Document:

ssnc-ex41_129.htm

Exhibit 4.1

Third Supplemental Indenture (this “Supplemental Indenture”), dated as of February 15, 2017, among SS&C Technologies Holdings, Inc., a Delaware corporation (the “Issuer”), Conifer Asset Solutions LLC and Conifer Financial Services LLC (each, a “New Guaranteeing Subsidiary”) and Wilmington Trust, National Association, as trustee under the Indenture referred to below (the “Trustee”).

 

W I T N E S S E T H

 

WHEREAS, the Issuer and SS&C Technologies, Inc., Financial Models Company Ltd., Advent Software, Inc. and Hub Data Incorporated (collectively, the “Original Guarantors”) have heretofore executed and delivered to the Trustee an indenture (the “Original Indenture”), dated as of July 8, 2015, providing for the issuance of the Issuer’s 5.875% Senior Notes due 2023 (the “Notes”);

 

WHEREAS, the Issuer and SS&C Technologies Connecticut, LLC (“SS&C CT”) have heretofore executed and delivered to the Trustee a first supplemental indenture to the Original Indenture, dated as of March 4, 2016 (the “First Supplemental Indenture”);

 

WHEREAS, the Issuer and SS&C Hedge Fund Services, North America Inc., SS&C Hedge Fund Services, Inc. and SS&C Private Equity Services, Inc. (collectively, with SS&C CT and the Original Guarantors, the “Existing Guarantors”) have heretofore executed and delivered to the Trustee a second supplemental indenture to the Original Indenture, dated as of March 21, 2016 (the “Second Supplemental Indenture,” and together with the Original Indenture and First Supplemental Indenture, the “Indenture”);

WHEREAS, the Indenture provides that under certain circumstances a New Guaranteeing Subsidiary shall execute and deliver to the Trustee a supplemental indenture pursuant to which a New Guaranteeing Subsidiary shall unconditionally guarantee all of the Issuer’s Obligations under the Notes and the Indenture on the terms and conditions set forth herein and under the Indenture (the “Guarantee”); and

 

WHEREAS, pursuant to Section 9.01 of the Indenture, the Issuer and the Trustee are authorized to execute and deliver this Supplemental Indenture without the consent of the Holders of the Notes.

 

NOW THEREFORE, in consideration of the foregoing and for other good and valuable consideration, the receipt of which is hereby acknowledged, the parties mutually covenant and agree for the equal and ratable benefit of the Holders of the Notes as follows:

 

(1) Capitalized Terms. Capitalized terms used herein without definition shall have the meanings assigned to them in the Indenture.

 

(2) Agreement to Guarantee. Each New Guaranteeing Subsidiary hereby (a) jointly and severally agrees, along with all Existing Guarantors, to provide an unconditional Guarantee of the Notes on the terms set forth in the Indenture including but not limited to Article X thereof and (b) becomes a party to the Indenture as a Guarantor 

 

 

and, as such, will have the rights and be subject to all of the obligations and agreements of a Guarantor under the Indenture.

 

(3) No Recourse Against Others. No director, officer, employee, incorporator or stockholder of each New Guaranteeing Subsidiary shall have any liability for any obligations of the Issuer or the Guarantors (including each New Guaranteeing Subsidiary) under the Notes, any Guarantees, the Indenture or this Supplemental Indenture or for any claim based on, in respect of, or by reason of, such obligations or their creation. Each Holder by accepting Notes waives and releases all such liability. The waiver and release are part of the consideration for issuance of the Notes.

 

(4) GOVERNING LAW. THIS SUPPLEMENTAL INDENTURE SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK.

 

(5) Counterparts. The parties may sign any number of copies of this Supplemental Indenture. Each signed copy shall be an original, but all of them together represent the same agreement. The exchange of copies of this Supplemental Indenture and of signature pages by facsimile or PDF transmission shall constitute effective execution and delivery of this Supplemental Indenture as to the parties hereto and may be used in lieu of the original Supplemental Indenture and signature pages for all purposes.

  

(6) Effect of Headings. The Section headings herein are for convenience only and shall not affect the construction hereof.

 

(7) The Trustee. The Trustee shall not be responsible in any manner whatsoever for or in respect of the validity or sufficiency of this Supplemental Indenture or for or in respect of the recitals contained herein, all of which recitals are made solely by each New Guaranteeing Subsidiary.

 

(8) Notices. All notices or other communications to the Guarantors shall be given as provided in Section 12.01 of the Indenture.

 

(9) Ratification of Indenture; Supplemental Indentures Part of Indenture. Except as expressly amended and supplemented hereby, the Indenture is in all respects ratified and confirmed and all the terms, conditions and provisions thereof shall remain in full force and effect. This Supplemental Indenture shall form a part of the Indenture for all purposes, and every Holder of Notes heretofore or hereafter authenticated and delivered shall be bound hereby.

 

[Remainder of Page Intentionally Blank]

2

 

 

 

IN WITNESS WHEREOF, the parties hereto have caused this Supplemental Indenture to be duly executed, all as of the date first above written.

 

ISSUER: 

 

	
SS&C TECHNOLOGIES HOLDINGS, INC.

