Document:

gden-ex106_490.htm

EXHIBIT 10.6

GOLDEN ENTERTAINMENT, INC.

2015 INCENTIVE AWARD PLAN

RESTRICTED STOCK UNIT AWARD GRANT NOTICE AND
RESTRICTED STOCK UNIT AWARD AGREEMENT

Golden Entertainment, Inc., a Minnesota corporation (the “Company”), pursuant to its 2015 Incentive Award Plan (the “Plan”), hereby grants to the individual listed below (“Participant”), an award of restricted stock units (“Restricted Stock Units” or “RSUs”) with respect to up to the maximum number of shares of the Company’s common stock (the “Shares”) set forth below.  This award for Restricted Stock Units (this “RSU Award”) is subject to all of the terms and conditions as set forth herein and in the Restricted Stock Unit Award Agreement attached hereto as Exhibit A (the “Restricted Stock Unit Agreement”) and the Plan, each of which are incorporated herein by reference.  Unless otherwise defined herein, the terms defined in the Plan shall have the same defined meanings in this Grant Notice and the Restricted Stock Unit Agreement.

		
	
Participant:
	
 

	
Grant Date:
	
 

	
“Target” Number of RSUs:
	
 

	
“Maximum” Number of RSUs:
	
 

	
Distribution Schedule:
	
Subject to the terms of the Restricted Stock Unit Agreement, the RSUs shall be distributable as they vest pursuant to the Vesting Schedule below, in accordance with Section 2.1(c) of the Restricted Stock Unit Agreement.

	
Vesting Schedule:
	
Subject to the terms of the Restricted Stock Unit Agreement, the RSUs shall vest as set forth in Exhibit B attached hereto.

	
 
	
 

By his or her signature below, Participant agrees to be bound by the terms and conditions of the Plan, the Restricted Stock Unit Agreement and this Grant Notice.  Participant has reviewed the Restricted Stock Unit Agreement, the Plan and this Grant Notice in their entirety, has had an opportunity to obtain the advice of counsel prior to executing this Grant Notice and fully understands all provisions of this Grant Notice, the Restricted Stock Unit Agreement and the Plan. Participant has been provided with a copy or electronic access to a copy of the prospectus for the Plan. Participant hereby agrees to accept as binding, conclusive and final all decisions or interpretations of the Administrator upon any questions arising under the Plan, this Grant Notice or the Restricted Stock Unit Agreement.  

Participant understands and agrees that this RSU Award does not alter the at-will nature of his or her employment relationship with the Company and is not a promise of continued employment for the vesting period of the RSU Award or any portion of it.  

The Plan, this Grant Notice and the Restricted Stock Unit Agreement constitute the entire agreement of the parties and supersede in their entirety all oral, implied or written promises, statements, understandings, undertakings and agreements between the Company and Participant with respect to the subject matter hereof, including without limitation, the provisions of any employment agreement or offer letter regarding equity awards to be awarded to Participant by the Company, or any other oral, implied or written promises, statements, understandings, undertakings or agreements by the Company or any of its representatives regarding equity awards to be awarded to Participant by the Company.

						
	
GOLDEN ENTERTAINMENT, INC.
	
 
	
Participant
	
 

	
By:
	
   
	
 
	
By:
	
 
	
 

	
Print Name:
	
   
	
 
	
Print 
	
 
	
 

	
Title:
	
   
	
 
	
Name:
	
   
	
 

 

 

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EXHIBIT A

TO RESTRICTED STOCK UNIT AWARD GRANT NOTICE

RESTRICTED STOCK UNIT AWARD AGREEMENT

Pursuant to the Grant Notice to which this Restricted Stock Unit Award Agreement (this “Agreement”) is attached, the Company has granted to Participant the right to receive up to the maximum number of RSUs set forth in the Grant Notice. 

ARTICLE I.
GENERAL

1.1Defined Terms.  Capitalized terms not specifically defined herein shall have the meanings specified in the Plan and the Grant Notice.

1.2Incorporation of Terms of Plan.  The RSU Award is subject to the terms and conditions set forth in this Agreement and the Plan, which is incorporated herein by reference.  In the event of any inconsistency between the Plan and this Agreement, the terms of the Plan shall control.

ARTICLE II.
award of restricted stock units

2.1Award of Restricted Stock Units.  

