Document:

ex10-3.htm

Exhibit 10.3

 

PATENT ASSIGNMENT

 

PARTIES TO THE ASSIGNMENT:

 

Assignor:

 

Omni Bio Pharmaceutical, Inc.
181 W. Boardwalk Drive, Suite 202
Fort Collins, Colorado 80525
United States

 

State of Incorporation:     Colorado

 

Assignee:

 

Advent Bio Holdings, LLC
262 East Mountain Avenue
Fort Collins, Colorado 80524
United States

 

State of Incorporation:     Colorado

 

PATENT(S) AND PATENT APPLICATION(S) SUBJECT TO THE ASSIGNMENT:

 

See Schedule 1 attached hereto.

 

WHEREAS, the Assignor identified above, a corporation organized and existing under the laws of the State indicated above, and having its principal place of business at the address indicated above, is a co-owner of all right, title, and interest in and to one or more new and useful processes, methods, machines, devices, systems, manufactures, and/or compositions of matter, or new and useful improvements thereof (the “Inventions”), disclosed and described in the issued Patents and the Patent Applications indicated and identified above and in Schedule 1; and 

 

WHEREAS, Assignee identified above, a corporation organized and existing under the laws of the State indicated above, and having its principal place of business at the address indicated above, desires to acquire the right, title, and interest of Assignor in and to the Inventions, the Patents, the Patent Applications, and in, and to, and under any and all Letters Patent to be obtained therefor including international, foreign and domestic;

 

NOW, THEREFORE, for $10 and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, Assignor has sold, assigned, and transferred and does hereby sell, assign, and transfer to the Assignee, its successors, legal representatives, and assigns, the right, title and interest of Assignor in and to the Inventions, the Patents, the Patent Applications, and all divisional, continuation, continuation-in-part, and continuing prosecution applications that claim priority thereto, and any reexamination and reissue applications thereof; all international, regional, and foreign applications that claim priority to, are counterparts of, or otherwise correspond thereto; the Letters Patent, both in the United States and in countries or regions foreign thereto, that may or shall issue or have issued therefrom; any extensions, substitutes, or renewals thereof; the right to claim priority to the filing date of the Patent Applications; any right, title, or interest in and to the Inventions under any international conventions; and any and all rights to collect past damages for infringement of any provisional rights and of any and all Letters Patent of the United States and any countries and regions foreign thereto which may be, shall be, or have been published, which may be, shall be, or have been granted, or which may be lodged (collectively “the Patent Rights”); and

 

Assignor, as co-owner, further authorizes said Assignee, its successors, and assigns, or anyone it may properly designate, to apply for Letters Patent in the U.S. and any and all foreign countries and regions, in its own name if desired, and additionally to claim priority to the filing dates of the Patent Applications and otherwise take advantage of the provisions of any international conventions as deemed appropriate per co-ownership; and

 

 

 

 

 

Assignor hereby authorizes and requests transfer of the Patents, the Patent Applications, and any further applications co-owned by Assignor, which may be or shall have been filed under the Patent Rights, to the Assignee as a co-owner in accordance herewith and further authorizes and requests any official of any State whose duty consists of issuing patents or other evidence or forms of any industrial property protection issuing from the Patent Applications and all related applications, to issue same to the Assignee, its successors, and assigns in accordance herewith as a co-Assignee in the interest thereof; and

 

Assignor represents and warrants that Assignor is a co-owner and has right, title, and authority to execute this Assignment and to convey its right, title, and interest in the Patent Rights, and that Assignor has not conveyed nor will convey hereafter its Patent Rights to a third party, and Assignor hereby covenants and agrees with the Assignee, its successors and assigns, that Assignor will not execute in writing or do any act whatsoever conflicting with these representations; and 

 

Assignor, Assignor’s successors, legal representatives, or administrators will at any time upon request, without further or additional consideration, but at the expense of the Assignee, its successors, and assigns, execute such additional writings and do such additional acts as said Assignee, its successors, and assigns, may deem necessary or desirable to perfect the Assignee’s enjoyment of this grant, and render all necessary assistance in making application for, obtaining, and enforcing any of the Patent Rights, including giving testimony in any proceedings or transactions involving such Patent Rights as a co-owner in such Patent Rights thereof; and

 

Assignor further covenants and agrees that this Assignment is effective as of the date of execution of this document by Assignor’s representative below.

 

IN WITNESS WHEREOF, the Assignor hereunto has executed this Assignment upon the date indicated below.

 

 

	
STATE OF COLORADO)
	 	
 

	
CITY OF                            ) ss.
	 	
 

	
COUNTY OF                    )
	 	
 

	 	 	 
	 	 	
ASSIGNOR: OMNI BIO PHARMACEUTICAL, INC.

	 	 	 
	
Dated: June 23, 2015
	 	
/s/ Bruce E. Schneider                                                      

	 	 	
(signature)

	 	 	 
	
Place: West Chester, PA
	 	
By:     Bruce E. Schneider

	 	 	 
	 	 	
(printed name of authorized agent of assignor)

	 	 	 
	 	 	
Its:      Chief Financial Officer

	 	 	
(title)

	 	 	 
	
Before me, a Notary Public in and for said County and State, personally appeared the identified representative of the Assignor, who executed the foregoing instrument for the purposes and considerations therein expressed.

	 
	 	 	 
	
Given under my hand and seal of office this                 day of                                                      , 2015.

	 
	 	 	 
	 	 	 
	Notary Public 	 	My Commission Expires:                                                     

 

 

 

 

 

 

The Assignee hereby acknowledges and accepts the foregoing assignment of rights by Assignor.

