IN WITNESS WHEREOF the parties hereto have executed this Amending Agreement as of the date and year first above written. 
						
	ONCOLYTICS BIOTECH (U.S.), INC.
		
	Per:	/s/ Gilles Gosselin
		Gilles Gosselin
Director

		
	Per:	/s/ Matt Coffey
		Matt Coffey
Director

/s/ Thomas C. Heineman
________________________________
THOMAS C. HEINEMAN, M.D., Ph.D.

EXHIBIT 4.22

EXHIBIT A
To the Employment Agreement dated August 3, 2020 
between Oncolytics Biotech (U.S.), Inc. and
Thomas C. Heineman, M.D., Ph.D.

INITIAL DUTIES AND RESPONSIBILITIES

Position Summary: 

The primary role of the CMO will be to provide leadership and direction for the Company’s clinical development program. The CMO will be responsible for the strategy, direction and execution of the Company’s clinical development plans. 

Essential Duties and Responsibilities:

•Direct the development of clinical strategies
•Orchestrate and manage clinical aspects of regulatory strategies and interactions with Health Authorities
•Oversee the analysis and interpretation of clinical trial data and the reporting of clinical trial results
•Lead interactions with academic thought leaders, investigators, cooperative groups, and other clinical stakeholders
•Provide clinical support and work with other members of the management team to develop and communicate the overall corporate strategy
•Represent the Company and its programs to external audiences, including the investment, medical and regulatory communities, as well as pharmaceutical or biotechnology industry collaborators/partnershbp-ex43_10.htm

EXHIBIT 4.3

 

HUTTIG BUILDING PRODUCTS, INC.

DESCRIPTION OF SECURITIES

REGISTERED PURSUANT TO SECTION 12 OF THE

SECURITIES EXCHANGE ACT OF 1934

 

As of December 31, 2020, Huttig Building Products, Inc. (“Huttig” “we” or “our”) has two classes of securities, our common stock, par value $0.01 per share (“Common Stock”), of which 80,000,000 are authorized, and our preferred stock, par value $0.01 per share (“Preferred Stock”), of which 5,000,000 shares are authorized. In respect of our Preferred Stock, 400,000 shares have been designated as Series A Junior Participating Preferred Stock, although no such shares are outstanding.

 

The following description of our capital stock is a summary and is subject to, and is qualified in its entirety by reference to the provisions of our Second Amended and Restated Certificate of Incorporation (the “Charter”) and our by-laws, as amended and restated (the “Bylaws”), copies of which are incorporated by reference as Exhibits 3.1 and 3.2 to our Annual Report on Form 10-K for the year ended December 31, 2020 of which Exhibit 4.3 is a part.

 

COMMON STOCK

 

Listing

Our Common Stock is listed and principally traded on The NASDAQ Stock Market LLC under the symbol “HBP.”

 

Dividend Rights

Subject to any preferential dividend rights granted to the holders of any shares of our Preferred Stock that may at the time be outstanding and any restrictions contained in agreements to which we are a party, holders of our Common Stock are entitled to receive ratably any dividends as may be declared from time to time by our Board out of funds legally available therefor.

 

Rights Upon Liquidation

Subject to any preferential rights of outstanding shares of Preferred Stock that may at the time be outstanding, holders of our Common Stock are entitled to share ratably, upon any liquidation, dissolution, or winding up of Huttig, in all remaining assets legally available for distribution to stockholders.

 

Other Rights and Preferences

Our Common Stock has no sinking fund, redemption provisions, or preemptive, conversion, or exchange rights.

 

Voting

All holders of Common Stock are entitled to one vote per share on all matters to be voted on by our stockholders. Directors shall be elected by a plurality of the votes cast at an election. Stockholders do not have cumulative voting rights in election of directors.  All other actions (unless required by law) shall be authorized by a majority of the votes cast by the holders of shares entitled to vote thereon, present in person or represented by proxy, and where a separate vote by class is required, by a majority of the votes cast by stockholders of such class, present in person or represented by proxy, except that (i) amendments to the Bylaws by the stockholders require a vote of two-thirds of the shares entitled to vote thereon, and (ii) removal of a director by the stockholders may only be for cause and requires a vote of two-thirds of the voting power of the shares entitled to vote at an election of directors.