(a)Award.  In consideration of Participant’s past and/or continued employment with or service to the Company or any Subsidiary and for other good and valuable consideration, the Company hereby grants to Participant the right to receive up to the maximum number of RSUs set forth in the Grant Notice, subject to all of the terms and conditions set forth in this Agreement, the Grant Notice and the Plan.  Prior to actual issuance of any Shares, the RSUs and the RSU Award represent an unsecured obligation of the Company, payable only from the general assets of the Company.

(b)Vesting.  The RSUs subject to the RSU Award shall vest in accordance with the Vesting Schedule set forth in the Grant Notice.  Unless and until the RSUs have vested in accordance with the Vesting Schedule set forth in the Grant Notice, Participant will have no right to any distribution with respect to such RSUs.  Except as otherwise provided in Exhibit B, in the event of Participant’s Termination of Service prior to the vesting of all of the RSUs, any unvested RSUs will terminate automatically without any further action by the Company and be forfeited without further notice and at no cost to the Company.  

(c)Distribution of Shares. 

(i)Shares of Common Stock shall be distributed to Participant (or in the event of Participant’s death, to his or her estate) with respect to such Participant’s vested RSUs within fifteen (15) days following the vesting date of the RSUs as specified in the Vesting Schedule set forth in the Grant Notice, subject to the terms and provisions of the Plan and this Agreement.  

(ii)All distributions shall be made by the Company in the form of whole shares of Common Stock.  In lieu of any fractional share of Common Stock, the Company shall make a 

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cash payment to Participant equal to the Fair Market Value of such fractional share on the date the RSUs are settled pursuant to this Section 2.1.

(iii)Neither the time nor form of distribution of Common Stock with respect to the RSUs may be changed, except as may be permitted by the Administrator in accordance with the Plan and Section 409A of the Code and the Treasury Regulations thereunder.

2.2Tax Withholding.  Notwithstanding any other provision of this Agreement (including, without limitation, Section 2.1(b) hereof): 

(a)The Company and its Subsidiaries have the authority to deduct or withhold from other compensation then due and  payable to Participant, or to require Participant to remit to the Company or the applicable Subsidiary, an amount sufficient to satisfy applicable federal, state, local and foreign taxes (including the Employee’s portion of any FICA obligation) required by Applicable Law to be withheld with respect to any taxable event arising from the vesting of the RSUs or the receipt of the Shares upon settlement of the RSUs.  Participant may, at his or her election, satisfy the tax withholding obligation in one or more of the forms specified below: 

 

(i) by cash or check made payable to the Company or the Subsidiary with respect to which the withholding obligation arises; 

 

(ii) by the deduction of such amount from other compensation then due and payable to Participant; 

 

(iii) by requesting that the Company withhold a net number of vested Shares otherwise issuable pursuant to the RSUs having a then current Fair Market Value not exceeding the amount necessary to satisfy the withholding obligation of the Company and its Subsidiaries based on the minimum applicable statutory withholding rates for federal, state, local and foreign income tax and payroll tax purposes;

 

(iv) by tendering vested shares of Common Stock having a then current Fair Market Value not exceeding the amount necessary to satisfy the withholding obligation of the Company and its Subsidiaries based on the minimum applicable statutory withholding rates for federal, state, local and foreign income tax and payroll tax purposes; or 

 

(v) in any combination of the foregoing.

 

(b)In the event Participant fails to provide timely payment of all sums required pursuant to Section 2.2(a), the Company shall satisfy Participant’s required payment obligation pursuant to Section 2.2(a)(iii) above.  The Company shall not be obligated to deliver any certificate representing Shares issuable with respect to the RSUs to Participant or his or her legal representative unless and until Participant or his or her legal representative shall have paid or otherwise satisfied in full the amount of all federal, state, local and foreign taxes applicable with respect to the taxable income of Participant resulting from the grant of the RSUs, the distribution of the Shares issuable with respect thereto, or any other taxable event related to the RSUs, provided that no payment shall be delayed under this Section 2.2(b) if such delay will result in the imposition of taxes or penalties under Section 409A of the Code.

