Document:

Third Supplemental Indenture

 Exhibit 4.1 

THIRD SUPPLEMENTAL INDENTURE 

This THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of February 10, 2017, is being
entered into among WCI Communities, Inc., a Delaware corporation (the “Issuer”), Lennar Corporation, a Delaware corporation (the “Co-Issuer”), Wilmington Trust, National
Association, as trustee (the “Trustee”), and the Subsidiary Guarantors (the “Subsidiary Guarantors”), as that term is defined under the indenture to which this Third Supplemental Indenture relates. 

W I T N E S S E T H 

WHEREAS, prior to the date of this Third Supplemental Indenture, the Issuer, the Subsidiary Guarantors and the Trustee entered into an
indenture dated as of August 7, 2013, related to 6.875% senior notes (the “Notes”) issued by the Issuer (such indenture, as supplemented by a First Supplemental Indenture dated as of April 28, 2014, and a Second
Supplemental Indenture dated as of June 26, 2014, the “Indenture”); 
 WHEREAS, Section 5.01(a) of the Indenture
permits a merger of the Issuer with and into another entity, provided that the Issuer survives the merger; 
 WHEREAS, Sections 9.01(1) and
9.01(6) of the Indenture also permit the Issuer, Subsidiary Guarantors and Trustee to amend the Indenture by supplement without the consent of the holders of the Notes in the event of a merger which meets the requirements set forth in the Indenture
and to provide for additional rights or benefits to Holders; 
 WHEREAS, effective as of the date of this Third Supplemental Indenture, the
Issuer has merged with Marlin Green Corp., a Delaware corporation which is a wholly owned subsidiary of the Co-Issuer, with the Issuer being the surviving entity; 

WHEREAS, the Co-Issuer has agreed to become the co-issuer of
the Notes; 
 WHEREAS, the Issuer and Co-Issuer have satisfied all of the other terms and conditions
required to execute and deliver this Supplemental Indenture; and 
 WHEREAS, all conditions necessary to authorize the execution and
delivery by the Issuer and the Co-Issuer of this Third Supplemental Indenture have been satisfied and this Third Supplemental Indenture represents a valid and binding obligation of the Issuer and the Co-Issuer. 
 NOW, THEREFORE, in consideration of the foregoing and for other good and valuable
consideration, the receipt of which is hereby acknowledged, the Issuer, Subsidiary Guarantors, the Co-Issuer and Trustee mutually covenant and agree for the equal and ratable benefit of the holders of the
Notes as follows: 
 1.    CO-ISSUER. The
Co-Issuer hereby joins the Indenture as an Issuer thereunder and shall have, and may exercise every right and power of, the Issuer under the terms of the Indenture and agrees to be bound by, and to perform,
all the obligations of the Issuer jointly and severally with the Issuer under the terms of the Indenture and the Notes with the same effect as though the Co-Issuer were the Issuer named in the Indenture. 

2.    FULFILLMENT OF CONDITIONS. The Issuer and Co-Issuer have fulfilled all of
the obligations under the Indenture which are required for this Third Supplemental Indenture to be entered into without the consent of the holders of the Notes. 

3.    GOVERNING LAW. THIS THIRD SUPPLEMENTAL INDENTURE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH THE
LAWS OF THE STATE OF NEW YORK. 
 4.    COUNTERPARTS. The parties may sign any number of copies of this Third
Supplemental Indenture. Each signed copy shall be an original, but all of them together represent the same agreement. One signed 

 
copy is enough to prove this Third Supplemental Indenture. The exchange of copies of this Third Supplemental Indenture and of signature pages by facsimile or PDF transmissions shall
constitute effective execution and delivery of this Third Supplemental Indenture as to the parties hereto and may be used in lieu of the original Third Supplemental Indenture for all purposes. Signatures of the parties hereto transmitted by
facsimile or PDF shall be deemed to be their original signatures for all purposes. 
 5.    EFFECT OF HEADINGS. The
Section headings herein are for convenience of reference only, are not intended to be considered a part hereof and shall not modify or restrict any of the terms or provisions hereof. 