	
 

	
 

	
By:
	
 /s/ Patrick J. Pedonti

	
 
	
Name:
	
 Patrick J. Pedonti

	
 
	
Title:
	
 Senior Vice President and 

Chief Financial Officer

 

NEW GUARANTEEING SUBSIDIARIES:

 

 

	
CONIFER ASSET SOLUTIONS LLC

	
 

	
 

	
By:
	
 /s/ John J. McDonald

	
 
	
Name:
	
 John J. McDonald

	
 
	
Title:
	
 President and Chief Executive      Officer

 

	
CONIFER FINANCIAL SERVICES LLC

	
 

	
 

	
By:
	
 /s/ John J. McDonald

	
 
	
Name:
	
 John J. McDonald

	
 
	
Title:
	
 President and Chief Executive      Officer

 

	
WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee

	
 

	
 

	
By:
	
 /s/ Shawn Goffinet

	
 
	
Name:
	
Shawn Goffinet

	
 
	
Title:
	
Assistant Vice President

 

 

[Signature Page to Third Supplemental Indenture]Exhibit

Exhibit 10.1 

RETROPHIN, INC.
Amendment to Employment Agreement
This Amendment (the “Amendment”) is entered into as of April 11, 2017 and modifies the Employment Agreement (the “Agreement”) dated March 3, 2015 by and between Retrophin, Inc. (the “Company”) and Stephen Aselage (“Executive”).  All capitalized terms used herein and not otherwise defined shall have the meanings assigned to such terms in the Agreement.
The parties hereto, intending to be legally bound, agree to amend the Agreement as follows:
		
	1.
	Article 6, Section 6.8(a) of the Agreement shall be amended and restated in its entirety as follows:

“Severance Benefits.  If (i) within three (3) months prior to, or on or within twelve (12) months after, the consummation of a Change in Control (as defined in Section 6.8(b) herein), (1) the Company terminates Executive’s employment and this Agreement without Cause pursuant to Section 6.5 herein or (2) Executive resigns his or her employment and terminates this Agreement as a result of a Constructive Termination pursuant to Section 6.6 herein, and (ii) in either event (1) or (2), Executive signs the Release on or within the time period set forth therein, but in no event later than forty-five (45) days after the termination date and allows such Release to become effective, then Executive shall receive the following severance benefits in lieu of any severance benefits set forth in Section 6.5(b) or Section 6.6(b) herein:” 
		
	2.
	The Agreement and this Amendment represent the complete and entire understanding between the parties regarding the subject matter hereof and supersede all prior negotiations, representations or agreements, either written or oral, regarding this subject matter.  No provisions of this Amendment may be modified, waived or discharged unless such waiver, modification or discharge is agreed to in writing signed by Executive and such officer as may be specifically designated by the Board of Directors of the Company. 

		
	3.
	The validity, interpretation, construction and performance of this Amendment and the rights of the parties thereunder shall be interpreted and enforced under California law without reference to principles of conflicts of laws.  

		
	4.
	This Amendment may be executed in multiple counterparts, each of which shall be deemed an original, but both of which together shall constitute one and the same instrument.

		
	5.
	Except for the matters set forth in this Amendment, all other terms of the Agreement shall remain unchanged and in full force and effect.

In Witness Whereof, the parties hereto have duly executed this Amendment as of the date set forth above.

	
				
	 
	 
	RETROPHIN, INC.

	 
	 
	 
	 

	 
	 
	By:
	/s/ Gary Lyons

	 
	 
	Name:
	Gary Lyons

	 
	 
	Title:
	Chairman

	 
	 
	 
	 

	Accepted and agreed:
	 
	 
	 

	 
	 
	 
	 

	/s/ Stephen Aselage
	 
	 
	 

	Stephen AselageExhibit

Exhibit 10.2
 
RETROPHIN, INC.
Amendment to Employment Agreement
This Amendment (the “Amendment”) is entered into as of April 11, 2017 and modifies the Employment Agreement (the “Agreement”) dated March 3, 2015 by and between Retrophin, Inc. (the “Company”) and Laura Clague (“Executive”).  All capitalized terms used herein and not otherwise defined shall have the meanings assigned to such terms in the Agreement.
The parties hereto, intending to be legally bound, agree to amend the Agreement as follows:
		
	1.
	Article 6, Section 6.8(a) of the Agreement shall be amended and restated in its entirety as follows:

“Severance Benefits.  If (i) within three (3) months prior to, or on or within twelve (12) months after, the consummation of a Change in Control (as defined in Section 6.8(b) herein), (1) the Company terminates Executive’s employment and this Agreement without Cause pursuant to Section 6.5 herein or (2) Executive resigns his or her employment and terminates this Agreement as a result of a Constructive Termination pursuant to Section 6.6 herein, and (ii) in either event (1) or (2), Executive signs the Release on or within the time period set forth therein, but in no event later than forty-five (45) days after the termination date and allows such Release to become effective, then Executive shall receive the following severance benefits in lieu of any severance benefits set forth in Section 6.5(b) or Section 6.6(b) herein:” 
		
	2.
	The Agreement and this Amendment represent the complete and entire understanding between the parties regarding the subject matter hereof and supersede all prior negotiations, representations or agreements, either written or oral, regarding this subject matter.  No provisions of this Amendment may be modified, waived or discharged unless such waiver, modification or discharge is agreed to in writing signed by Executive and such officer as may be specifically designated by the Board of Directors of the Company. 

		
	3.
	The validity, interpretation, construction and performance of this Amendment and the rights of the parties thereunder shall be interpreted and enforced under California law without reference to principles of conflicts of laws.  

		
	4.
	This Amendment may be executed in multiple counterparts, each of which shall be deemed an original, but both of which together shall constitute one and the same instrument.

		
	5.
	Except for the matters set forth in this Amendment, all other terms of the Agreement shall remain unchanged and in full force and effect.

In Witness Whereof, the parties hereto have duly executed this Amendment as of the date set forth above.

	
				
	 
	 
	RETROPHIN, INC.

	 
	 
	 
	 

	 
	 
	By:
	/s/ Stephen Aselage

	 
	 
	Name:
	Stephen Aselage

	 
	 
	Title:
	Chief Executive Officer

	 
	 
	 
	 

	Accepted and agreed:
	 
	 
	 

	 
	 
	 
	 

	/s/ Laura Clague
	 
	 
	 

	Laura Clague

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