 

2.3Conditions to Issuance of Shares.  The Company shall not be required to issue or deliver any Shares issuable upon the vesting of the RSUs prior to the fulfillment of all of the following conditions:  

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(a) the admission of the Shares to listing on all stock exchanges on which such Shares are then listed; 

(b) the completion of any registration or other qualification of the Shares under any state or federal law or under rulings or regulations of the U.S. Securities and Exchange Commission or other governmental regulatory body, which the Administrator shall, in its sole and absolute discretion, deem necessary and advisable; 

(c) the obtaining of any approval or other clearance from any state or federal governmental agency that the Administrator shall, in its absolute discretion, determine to be necessary or advisable; 

(d)the lapse of any such reasonable period of time following the date the RSUs vest as the Administrator may from time to time establish for reasons of administrative convenience, subject to Section 409A of the Code and the Treasury Regulations and other guidance issued thereunder; and 

(e) the receipt by the Company of full payment of any applicable withholding tax in any manner permitted under Section 2.2 above.  

2.4Forfeiture and Claw-Back Provisions.  Participant hereby acknowledges and agrees that the RSU Award is subject to the provisions of Section 10.5(b) of the Plan.

ARTICLE III.
other provisions

3.1Administration.  The Administrator shall have the power to interpret the Plan, the Grant Notice and this Agreement and to adopt such rules for the administration, interpretation and application of the Plan, the Grant Notice and this Agreement as are consistent therewith and to interpret, amend or revoke any such rules.  All actions taken and all interpretations and determinations made by the Administrator will be final and binding upon Participant, the Company and all other interested persons.  To the extent allowable pursuant to Applicable Law, no member of the Administrator will be personally liable for any action, determination or interpretation made with respect to the Plan, the Grant Notice or this Agreement. 

3.2RSU Award and Interests Not Transferable.  This RSU Award and the rights and privileges conferred hereby, including the RSUs awarded hereunder, shall not be liable for the debts, contracts or engagements of Participant or his or her successors in interest nor shall they be subject to disposition by transfer, alienation, anticipation, pledge, encumbrance, assignment or any other means whether such disposition be voluntary or involuntary or by operation of law by judgment, levy, attachment, garnishment or any other legal or equitable proceedings (including bankruptcy), and any attempted disposition thereof shall be null and void and of no effect.

3.3Rights as Stockholder.  Neither Participant nor any person claiming under or through Participant shall have any of the rights or privileges of a stockholder of the Company in respect of any Shares issuable hereunder unless and until certificates representing such Shares (which may be in book-entry form) shall have been issued and recorded on the books and records of the Company or its transfer agents or registrars, and delivered to Participant (including through electronic delivery to a brokerage account).   No adjustment will be made for a dividend or other right for which the record date is prior to the date of such issuance, recordation and delivery, except as provided in Article 12 of the Plan. After such issuance, recordation and delivery, Participant shall have all the rights of a stockholder of the Company, 

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including with respect to the right to vote the Shares and the right to receive any cash or share dividends or other distributions paid to or made with respect to the Shares. 

3.4Adjustments.  Participant acknowledges that the RSU Award, including the vesting of the RSU Award and the number of Shares subject to the RSU Award, is subject to adjustment in the discretion of the Administrator upon the occurrence of certain events as provided in this Agreement and Article 12 of the Plan.

3.5Not a Contract of Employment or other Service Relationship.  Nothing in this Agreement or in the Plan shall confer upon Participant any right to continue to serve as an employee or other service provider of the Company or any of its affiliates.  Participant understands and agrees that this RSU Award does not alter the at-will nature of his or her employment relationship with the Company and is not a promise of continued employment for the vesting period of the RSU Award or any portion of it.

3.6Conformity to Securities Laws.  Participant acknowledges that the Plan, the Grant Notice and this Agreement are intended to conform to the extent necessary with all Applicable Laws, including, without limitation, the provisions of the Securities Act and the Exchange Act and any and all regulations and rules promulgated thereunder by the Securities and Exchange Commission, and state securities laws and regulations. Notwithstanding anything herein to the contrary, the Plan shall be administered, and the RSUs are granted and may be settled, only in such a manner as to conform to Applicable Law. To the extent permitted by Applicable Law, the Plan, the Grant Notice and this Agreement shall be deemed amended to the extent necessary to conform to Applicable Law.