6.    THE TRUSTEE. The Trustee shall not be responsible in any manner whatsoever for or in respect of the validity or
sufficiency of this Third Supplemental Indenture or for or in respect of the recitals contained herein or in respect of Section 2 hereof, all of which recitals and such Section 2 are made solely by the Issuer, Co-Issuer and Subsidiary Guarantors. 
 7.    RATIFICATION OF INDENTURE. Except
as expressly amended 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 Third Supplemental Indenture shall form a part of the
Indenture for all purposes, and every holder of a Note heretofore and hereafter authenticated and delivered shall be bound hereby. 

8.    NOTICES. Notices to the Co-Issuer shall be given in accordance with the
provisions of Section 11.02 of the Indenture at 700 Northwest 107th Avenue, Miami, Florida 33172. 

9.    Capitalized terms used and not defined in this Third Supplemental Indenture shall have the meanings given such terms
in the Indenture. 
 [Remainder of Page Intentionally Left Blank] 

  
 2 

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

									
	WCI COMMUNITIES, INC., as Issuer	 		 	LENNAR CORPORATION, as Co-Issuer
					
	By:	 	     /s/ Mark Sustana
	 		 	By:	 	     /s/ Diane J. Bessette

		 	Mark Sustana, Vice President	 		 		 	Diane J. Bessette, Vice President
				
	SUBSIDIARY GUARANTORS	 		 		 	
			
	WCI COMMUNITIES MANAGEMENT, LLC	 		 	SPECTRUM EASTPORT, LLC
		 		 		 	WCI COMMUNITIES RIVINGTON, LLC
					
	By:	 	WCI COMMUNITIES, INC, its sole member	 		 	By:	 	WCI COMMUNITIES, LLC, their sole member
					
	By:	 	     /s/ Mark Sustana
	 		 	By:	 	     /s/ Mark Sustana

		 	Mark Sustana, Vice President	 		 		 	Mark Sustana, Vice President
				
	WCI TOWERS NORTHEAST USA, INC.	 		 		 	
	WATERMARK REALTY REFERRAL, INC.	 		 		 	
	WCI REALTY, INC.	 		 		 	
	WATERMARK REALTY, INC.	 		 		 	
					
	By:	 	     /s/ Mark Sustana
	 		 		 	
		 	Mark Sustana, Vice PresidentAgreement Amendment #1

 

EXHIBIT 10.9

Agreement Amendment #1

Effective September 16, 2016, this is Amendment # I to the Sponsored Research Contract, fully executed on 3/17/2015, originally signed between the E G Crop Science, Inc. (previously known as Evolutionary Genomics, Inc.), with its principal offices at 1801 Sunset Place, Unit C, Longmont CO 80501 and The Curators of the University of Missouri-Columbia with its principal offices at  115 Business Loop 70W, Room 501, Office of Sponsored Programs Administration, Columbia, Missouri 65211-0001.

The purpose of this Amendment is to revise the sponsored research project entitled "Phenotyping of transgenic soybean samples for response to soybean cyst nematode."

1. This amendment changes the name of Evolutionary Genomics, Inc. to E G Crop Science, Inc.

2. This amendment incorporates the following changes to specific A RTICLES of the original agreement:

ARTICLE 02.  PERIOD OF PERFORMANCE: The period of performance is changed to November 1, 2014 through October 31, 2019.

ARTICLE 03.  PROJECT COSTS/AWARD:  Delete in Its entirety and replace with the following: This is a fixed unit price contract. It ls agreed that the expected total project costs to the Sponsor for this Contract will be $135,000.  The fixed unit price is $20 per plant (including direct and indirect costs). The total amount may increase as the total number of experimental plants analyzed increases.

ARTICLE 04.  IN VOICE SUBMISSION AND PAYMENTS:  Actual payments in the amount of $67,500 have been received as of this amendment (check #1338, received on or around 2/4/16). The University will Invoice on an as needed basis after the pre-payment is exhausted.

