Document:

Exhibit 10.1

 

AMENDED AND RESTATED DIVIDEND REINVESTMENT
PLAN

OF

NMF SLF I, INC.

 

NMF SLF I, Inc., a Maryland corporation (the
 “Corporation”), previously adopted the Dividend Reinvestment Plan on March 24, 2021 (the “Prior Plan”)
with respect to net investment income dividends and capital gains distributions declared by its Board of Directors on shares of its Common
Stock, par value $0.001 per share (the “Common Stock”). Pursuant to Section 11 of the Prior Plan, on August 16,
2022, the Corporation adopted the following Amended and Restated Dividend Reinvestment Plan (the “Plan”). Pursuant
to Section 11, the effective date of the Plan shall be September 18, 2022.

 

1. Unless a stockholder specifically elects to
receive some or all of a dividend or distribution in cash as set forth below, all net investment income dividends and all capital gains
distributions hereafter declared by the Board of Directors shall be payable in shares of the Common Stock of the Corporation, and no action
shall be required on such stockholder’s part to receive a dividend or a distribution in stock.

 

2. Such net investment income dividends and capital
gains distributions shall be payable on such date or dates as may be fixed from time to time by the Board of Directors to stockholders
of record at the close of business on the record date(s) established by the Board of Directors for the net investment income dividend
and/or capital gains distribution involved.

 

3. The Corporation shall use only newly-issued
shares of its Common Stock to implement the Plan. The number of shares to be issued to a stockholder that has not elected to have all
or a portion of its dividends or distributions in cash in accordance with paragraph 4 (each, a “Participant”) shall
be determined by dividing the total dollar amount of the dividend or distribution payable to such Participant by the net asset value per
share as of the last day of the Company’s fiscal quarter immediately preceding the date such dividend or distribution was declared
(the “Reference NAV”); provided that in the event a dividend or distribution is declared on the last day of a fiscal
quarter, the Reference NAV shall be deemed to be the net asset value per share as of such day.

 

4. A stockholder may elect from time to time to
receive any portion of his or its net investment income dividends and capital gains distributions in cash. To exercise this option, such
stockholder shall notify American Stock Transfer and Trust Company, LLC, the plan administrator and the Corporation’s transfer agent
and registrar (referred to as the “Plan Administrator”), in writing or through the internet at www.amstock.com or the
toll free number (888) 333-0212 so that such notice is received by the Plan Administrator no later than the day before the start of the
quarterly period for which the stockholder desires to receive some or all of his or its net investment income dividends and capital gains
distributions in cash. Such notice, including the percentage of any net investment income dividends and capital gains distributions desired
to be received in cash, shall apply to each dividend or distribution declared by the Company during any quarterly period going forward.
Such election shall remain in effect (without the requirement to confirm the election) until the stockholder shall notify the Plan Administrator
in writing of such stockholder’s withdrawal or modification of the election, which notice shall be delivered to the Plan Administrator
no later than the day before the start of the quarterly period for which the stockholder desires to withdraw or modify his or its election.

 

5. The Plan Administrator will set up an account
for shares acquired pursuant to the Plan for each Participant. The Plan Administrator will hold each Participant’s shares, together
with the shares of other Participants, in non-certificated form in the Plan Administrator’s name or that of its nominee. Upon request
by a Participant, received in writing or through the internet at www.amstock.com or the toll free number (888) 333-0212 at any time, the
Plan Administrator will, instead of crediting shares to and/or carrying shares in a Participant’s account, issue, to the Participant,
a certificate registered in the Participant’s name for the number of whole shares payable to the Participant and cash in the form
of a check for any fractional share less a transaction fee of the lesser of (i) $15.00 and (ii) the price of the fractional
share.