3.7Amendment, Suspension and Termination.  To the extent permitted by the Plan, this Agreement may be wholly or partially amended or otherwise modified, suspended or terminated at any time or from time to time by the Administrator, provided, that, except as may otherwise be provided by the Plan, no amendment, modification, suspension or termination of this Agreement shall impair any rights or obligations under this Agreement in any material way without the prior written consent of Participant.

3.8Notices.  Any notice to be given under the terms of this Agreement to the Company shall be addressed to the Company in care of the Secretary of the Company at the Company's principal office, and any notice to be given to Participant shall be addressed to Participant at Participant's last address reflected on the Company's records. By a notice given pursuant to this Section 3.8, either party may hereafter designate a different address for notices to be given to that party. Any notice shall be deemed duly given when sent via email (if to Participant) or when sent by certified mail (return receipt requested) and deposited (with postage prepaid) in a post office or branch post office regularly maintained by the United States Postal Service.

3.9Successors and Assigns.  The Company may assign any of its rights under this Agreement to single or multiple assignees, and this Agreement shall inure to the benefit of the successors and assigns of the Company. Subject to the restrictions on transfer set forth herein and the Plan, this Agreement shall be binding upon and inure to the benefit of the heirs, legatees, legal representatives, successors and assigns of the parties hereto.

3.10Section 409A.  

(a)Notwithstanding any other provision of the Plan, this Agreement or the Grant Notice, the Plan, this Agreement and the Grant Notice shall be interpreted in accordance with, and incorporate the terms and conditions required by, Section 409A of the Code (together with any Department of Treasury regulations and other interpretive guidance issued thereunder, including without limitation any such regulations or other guidance that may be issued after the Grant Date, “Section 409A”).  The 

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Administrator may, in its discretion, adopt such amendments to the Plan, this Agreement or the Grant Notice or adopt other policies and procedures (including amendments, policies and procedures with retroactive effect), or take any other actions, as the Administrator determines are necessary or appropriate to comply with the requirements of Section 409A.  

(b)This Agreement is not intended to provide for any deferral of compensation subject to Section 409A of the Code, and, accordingly, the Shares issuable pursuant to the RSUs hereunder shall be distributed to Participant no later than the later of:  (i) the fifteenth (15th) day of the third month following Participant’s first taxable year in which such RSUs are no longer subject to a substantial risk of forfeiture, and (ii) the fifteenth (15th) day of the third month following first taxable year of the Company in which such RSUs are no longer subject to substantial risk of forfeiture, as determined in accordance with Section 409A and any Treasury Regulations and other guidance issued thereunder. 

(c)For purposes of Section 409A of the Code (including, without limitation, for purposes of Treasury Regulation Section 1.409A-2(b)(2)(iii)), each payment that Participant may be eligible to receive under this Agreement shall be treated as a separate and distinct payment. 

3.11Tax Representations.  Participant has reviewed with Participant’s own tax advisors the federal, state, local and foreign tax consequences of this investment and the transactions contemplated by the Grant Notice and this Agreement.  Participant is relying solely on such advisors and not on any statements or representations of the Company or any of its agents. Participant understands that Participant (and not the Company) shall be responsible for Participant’s own tax liability that may arise as a result of this investment or the transactions contemplated by this Agreement. 

3.12Titles.  Titles are provided herein for convenience only and are not to serve as a basis for interpretation or construction of this Agreement.

3.13Governing Law; Severability.  The laws of the State of Minnesota shall govern the interpretation, validity, administration, enforcement and performance of the terms of this Agreement regardless of the law that might be applied under principles of conflicts of laws. Should any provision of this Agreement be determined by a court of law to be illegal or unenforceable, the other provisions shall nevertheless remain effective and shall remain enforceable.

3.14Limitations Applicable to Section 16 Persons. Notwithstanding any other provision of the Plan or this Agreement, if Participant is subject to Section 16 of the Exchange Act, the RSUs, the Plan and this Agreement shall be subject to any additional limitations set forth in any applicable exemptive rule under Section 16 of the Exchange Act (including any amendment to Rule 16b-3 of the Exchange Act) that are requirements for the application of such exemptive rule. To the extent permitted by Applicable Law, this Agreement shall be deemed amended to the extent necessary to conform to such applicable exemptive rule.

3.15Entire Agreement.  The Plan, the Grant Notice and this Agreement (including any exhibits and schedules hereto) constitute the entire agreement of the parties and supersede in their entirety all prior undertakings and agreements of the Company and Participant with respect to the subject matter hereof.  