 

Certain Anti-Takeover Effects

Certain provisions of Delaware law, our Charter and our Bylaws provide for the following, which may have the effect of deterring hostile takeovers or delaying changes in control or management:

	
 
	
▪
	
Section 203. We are generally subject to Section 203 of the Delaware General Corporation Law, which, subject to certain exceptions, prohibits a Delaware corporation from engaging in any business combination with any “interested stockholder” for a period of three years following the date that such stockholder became an interested stockholder. An interested stockholder is generally defined to mean any entity or person 

 

 

	
 
		
beneficially owning 15% or more of the outstanding voting stock of the corporation, together with its affiliates.

	
 
	
▪
	
Undesignated Preferred Stock. Our Board has the ability to issue preferred stock with voting or other rights or preferences that could impede the success of any attempt to change control of us. 

	
 
	
▪
	
Stockholder Meetings. Our Charter provides that our stockholders may not act by written consent, which may lengthen the amount of time required to take stockholder actions.  As a result, a holder controlling a majority of our capital stock would not be able to amend our Bylaws or remove directors without holding a meeting of our stockholders called in accordance with our Bylaws.  In addition, our Bylaws provide that special meetings of the stockholders may be called only by the Chairperson of the Board or our Board.  Stockholders may not call a special meeting.

	
 
	
▪
	
Board Classification. Our Board is divided into three classes, one class of which is elected each year by our stockholders. The directors in each class will serve for a three-year term. 

	
 
	
▪
	
No Cumulative Voting. Our Charter and Bylaws do not permit cumulative voting in the election of directors. 

	
 
	
▪
	
Blank check preferred stock. As noted above, our Charter allows the Board to issue shares of Preferred Stock without the further approval of our stockholders. This is sometimes referred to as “blank check” preferred stock. 

	
 
	
▪
	
Amendment of Charter and Bylaws.  Certain provisions of our Charter may only be amended  by holders of at least two-thirds of the voting power of our then outstanding voting stock.  Our Bylaws may only be amended by holders of at least two-thirds of the voting power of our then outstanding voting stock or by our Board.

RIGHTS TO ACQUIRE SERIES A JUNIOR PARTICIPATING PREFERRED STOCK

 

Huttig has entered into a Rights Agreement with Computershare Trust Company, N.A. (as amended from time to time, the “Rights Agreement”), and we declared a dividend distribution of one preferred share purchase right for each outstanding share of Common Stock that was payable to stockholders of record as of the close of business on May 31, 2016.  

Subject to the terms, provisions and conditions of the Rights Agreement, if these rights become exercisable, each right would initially represent the right to purchase from us 1/100th of a share of our Series A Junior Participating Preferred Stock for a purchase price of $13.39 (“Purchase Price”). If issued, each fractional share of preferred stock would generally give a stockholder approximately the same dividend, voting and liquidation rights as does one share of our Common Stock. However, prior to exercise, a right does not give its holder any rights as a stockholder, including without limitation any dividend, voting or liquidation rights. The rights will not be exercisable until the earlier of: (i) 10 calendar days after a public announcement, or the Board concluding, that a person or group has become an Acquiring Person (as defined under the Rights Agreement); and (ii) 10 business days after the commencement of a tender or exchange offer by a person or group if upon consummation of the offer the person or group would beneficially own 4.99% or more of our outstanding Common Stock. An “Acquiring Person” generally means a person that becomes a beneficial owner of 4.99% or more of our Common Stock, with certain limited exceptions.

 

The Board may, in its sole discretion, exempt any person or group who would otherwise be an Acquiring Person from being deemed as such for purposes of the Rights Agreement, if it determines at any time prior to the time at which the rights are no longer redeemable that the beneficial ownership of such person would not jeopardize, endanger or limit (in timing or amount) the availability of Huttig’s net operating losses and other tax benefits. Any such person or group is an “exempted person” under the rights plan. The Board, in its sole discretion, may subsequently make a contrary determination and such person would then become an acquiring person. The Rights Agreement will terminate at the close of business on May 18, 2022, if not earlier terminated in accordance with its terms

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