 

     

     

    

 

6. The Plan Administrator will confirm to each
Participant each acquisition made pursuant to the Plan as soon as practicable but not later than 30 business days after the date thereof.
Although each Participant may from time to time have an undivided fractional interest (computed to three decimal places) in a share of
Common Stock of the Corporation, no certificates for a fractional share will be issued. However, dividends and distributions on fractional
shares will be credited to each Participant’s account. In the event of termination of a Participant’s account under the Plan,
the Plan Administrator will adjust for any such undivided fractional interest in cash at the market value of the Corporation’s shares
at the time of termination.

 

7. The Plan Administrator will forward to each
Participant any Corporation related proxy solicitation materials and each Corporation report or other communication to stockholders, and
will vote any shares held by it under the Plan in accordance with the instructions set forth on proxies returned by Participants to the
Corporation or the Plan Administrator.

 

8. In the event that the Corporation makes available
to its stockholders rights to purchase additional shares or other securities, the shares held by the Plan Administrator for each Participant
under the Plan will be added to any other shares held by the Participant in certificated form in calculating the number of rights to be
issued to the Participant.

 

9. The Plan Administrator’s service fee,
if any, and expenses for administering the Plan will be paid for by the Corporation for all purchases made.

 

10. Each Participant may terminate his or its account
under the Plan by so notifying the Plan Administrator via its website at www.amstock.com, by filling out the transaction request form
located at the bottom of his or its statement and sending it to the Plan Administrator at American Stock Transfer and Trust Company LLC,
P.O. Box 922, Wall Street Station, New York, NY, 10269-0560, Attn: Plan Administration Department, or by calling the Plan Administrator
at (888) 333-0212. Such termination will be effective immediately if the Participant’s notice is received by the Plan Administrator
more than three days prior to any dividend or distribution payment date. If notice to terminate the Participant’s account is received
less than three days prior to a payment date then that dividend or distribution will be reinvested, but all subsequent dividends and distributions
will be paid out in cash on all balances. The Plan may be terminated by the Corporation upon notice in writing mailed to each Participant
at least 30 days prior to any record date for the payment of any dividend or distribution by the Corporation. Upon any termination, the
Plan Administrator will cause a certificate or certificates to be issued for the full shares held for the Participant under the Plan and
a cash adjustment for any fractional share to be delivered to the Participant without charge to the Participant. If a Participant elects
by his or its written or telephonic or internet notice to the Plan Administrator to have the Plan Administrator sell part or all of his
or its shares and remit the proceeds to the Participant, the Plan Administrator is authorized to deduct a $15.00 transaction fee plus
a $0.10 per share brokerage commission from the proceeds.

 

11. These terms and conditions may be amended or
supplemented by the Corporation at any time but, except when necessary or appropriate to comply with applicable law or the rules or
policies of the Securities and Exchange Commission or any other regulatory authority, only by mailing to each Participant appropriate
written notice at least 30 days prior to the effective date thereof. The amendment or supplement shall be deemed to be accepted by each
Participant unless, prior to the effective date thereof, the Plan Administrator receives written notice of the termination of the Participant’s
account under the Plan. Any such amendment may include an appointment by the Plan Administrator in its place and stead of a successor
agent under these terms and conditions, with full power and authority to perform all or any of the acts to be performed by the Plan Administrator
under these terms and conditions so long as such appointment is approved by the Corporation. Upon any such appointment of any agent for
the purpose of receiving dividends and distributions, the Corporation will be authorized to pay to such successor agent, for each Participant’s
account, all dividends and distributions payable on shares of the Corporation held in the Participant’s name or under the Plan for
retention or application by such successor agent as provided in these terms and conditions.

 

12. Unless otherwise stated herein, all correspondence
concerning the Plan shall be directed to the Plan Administrator by mail at American Stock Transfer and Trust Company LLC, P.O. Box
922, Wall Street Station, New York, NY 10269-0560, or by calling the Plan Administrator, telephonically at (888) 333-0212.

