Document:

cytori_exhibit1099.htm

	
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

	
1. CONTRACT ID CODE

	
PAGE    OF    PAGES

	
  1

	
2

	
2. AMENDMENT/MODIFICAITON NO.

 

0001

	
3. EFFECTIVE DATE

 8/18/2014

	
4. REQUISITION/PURCHASE REQ. NO.

 

    0S138754

	
5. PROJECT NO. (If applicble)

 

 

	
6. ISSUED BY                                                       

	
ASPR-BARDA

	
7. ADMINISTERED BY (If other than Item 6)

	
ASPR-BARDA01 

	

ASPR-BARDA

200 Independence Ave., S.W. Room 640-G

Washington DC 20201 

 

	

ASPR-BARDA

330 Independence Ave., S.W. Room G644

Washington, DC 20201

	
8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)

 

CYTORI THERAPEUTICS, INC. 1386447

CYTORI THERAPEUTICS, INC.                 3020

3020 CALLAN ROAD

SAN DIEGO CA 921211109

	
(X)

	
9A. AMENDMENT OF SOLICIATION NO.

 

	  
	
9B. DATED (SEE ITEM 11)

 

	  	
10A. MODIFICATION OF CONTRACT/ORDER NO.

HHS0100201200008C

	
10B. DATED (SEE ITEM 11)

9/28/2012

	
CODE 1386447

	
FACILITY CODE

11.  THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

 

The above numbered solicitation is amended as set forth in Item 14.  The hour and date specified for receipt of Offers                      is extended,       X       is not extended. Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

 

(a)By completing items 8 and 15, and returning               copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

 

or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers.  FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment your desire to change an offer already submitted,  such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

 

12. ACCOUNTING AND APPROPIRATION DATA (If required)

..2014.1992003.25106                                                                                              NET INCREASE: $12,080,934.00

	 	
           

           13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS.

             IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

	 	 
	
CHECK ONE

	
A.    THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER

   NO. IN ITEM 10A.

	
  

 

	  	
    B.    THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,  appropriation date, etc.) SET FORTH IN ITEM 14,   PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

	  	
C.   THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

 

	
 

      X

	
D.   OTHER (Specify type of modification  and authority)

Bi-lateral: Mutual Agreement of the Parties and FAR 52.217-7

	 	 

   

E. IMPORTANT:  Contractor        is not,      X  is required to sign this document  and return   (2) two  copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

 

Tax ID Number:  33-0827593

DUNS Number: 111029179

Proof of Concept for Use of the Celution System as a Medical Countermeasure for Thermal Burn

See Attached.

Delivery:  08/14/2014

Delivery Location Code:  HHS/OS/ASPR

HHS/OS/ASPR

200 C Street S.W.

WASHINGTON, DC 20201 US

Continued.......

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

 

	
15A. NAME AND TITLE OF SIGNER (Type or print)

 

Marc H. Hedrick  President/CEO

	
16A. NAME AND TITLE OF CONTRACTING  OFFICER (Type or print)

 

THOMAS P. HASTINGS

	
15B. CONTRACTOR/OFFEROR

 

/s/ Marc H. Hedrick

	
15C. DATE SIGNED

    8/13/2014

	
16B. UNITED STATES OF AMERICA

 

/s/ THOMAS P. HASTINGS

	
16C. DATE SIGNED

   8/13/2014

 

NSN 7540-01-152-8070

Previous edition unusable

 

STANDARD FORM 30 (REV. 10-83) Prescribed by GSA FAR (48 CFR) 53.243

  

  

  

    CONTINUATION SHEET

    Reference No. of Document Being Continued                            Page 2 of 2

 

    HHS0100201200008C/0001

 

	
 NAME OF OFFEROR OR CONTRACTOR

 

	
 CYTORI THERAPEUTICS, INC 1386447

 

REFERENCE NO. OF DOCUMENT BEING CONT 川UED                    I  PAGES

 

ITEM NO. (A)                           SUPPLIES/SERVICES (B)                         QUANTITY (C)   I     UNIT (D) I          UNIT PRICE (E) I      AMOUNT (F)

Appr. Yr.: 2014  CAN: 1992003 Object Class: 25106

FOB:  Destination

Period of Performance:  9/28/2012 to 9/27/2016

Add Item 2 as Follows:

2                                   ASPR-14-07850 - - Option 1 Fund to Cytori Therapeutics, Inc.            $12,080,934.00

HHS010020120008C

Obligated Amount:  $12,080,934.00

 

 

	 NSN 7540-01-152-8067 
	 OPTIONAL FORM 336 (4-86)
	 Sponsored by GSA FAR (48 CFR) 53.110

 

 

 

 

  

  

 

Beginning with the effective date of this modification, the below portions of contract

HHSO100201200008C between the Government and Contractor are modified as follows:

1.ARTICLE B.2., ESTIMATED COST AND FIXED FEE, is hereby deleted in its entirely and replaced with the following

a. The total estimated cost of the base performance segment is $4,356,912.

b. The total fixed fee for the base performance segment is $326,768. The fixed fee shall be paid subject to Allowable Cost and Payment and Fixed Fee Clauses.

c. The total amount of the base performance segment, CLIN 0001, represented by the sum of the total estimated cost plus fixed fee is $4,683,680.

d. It is estimated that the amount currently allotted will cover performance of the base performance segment through 27 September 2014.

e. The total estimated cost of the Option 1 (CLIN 0002) performance segment is $11,238,078.

e. The total fixed fee for the Option 1 (CLIN 0002) performance segment is $842,856. The fixed fee shall be paid subject to Allowable Cost and Payment and Fixed Fee Clauses.

f. The total amount of the Option 1 (CLIN 0002) performance segment, represented by the sum of the total estimated cost plus fixed fee, is $12,080,934.

g. It is estimated that the amount currently allotted will cover the Option 1 (CLIN 0002) performance segment through 27 September 2016.

h. The Contractor shall maintain records of all contract costs and such records shall be subject to the Audit and Records-Negotiation and Final Decisions on Audit Findings clauses of the General Clauses.

	
CLIN/ Option

	
Estimated Period of Performance

 

	
Supplies/Services

	
Total Estimated

Cost

	
Fixed Fee

	
Total Est.

Cost Plus

Fixed Fee

 

	
0001

	
28 Sept 2012

through

27 Sept 2014

 

	
Studies needed to

demonstrate proof-of-concept for use of the Celution System as a medical countermeasure for combined injury involving thermal burn and radiation exposure.

 

Reports and Other Data Deliverables

	
$4,356,912

	
$326,768

	
$4,683,680

 

	
0002/1

	
18 Aug 2014

through

27 Sept 2016

 

	
Research and

development, regulatory,

clinical, and other tasks

required for initiation of

a Pilot Clinical Trial of the

Celution System in thermal burn injury.

 

Reports and Other Data

Deliverables

	
$11,238,078

	
$842,856

	
$12,080,934

 

  

  

  

2.     ARTICLE B. 3., OPTION PRICES, is hereby deleted in its entirety and replaced with the following

a. Unless the government exercises its option pursuant to the option clause contained in ARTICLE I.2, the contract consists only of the Base Work segment specified in the Statement of Work as defined in SECTONS C and F, for the price set forth in ARTICLE B.2 of the contract.

b. Pursuant to FAR Clause 52.217-9 (Option to Extend the Term of the Contract), the Government may, by unilateral contract modification, require the Contractor to perform the Option Work Segments specified in the Statement of Work as defined in SECTIONS C and F of this contract. If the Government exercises the/these option(s), written notice must be given to the Contractor within 30 days after the Government has completed its analysis of the deliverables associated with the applicable GO/NO GO Decision gate; and the Government must give the Contractor a preliminary written notice of its intent to exercise the option at least 30 days before the contract expires. Specific information regarding the time frame for this notice is set forth in the OPTION CLAUSE Article in SECTION G of this contract. The estimated cost of the contract will be increased as set forth below:

	
 

CLIN/ Option

	
 

Estimated 

Period

of Performance

 

	
Supplies/Services

	
Total

Estimated

Cost

 

	
Fixed Fee

	
Total

Estimated

Cost Plus

Fixed Fee

 

	
0003/2

	
21 May 2015 through

27 Sept 2016

	
Execution of the Pilot Clinical study, regulatory, and other tasks required for completion of a pilot Clinical Trial using the Celution System in thermal burn injury.

 

Reports and Other Data Deliverables

	
$7,765,874

	
$582,440

	
$8,348,314

	
0004/3

	
21 Jul 2015

through

27 Sep 2017

	
Clinical, regulatory, and other tasks required for completion of a Pivotal Clinical Trial leading to FDA licensure for use of the Celution System in thermal burn injury.

 

Reports and Other Data Deliverables

	
$42,326,809

	
$3,174,511

	
$45,501,320

 

	
0005/4

	
4/2/14

through

27 Sept 2017

 

	
Research and development, clinical, regulatory and other tasks required to develop and obtain FDA clearance for other characteristics suitable for use in thermal burn injury following a mass casualty event.

 

Reports and Other Data Deliverables

	
$21,786,346

	
$1,633,976

	
$23,420,322

 

	
3.  

	
ARTICLE C.2., STATEMENT OF WORK, is hereby revised to replace the Statement of Work date from 28 September 2012 to 18 August, 2014.

 

  

 

	
4.  