The following language is removed completely:  "Within ninety (90) days of the end of the Contract period, the University will provide Sponsor with a final statement of expenditures. Any balance of funds unexpended, if applicable, at the conclusion of the Contract period must be returned to Sponsor."

ARTICLE 14. NOTICES: for the University, add the following contact Information: Send seed and paper seed inventory list to:

Dr. Tri Vuong

Senior Research Scientist 

University of Missouri

1-31 Agriculture Building

Columbia, MO 65211-7140

Office phone:   573-884-4848

Cell phone:   573-529-3095

Email electronic seed inventory list to:   vuongt@missouri.edu

 

3. This amendment deletes the Budget section only outlined in Attachment A, SCOPE OF WORK/BUDGET and replaces it with the following:

Revised Budget:

Cost ls $20.00 per plant including University Overhead.  The budget of $135,000 allows for 6,750 soybean plants (T1, T2 or T3 generation transgenic plants as specified by the Sponsor) to be tested for response to specific SCN races. This includes all experimental material plants and control plants that are also run as part of each experiment. The University and Sponsor may increase the number of plants and the amount of budget upon mutual consent.

All other terms and conditions of the original Agreement remain in effect.

In Witness Whereof, the parties hereto have executed this Agreement in duplicate by proper persons thereunto duly authorized.

MU Project No. 00049300Agreement Amendment #2

 

EXHIBIT 10.10

Agreement Amendment #2

Effective May 20th, 2016, this is Amendment #2 to further amend the Sponsored Research Contract, fully executed on 12124/14 and amended by Amendment #1 on 4/13/16, between the E G Crop Science, Inc. (previously known as Evolutionary Genomics, Inc.),with its principal offices at 1801 Sunset Place, Unit C, Longmont CO 80501 and The Curators of the University of Missouri-Columbia with its principal offices at 115 Business Loop 70W, Mizzou North, Room 501, Office of Sponsored Programs Administration, Columbia, Missouri  65211-0001.

The purpose of this Amendment is to revise the Work Order/Budget (See Attached Schedule A) for the sponsored research project entitled "Development of transgenic soybean (Glycine max) with candidate genes for SCN resistance." This Amendment adds $93,190 for a new total award of $357,310.

This amendment also changes the name of Evolutionary Genomics, Inc. to E G Crop Science, Inc.

All other terms and conditions of the original Agreement remain in effect.

In Witness Whereof, the parties hereto have executed this Agreement in duplicate by proper persons thereunto duly authorized.

MU Project No. 00048381

 

Second Amendment for Fee for Service Agreement

Schedule A

Work Order

Related to Fee for Service Agreement

Between University of Missouri - Columbia and E G Crop Science, Inc.

Effective Date of _May 20h, 2016

NOTE: In the event of any conflict with the terms of a Work Order and the terms of the Agreement, the terms of the Agreement will control.

SCOPE OF WORK I BUDGET

Title of the Service Project

Development of transgenic soybean (Glycine max) with candidate genes for SCN resistance:

First Amendment

Overall goals:

To develop transgenic soybean events carrying genes of interest for soybean cyst ·nematode resistance analysis

The specific objectives of this project are to:

Make 11 new constructs carrying SCN genes driven by Gmubi917 promoter (see the following section for construct construction)

Produce and identify at least 6 inheritable events for each SCN gene from either 6 existing constructs (see original agreement) or new constructs (see Construct designs section below) with at least 100 seeds per event.

Analyze primary (T0) transgenic soybean plants using herbicide leaf-painting. The events to be analyzed will include not only new events produced from the above described constructs specified in this second amendment but also the Williams 82 events produced from existing EG constructs specified in the original agreement.