 

     

     

    

 

13. The Plan Administrator will at all times act
in good faith and use its best efforts within reasonable limits to ensure its full and timely performance of all services to be performed
by it under this Plan and to comply with applicable law, but assumes no responsibility and shall not be liable for loss or damage due
to errors unless such error is caused by the Plan Administrator’s negligence, bad faith, or willful misconduct or that of its employees
or agents.

 

14. These terms and conditions shall be governed
by the laws of the State of New York, without regard to the conflicts of law principles thereof, to the extent such principles would require
or permit the application of the laws of another jurisdiction.Exhibit 10.3 

 

AMENDMENT No. 3

 

Whereas, Addex Pharma SA (“Addex”)
and Indivior UK Limited (Co. No. 7183451) (“Indivior”) (each a “Party” and collectively the “Parties”)
entered into an agreement to perform research on GABA B PAM on January 2, 2018 (hereinafter, Agreement), an amendment dated October 30,
2020 (“Amendment 1”), and an amendment with an effective date of May 1, 2021 (“Amendment 2”); and

 

Whereas, Addex is conducting
a funded research activity based on an agreed Research Plan over the period May 1, 2018 to July 31, 2022 and Indivior has committed $12.4
million in research funding over this period; and

 

Whereas, on completion of
the Research Term, no Development Compounds have been identified but the Parties desire to continue the research with a view to identifying
Development Compounds; and

 

Whereas, the Research Term,
as defined in the Agreement, expires on July 31, 2022 pursuant to the terms of Amendment 2; and

 

Now Therefore, in consideration
of the premises and the mutual covenants herein contained, and for other good and valuable consideration, the receipt and sufficiency
of which are hereby acknowledged Addex and Indivior hereby enter into this Amendment No. 3 (this “Amendment”) and agree as
follows:

 

		1.	Definitions. The definitions from the Agreement of January
2, 2018, Amendment 1 dated October 30, 2020 and Amendment 2 effective May 1, 2021 between Addex and Indivior shall be used in this Amendment
and are incorporated herein by reference.

 

		2.	Amendment Effective Date. The effective date of this Amendment shall be August 1, 2022 (“Amendment
Effective Date”). The Parties agree and acknowledge that this Agreement is executed as of the date of last signature below (the
 “Execution Date”) but shall be effective and binding on the Parties as of the Amendment Effective Date.

 

		3.	Initial Research Term Extension. With reference to Section 3.3 of the Agreement, subject to the
provisions of this Amendment, the Parties agree to extend the Research Term until March 31, 2023. Accordingly, Section 1.72 is hereby
deleted and replaced with the following:

 

		a.	“Research Term” means the period commencing on May 1, 2018 and expiring on March 31, 2023
unless the Parties agree to extend the Research Term pursuant to Section 3.3.

 

     

     

    

 

		4.	Contribution to Research Costs. The Parties agreed to extend the Research Term in previous amendments
and agreed upon additional obligations of the Parties in relation to that additional research in Article 3 of Amendment 1 and Article
5 of the Amendment 2. Article 3 of Amendment 1 is hereby incorporated into the Agreement as Section 3.11. Article 5 of Amendment 2 is
hereby incorporated into the Agreement as Section 3.12. The following is hereby incorporated into the Agreement as Section 3.13:

 

		a.	As a contribution to the costs of the research being conducted by Addex as detailed in the Research Plan
in Appendix 1a & 1b, Indivior shall reimburse Addex the sum of up to eight hundred and fifty thousand Swiss Francs (CHF 850,000) for
additional research funding as detailed in Appendix 2c in monthly installments based on activities completed by Addex. The amount of the
above contribution attributable to any Reserved Indication shall be capped at four hundred thousand Swiss Francs (CHF 400,000). The Parties
acknowledge that some activities being paid by the contribution have already been completed. Any additional activities from the date of
the Amendment Effective Date for Reserved Indications shall only be for activities attributable to the Reserved Indications set forth
in Section 1.73(h). The provisions of Section 6.9 of the Agreement shall apply to such payment. Addex shall provide an invoice for the
payment due. Indivior shall support some activities through direct payments to third parties from a separate budget. For the sake of clarity,
the Parties agree that any Know-How or other intellectual property created by any Third Party with whom Indivior contracts or makes payments
for the purposes of the Research Plan shall be Joint Improvements regardless of which Party contributed to such Know-How or intellectual
property and any Patent Rights filed in respect of such Joint Improvements shall be Joint Patent Rights regardless of inventorship.