 

IN TESTIMONY WHEREOF, the Assignee, by its undersigned officer, confirms its acceptance on the date set forth below.

 

 

	
STATE OF COLORADO)
	 	
 

	
CITY OF ) ss.
	 	
 

	
COUNTY OF)
	 	
 

	
 
	 	
 

	
 
	 	
 

	
 
	 	
 

	
 
	 	
ASSIGNEE: ADVENT BIO HOLDINGS, LLC

	
 
	 	
 

	
Dated: June 23, 2015
	 	
/s/ Joseph C. Zimlich                                                   

	
 
	 	
                                            (signature)

	
 
	 	
 

	
Place: 262 East Mountain Ave., Fort Collins, CO 80524
	 	
By:      Joseph C. Zimlich

	
 
	 	
                (printed name of authorized agent of assignee)

	
 
	 	
 

	
 
	 	
Its:Manager of BOCO Holdings, LLC; The sole member of Bohemian Investments, LLC; Its sole member

	
 
	 	
                                                     (title)

	
 
	 	
 

	
Before me, a Notary Public in and for said County and State, personally appeared the identified representative of the Assignee, who executed the foregoing instrument for the purposes and considerations therein expressed.

	 
	 
	
Given under my hand and seal of office this                day of                                           , 2015.

	 
	 
	
 
	 	
 

	
Notary Public 
	 	
My Commission Expires:Exhibit 4.1

 

UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”), TO THE CORPORATION OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE, OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO CEDE & CO., OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS AN INTEREST HEREIN.

 

TRANSFERS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO NOMINEES OF DTC OR TO A SUCCESSOR THEREOF OR SUCH SUCCESSOR’S NOMINEE AND TRANSFERS OF PORTIONS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS MADE IN ACCORDANCE WITH THE RESTRICTIONS SET FORTH IN THE CORPORATION’S ARTICLES OF INCORPORATION (INCLUDING THE RELATED CERTIFICATE OF DESIGNATIONS FORMING A PART THEREOF). IN CONNECTION WITH ANY TRANSFER, THE HOLDER WILL DELIVER TO THE TRANSFER AGENT NAMED ON THE FACE OF THIS CERTIFICATE SUCH CERTIFICATES AND OTHER INFORMATION AS SUCH TRANSFER AGENT MAY REASONABLY REQUIRE TO CONFIRM THAT THE TRANSFER COMPLIES WITH THE FOREGOING RESTRICTIONS.

 

	
NUMBER: 1
    	
 
    	
SHARES: 5,000,000
    

 

CUSIP NO. 97650W405

 

WINTRUST FINANCIAL CORPORATION 
  Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D
 (no par value)
 (liquidation preference $25 per share)

 

THIS CERTIFIES THAT: CEDE & CO., or registered assigns, is the owner of: FIVE MILLION (5,000,000) fully paid and nonassessable shares of Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D, no par value per share, of Wintrust Financial Corporation (the “Corporation”), an Illinois corporation.  The shares represented by this Certificate are transferable only on the stock transfer books of the Corporation by the holder hereof in person or by its duly authorized attorney or other representative, upon the surrender of this Certificate properly endorsed.  This Certificate is not valid unless countersigned and registered by the Corporation’s transfer agent and registrar.

 

 

IN WITNESS WHEREOF, the Corporation has caused this Certificate to be executed on its behalf by its duly authorized officers.

 

	
Dated:   June 25, 2015
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
Secretary
    	
 
    	
President
    

 

 

Countersigned and registered

 

Dated: June 25, 2015

 

AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as transfer agent and registrar

 

 

	
By:
    	
 
    	
 
    
	
 
    	
Name:
    	
 
    
	
 
    	
Title:
    	
 
    

 

 

WINTRUST FINANCIAL CORPORATION

 

The shares represented by this Certificate are issued subject to all the provisions of the articles of incorporation (including the related Certificate of Designations forming a part thereof) and bylaws of Wintrust Financial Corporation (the “Corporation”) as from time to time amended (copies of which are on file at the principal executive office of the Corporation), to all of which the holder by acceptance hereof assents.

 

The Corporation will furnish to any shareholder upon request and without charge a full statement of the powers, designations, preferences and relative, participating, optional or other special rights of each authorized class of stock or series thereof and the qualifications, limitations or restrictions of such preferences and/or rights, to the extent that the same have been fixed, and of the authority of the board of directors to designate the same with respect to other series. Such request may be made to the Corporation or to its transfer agent and registrar.

 

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
    
	
 
    	
 
    	
 
    	
(Custodian)                   (Minor)
    
	
TEN ENT
    	
-
    	
as tenants by the   entireties
    	
under Uniform Gifts to   Minors Act of
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
(State)
    
	
JT TEN
    	
-
    	
as joint tenants with   right of survivorship and not as tenants in common
    	
Additional abbreviations   may also be used though not in the above list.
    

 

FOR VALUE RECEIVED,                                  HEREBY SELLS, ASSIGNS AND TRANSFERS UNTO

 

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING ZIP CODE AND SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER, OF ASSIGNEE)

 

(                        ) shares of Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D, no par value per share, of the Corporation represented by this Certificate and do hereby irrevocably constitute and appoint                              as attorney to transfer the said shares of Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D, no par value per share, on the books of the Corporation, with full power of substitution in the premises.

 

	
 
    	
 
    	
 
    	
 
    	
 
    
	
Dated
    	
 
    	
 
    	
X
    	
 
    
	
 
    	
 
    	
 
    	
NOTICE:
    	
The signature to this   Assignment must correspond with the name as written upon the face of this Certificate   in every particular, without alteration or enlargement or any change   whatsoever.

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