Analyze progeny plants (T1) of primary transgenic plants using leaf-painting to determine transgene inheritance and estimate the number of transgene loci. Those events whose SCN

 

genes will have passed to the progeny will be sent to Dr. Henry Nguyen's lab for SCN screening. Only those constructs whose transgenic soybean events will display desirable SCN resistant phenotypes will be advanced to T2 generation to obtain homozygous lines for further SCN tests by Dr. Henry Nguyen’s lab.

Three lines (T1) of each T0 event that has transmitted the transgene and display desirable SCN resistance phenotypes will be analyzed by real-time PCR to confirm transgene expression as well as Southern blot. Then, 10 progeny plants (T1) of each event carrying transgene will be advanced to T2 seeds.

Analyze T2 plants from each of the 10 T1 lines to identify at least 1 homozygous line for each event using leaf-painting. This homozygous line will be advanced to T3 seeds. If an extra homozygous line could be obtained out of 10 T1 lines, it would be kept as a backup and advanced to T3 seeds.

In case the selectable marker gene, bar, is suppressed to such a level that progeny analysis by leaf painting would not be feasible, PCR would be used to determine the segregation to identify the T2 homozygous lines.

Methods:

Construct designs:

The Facility/University will provide newly built construct, pMU104, for the 11 new SCN constructs while E G Crop Science (hereafter called "Client") will provide amplicons (within cloning vector) for the 10 new SCN genes of interest along with restriction maps. These 10 SCN genes include existing 5 SCN genes (EGI to EG5) and 5 new SCN genes (E07, E08. EG9, EG10 and EG11) (Appendix 1). This new construct carries soybean Gmubi917 promoter driving SCN genes and NOS promoter driving bar gene. Use of Gmubi917 promoter will further secure success in SCN resistance phenotype and use of NOS promoter will minimize risk of too strong expression of bar gene leading to high escape rate. The Facility/University will assemble and clone the desired expression cassettes for the genes of interest into the pMU104. All genes of interest are listed in Appendix 1. If the amplicons wouldn't be suitable for the cloning work, Facility will synthesize or PCR amplify the amplicons to fit the cloning work.

Mobilization and confirmation of constructs:

All new SCN constructs as well as empty control construct will be mobilized into Agrobacterium tumefaciens and verified for their integrity by plasmid rescue and restriction enzyme digest.

Development of transgenic soybean events and transformation system:

The Facility will start transformation experiments as outlined in the time-table for milestone work until the expected number of experiments are started. Facility will use soybean genotype

 

"Magellan" as transformation material and will employ its most recent Agrobacterium tumefaciens-mediated soybean transformation system (Zhang et al., unpublished) to develop transgenic soybean events. This system was derived from the protocols described previously (Zhang et al., 1999, Plant Cell, Tissue, and Organ Culture 56:37-46; Ohloft et al., 2003, Planta 216:723 -735; Zeng et al., 2004, Plant Cell Reports 22:478-482) and is now capable of delivery foreign genes into various soybean genotypes. The time frame for each independent experiment from the start to the T1 seed harvest is about 10 to 12 months, dependent on the plant growing seasons and the impact of the transgene on plant growth and development. The Facility will manage to shorten the time-frame during the greenhouse growth phase wherever possible and as long as the seed production won't be reduced to less than 50 seeds per event to secure SCN assays and obtaining T3 homozygous seeds.

Experimental design and deliverables:

A series of coordinated, consecutive transformation experiments will be conducted to generate the desired transgenic events. Based on Facility's previous experience, an empty construct will be required side by side with the constructs carrying the genes of interest in transformation experiments to help evaluate the impact of the genes of interest on SCN resistance, and/or plant transformation and regeneration process, as well as transgene inheritance. Each independent experiment will start with 400 explants and multiple independent experiments will be started for the six existing constructs (including pZY101.2 empty control) as well as 8 newly built constructs (including one new pMU106 empty control). Based on previous experience with the Facility binary construct backbone, this should generate sufficient number (minimal 6) of TO primary transgenic events per SCN gene successfully transferred to the greenhouse. Of these events, at least 6 will be inheritable event for each SCN gene. We anticipate an average of at least 100 seeds per event. The time frames for the milestone work are listed below and require a good coordination between Client and the Facility. To facilitate good coordination, monthly update phone-calls will be scheduled between the Facility and the Client.