 

		b.	On or before February 28, 2023, Addex shall deliver to Indivior a report that sets out all of their completed
work to date on the compounds in the course of undertaking the Research Plan up to January 31, 2023 and identifying those which Addex
believes are suitable for further development.

 

		c.	In the event that the costs of undertaking the Research Plan in Appendix 1b, exceed eight hundred and
fifty thousand Swiss Francs (CHF 850,000), the Parties shall discuss the funding of that part of the Research Plan that exceeds such cost
and Addex shall not be in breach of the Agreement if it elects not to undertake any part of the Research Plan that would result in the
costs incurred by it in the Research Plan exceeding eight hundred and fifty thousand Swiss Francs CHF 850,000.

 

		d.	In the event that Indivior does not select any Licensed Compounds on or before March 31, 2023 the Agreement
shall terminate in its entirety on March 31, 2023 and the provisions of Section 10.2 of the Agreement shall not apply.

 

		5.	Amendment of Definition of Reserved Indications. As of the Effective Date of this Amendment, the
definition of Reserved Indications in Section 1.73 of the Agreement shall be deleted in its entirety and replaced by the following:

 

1.73                 “Reserved
Indications” means the following Indications:

 

(a)
              Polyneuropathies and other disorders of the peripheral nervous system (G60 to G64) including
but not limited to Charcot Marie Tooth (G60);

 

(b)
              Cerebral palsy and other paralytic syndromes (G80 to G83) including but not limited to cerebral
palsy (G80);

 

     

     

    

 

(c)
               Nerve, nerve root and plexus disorders (G50 to G59) including but not limited to disorders of
trigeminal nerve (G50);

 

(d)
              Neuromuscular dysfunction of bladder and other disorders of bladder (N31 to N32);

 

(e)
              Disorders of psychological development (F80-89) including but not limited to pervasive developmental
disorders (F84) such as Rett’s syndrome (F84.2);

 

(f)
               Episodic & paroxysmal disorders (G40-47) including but not limited to Epilepsy (G40);

 

(g)              Soft tissue disorders (M60-M79) including but not limited to Neuralgia and neuritis, unspecified (M79.2); and

 

(h)              Pain, not elsewhere classified (G89) including but not limited to Neoplasm related pain, acute & chronic (G89.3).

 

(i)                Cough (R05) and other abnormalities of breathing (R06) including but not limited to hiccough (R06.6)

 

(j)                Idiopathic interstitial pulmonary diseases (J84) including but not limited to idiopathic pulmonary fibrosis (J84.112).

 

(k)               Pruritus (L29)

 

(l)                Gastro-oesophageal reflux disease (K21)

 

		6.	Remainder of Agreement. The provisions of Section 14 of the Agreement shall apply to this Amendment
and, save as specifically amended hereby, the Agreement of January 2, 2018 as amended on October 30, 2020 and May 1, 2021 will remain
in full force and effect.

 

IN WITNESS WHEREOF, ADDEX and Indivior have caused this instrument
to be executed in duplicate by their respective duly authorized officers.

 

	 	Indivior
    UK Limited.
	 	Date:	31 July 2022
	 	 
	 	By: 	/s/ Gilles Picard                       
	 	Title: Authorized
    Signatory

 

     

     

    

 

	 	Addex Pharma SA
	 	Date:	31 July 2022
	 	 
	 	By: 	/s/
    Tim Dyer                       
	 	Title: Chief Executive
    Officer

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00348-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00348-of-00352.parquet"}]]