3.16Limitation on Participant's Rights.  Participation in the Plan confers no rights or interests other than as herein provided.  This Agreement creates only a contractual obligation on the part of the Company as to amounts payable and shall not be construed as creating a trust.  Neither the Plan nor any underlying program, in and of itself, has any assets.  Participant shall have only the rights of a general unsecured creditor of the Company with respect to amounts credited and benefits payable, if any, with 

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respect to the RSUs, and rights no greater than the right to receive the Common Stock as a general unsecured creditor.

3.17Counterparts.  The Grant Notice may be executed in one or more counterparts, including by way of any electronic signature, subject to Applicable Law, each of which shall be deemed an original and all of which together shall constitute one instrument.

3.18Paperless Administration.  By accepting this RSU Award, Participant hereby agrees to receive documentation related to the RSU Award by electronic delivery, such as a system using an internet website or interactive voice response, maintained by the Company or a third party designated by the Company.

[Remainder of Page Intentionally Left Blank]

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EXHIBIT B

TO RESTRICTED STOCK UNIT AWARD GRANT NOTICE

RESTRICTED STOCK UNIT AWARD AGREEMENT

vesting schedule

Capitalized terms used in this Exhibit B and not defined in Section 3 below shall have the meanings given them in the Restricted Stock Unit Agreement to which this Exhibit B is attached.

[To be specified in individual agreements]

B-1

US-DOCS\101190362.1Exhibit 10.1

 

AMENDMENT AGREEMENT TO ADD SERIES OF
THE TRUST TO

TO THE MARKETING AGENT AGREEMENT

 

This Amendment to the
Marketing Agent Agreement dated as of May 2, 2018 (this “Amendment”), is made and entered into by and among UNITED
STATES COMMODITY FUNDS LLC, a Delaware limited liability company (the “Sponsor”), the UNITED STATES COMMODITY
INDEX FUNDS TRUST, a Delaware statutory trust (the “Trust”), on its own behalf and on behalf of the UNITED
STATES COMMODITY INDEX FUND, UNITED STATES AGRICULTURE INDEX FUND, UNITED STATES COPPER INDEX FUND and
USCF Canadian Crude Oil Index Fund (each, a “Fund”), and ALPS DISTRIBUTORS, INC. (the “Marketing
Agent Agreement”) (each, a “Party” and collectively, the “Parties”).

 

WHEREAS, the Parties
have entered into a certain Marketing Agent Agreement dated July 22, 2010, as amended and subject to the Assignment Agreement dated
September 20, 2011 (the “Agreement”); and

 

WHEREAS, the Parties
hereto desire to amend the Agreement as provided herein by amending Annex A of the Agreement and supplementing the Agreement with
the attached Schedule 1-D to this Amendment.

 

NOW THEREFORE, for
and in consideration of the agreements herein made and other good and valuable consideration, the Parties hereto agree as follows:

 

I.        AMENDMENTS

 

The Agreement is hereby
amended by making the following change to Annex A thereto:

 

LIST OF SERIES TRUST(S) ESTABLISHED

BY THE UNITED STATES COMMODITY INDEX
FUNDS TRUST

 

	 	Fund	
        Relevant Schedule 

	 	 	 
	1.	United States Commodity Index Fund	
        Schedule 1 to this Agreement 

	2.	United States Agriculture Index Fund	
        Schedule 1-B to the Amendment Agreement dated as of
January 3, 2011 

	3.	United States Copper Index Fund	
        Schedule 1-C to the Amendment Agreement dated as of
January 3, 2011 

	4.	USCF Canadian Crude Oil Index Fund	Schedule 1-D to the Amendment Agreement dated as of May 2, 2018

 

The Parties acknowledge
that Schedule 1-D shall supplement and not supersede any other Schedules of the Agreement.