For herbicide screen leaf-painting, glufosinate solution (100mg/L or higher) will be applied to young, fully-expended leaves of young plants and results will be taken 5-7 days afterwards. ·For Southern blot analysis, young, fully-expended leaves of young plants will be sampled. CTAB genomic DNA ex1raction protocol or commercial kits will be used and genomic DNA will be cut with the restriction enzyme that will cut only once within the T-DN allowing to identify the number of transgene loci. Radiative P-32 will be used to label the probe to detect transgene insert.

For real-time PCR, primers will be designed based on the sequences provided by E G Crop Science, Inc. Reference gene suitable for transcript analysis of various soybean tissues will be 60s/ELF1b or equally effective alternative reference gene.

For progeny analysis to determine transgene inheritance, segregation ratio, and identify homozygous lines, at least 18 progeny plants from each parental line will be analyzed by

 

herbicide screen. If no segregation in T2 plants of T1 parental lines is found, at least additional 20 T2 plants of each line will be analyzed by the leaf-painting to confirm the homozygosity.

At least one homozygous T2 line per event will be advanced to T3 seeds for down-stream SCN assays by another lab. We anticipate average of at least 100 T3 seeds (lines) of each event will be available for SCN assays.

Staff and Facility Resources

The Facility has the capacity to complete this project For this project one post-doctoral associate who is skillful in molecular biology study including project needed molecular bench work, one full-time Research Specialist who specializes in soybean transformation and one greenhouse manager who specializes in greenhouse management, plant care, and progeny segregation analysis will contribute to this project to secure the success. Located in the Sears Plant Growth Facility greenhouse, the facility has spacious growth rooms, culture incubators, and greenhouse room that are specifically assigned for soybean and other crop tissue culture and greenhouse growth.

Time-table for transformation work (excluding cloning work and progeny analysis)

			
	

Task Name

	Earliest delivery

in weeks

	Latest delivery

in weeks

	Total time from transformation of soybean cot-node

	

80

	

119

	to T3 seeds

 

	Seed germination

 

	1

	1

	Co-cultivation

 

	1

	1

	Shoot induction

 

	4

	4

	Shoot elongation

 

	6

	18

	Rooting

 

	3

	6

	Acclimatization

 

	3

	4

	Greenhouse

 

	17

	24

	Harvest Tl seeds

 

	1

	1

	Tl analysis and harvest T2 seeds

 

	12

	30

	T2 analysis and harvest T3 seeds

 

	22

	30

	Delivery o/ T3 seeds to SCN team (Final Milestone)

 

Continued from the last step of the above table, it will take average 6 months from planting T1 seeds to harvesting T2 seeds. Then, 1-2 months “drying seeds” will be needed to secure T2 seed germination for progeny test. Next, it will require another average 6-7 months to obtain T3 seeds while T2 homozygous lines of T1 lines of each T0 events will be identified. In total, at least one year will be needed from planting T1 seeds to harvesting T3 seeds.

Budget (milestone payments):

The amount of this amendment request of $93,190 and a new total award of $357,310. The payment schedule for funds issued under this amendment is as follows:

			
	$55,914

	Upon full execution of this amendment.

	  11/1/16

	 
	 
	Initials and date

	 
	 
	 

	$37,276

	Upon completion of Final Milestone.

	 

Payment will be made within 30 days of invoice

Within ninety (90) days of the end of the Contract period, Facility will provide Client with a final written report containing the following information pertaining to the conduct of this Work Order:

·

Metrics collected for each construct; total explants treated, total explants lost to contamination, total rooted lines sent to the greenhouse, total number of events per construct, average seed set per plant and frequency of soybean escapes or chimeric plants, as well as Southern blot and qRT-PCR results.

Appendix 1: Constructs carrying genes for functional analysis

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