 

II.        REPRESENTATIONS

 

Each Party represents to the other Parties
that:

 

(a)       Status.
It is duly organized and validly existing under the laws of the jurisdiction of its organization or incorporation and, if relevant
under such laws, in good standing;

 

     

     

    

 

(b)       Powers.
It has the power to execute and deliver this Amendment and to perform its obligations hereunder, and has taken all necessary action
to authorize such execution, delivery and performance;

 

(c)       No
Violation or Conflict. Such execution, delivery and performance do not violate or conflict with any law applicable to it, any
provision of its constitutional documents, any order or judgment of any court or other agency of government applicable to it or
any of its assets or any contractual restriction binding on or affecting it or any of its assets;

 

(d)       Consents.
All governmental and other consents that are required to have been obtained by it with respect to this Amendment have been obtained
and are in full force and effect and all conditions of any such consents have been complied with; and

 

(e)       Obligations
Binding. Its obligations under this Amendment constitute its legal, valid and binding obligations, enforceable in accordance
with its respective terms (subject to applicable bankruptcy, reorganization, insolvency, moratorium or similar laws affecting creditors’
rights generally and subject, as to enforceability, to equitable principles of general application (regardless of whether enforcement
is sought in a proceeding in equity or at law)).

 

III.        MISCELLANEOUS

 

(a)       Entire
Agreement. The Amendment constitutes the entire agreement and understanding of the Parties with respect to its subject matter
and supersedes all oral communication and prior writings (except as otherwise provided herein) with respect thereto.

 

(b)       Counterparts.
This Amendment may be executed in multiple counterparts, each of which when executed and delivered shall be deemed to be an original
and all of which taken together shall constitute but one and the same instrument.

 

(c)       Headings.
The headings used in this Amendment are for convenience of reference only and are not to affect the construction of or to be taken
into consideration in interpreting this Amendment.

 

(d)       Governing
Law. This Amendment shall be governed by and construed in accordance with the laws of the State of New York.

 

(e)       Terms.
Terms used in this Amendment, unless otherwise defined herein, shall have the meanings ascribed to them in the Agreement.

 

(f)       Agreement.
 Any and all references to the Agreement shall hereafter refer to the Agreement as amended by this Amendment and as the same
may be amended, supplemented or modified from time to time. Unless otherwise defined herein, capitalized terms not defined herein
shall have the same meanings assigned to such terms in the Agreement as amended by this Amendment.

 

Except as amended hereby,
all other terms and conditions of the Agreement shall remain the same and in full force and effect.

 

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IN WITNESS WHEREOF,
the parties hereto have executed this Amendment effective as of the date first written above.

 

	UNITED STATES COMMODITY FUNDS LLC	 
	 	 	 
	By:	/s/ John Love	 
	 	Name: John P. Love	 
	 	Title: President and CEO	 

 

UNITED STATES COMMODITY FUNDS LLC, as Sponsor, on behalf
of UNITED STATES COMMODITY INDEX FUNDS TRUST, and on behalf of the United States Commodity Index Fund, United States Agriculture
Index Fund, United States Copper Index Fund and USCF Canadian Crude Oil Index Fund

 

	By:	/s/ John Love	 
	 	Name: John P. Love	 
	 	Title: President and CEO	 
	 	 	 
	 	 	 
	ALPS DISTRIBUTORS INC.	 
	 	 	 
	By:	/s/ Steven Price	 
	 	Name: 	Steven B. Price	 
	 	Title: 	SVP & Director of Distribution Services	 
	 	Address: 	1290 Broadway, Suite 1100	 
	 	 	Denver, CO 80203	 
	 	Telephone:	720-917-0797	 
	 	Facsimile:	 	 

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SCHEDULE 1-D

TO THE AMENDMENT AGREEMENT DATED May 2, 2018

 

DEFINED TERMS RELATING TO 

USCF
Canadian Crude Oil Index Fund

 

Benchmark Component Futures Contracts
shall mean: the ICE Crude Diff - TMX WCS 1B Index Future (ICE symbol: TDX) (the “WCS Futures”) and the ICE WTI Crude
Future (ICE symbol: T) (the “WTI Futures”) that comprise the Canadian Crude Excess Return Index (“CCIER”)
(as all such terms are defined in the Prospectus).

 

The Fund shall mean USCF Canadian Crude Oil Index
Fund.

 

Preliminary Prospectus means
the preliminary prospectus dated June 16, 2016, relating to the Units and any other prospectus dated prior to effectiveness of
the Registration Statement relating to the Units.

 

Registration Statement means,
except when otherwise specified, the Fund’s registration statement on Form S-1 (File No. 333-212089) filed by the Sponsor
with the Commission as amended when it becomes effective under the 1933 Act, including all documents filed as a part thereof,
and as amended from time to time.

 

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