	
ARTICLE F.2., DELIVERABLES, is hereby deleted in its entirety and replaced with the following:

Successful performance of the final contract shall be deemed to occur upon performance of the work set forth in the Statement of Work dated 18 August, 2014 set forth in SECTION J-List of Attachments of this contract and upon delivery and acceptance, as required by the Statement of Work, by the Contracting Officer, or the duly authorized representative, of the following items in accordance with the stated delivery schedule:

The items specified below as described in the REPORTING REQUIREMENTS Article in SECTION C of this contract and the Statement of Work dated 18 August 2014 set forth in SECTION J-List of Attachments will be required to be delivered F.O.B. Destination as set forth in FAR 52.247-34, F.O.B. DESTINATION, (NOVEMBER 1991), and in accordance with and by the date(s) specified below and any specifications stated in SECTION D, PACKAGING, MARKING AND SHIPPING, of this contract. All reports identified below relate solely to the development activity funded under this contract:

The Cytori Deliverables Schedule is hereby modified as attached, beginning with the contract Base Period. The General Deliverables remain the same.

	
5.  

	
ARTICLE G.1., CONTRACTING OFFICER, is hereby deleted in its entirety and replaced with the following:

The following Contracting Officer (CO) will represent the Government for the purpose of this contract:

Thomas P. Hastings, Contracting Officer

DHHS/OS/ASPR/AMCG

330 Independence Avenue, S.W.

Room G644

Washington, D.C. 20201

E-mail: phil.hastings@hhs.gov

	
6.  

	
ARTICLE G.11. EXERCISE OF OPTIONS, is hereby deleted in its entirely and replaced with the following:

Unless the Government exercises its option pursuant to the Option Clause set forth in Section I, Article I.2, the contract will consist only of CLIN 0001 and CLIN 0002 of the Statement of Work, Deliverables and Requirements as defined in Sections C, F and J of the contract. Pursuant to FAR Clause 52.217-9 (Option to Extend the Term of the Contract) set forth in Section I of this contract, under Article I.2, the Government may, by unilateral contract modification, require the Contractor to perform the additional CLINs listed in Section B, Article B.3., and as also defined in Sections C, F and J of this contract. If the Government exercises an option, written notice must be given to the Contractor within 30 days after the Government has completed its analysis of the deliverables associated with the applicable GO/NO-GO Decision gates; and the Government must give the Contractor a preliminary written notice of its intent to exercise the option at least 30 days before the contract expires. The amount of the contract may then be increased as set forth in Section B, Article B.3 provided that funds are available.

	
7.  

	
SECTION J – LIST OF ATTACHMENTS, Attachment 1. STATEMENT OF WORK is hereby deleted in its entirety and replaced with the following (attached):

Attachment 1. Statement of Work, dated 18 August, 2014.

	
8.  

	
In Block 14 of the SF26, the following CAN information is added:

CAN# 1992003: FY 14 $12,080,934

All other terms and conditions of the contract remain unchanged.EX-4.3

 Exhibit 4.3 

Execution Version 
  

 
  

Gulfport Energy Corporation 

Issuer 
 7.750% Senior Notes Due
2020 
  
  

SECOND SUPPLEMENTAL INDENTURE 

Dated as of August 18, 2014 
  

 
 Wells Fargo
Bank, N.A. 
 Trustee 
  

 
  

 SECOND SUPPLEMENTAL INDENTURE 

SECOND SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of August 18, 2014, among Gulfport Energy
Corporation, a Delaware corporation (the “Company”), the Subsidiary Guarantors party to the Indenture (as defined below) (the “Subsidiary Guarantors”) and Wells Fargo Bank, N.A., a national banking
association (the “Trustee”). 
 W I T N E S S E T H: 

WHEREAS, the Company and the Subsidiary Guarantors have heretofore executed and delivered to the Trustee an indenture, dated as
of October 17, 2012 (the “Original Indenture”), as supplemented by that certain First Supplemental Indenture, dated as of December 21, 2012 (the “First Supplemental Indenture” and together
with the Original Indenture, the “Indenture”), providing for the issuance of 7.750% Senior Notes due 2020 (the “Securities”); 

WHEREAS, on October 17, 2012, the Company issued $250,000,000 in principal amount of Securities; 

WHEREAS, on December 21, 2012, the Company issued an additional $50,000,000 in principal amount of Securities; 

WHEREAS, the Company has entered into that certain Purchase Agreement, dated as of August 13, 2014, by and among the
Company, the Subsidiary Guarantors and Credit Suisse Securities (USA) LLC, as representative of the several initial purchasers named therein, pursuant to which, on the date hereof, the Company is issuing $300,000,000 of Additional Securities as
permitted by Section 2.13 and Section 4.03(a) of the Indenture (the “August 2014 Additional Securities”);  

WHEREAS, pursuant to Section 2.13 of the Indenture, the Trustee, the Company and the Subsidiary Guarantors are authorized to
execute and deliver this Supplemental Indenture with respect to the August 2014 Additional Notes; 
 WHEREAS, pursuant to
Section 9.01(6) of the Indenture, the Company wishes to amend, without the consent of any Securityholder, the definition of the term “Officer” in the Indenture to add the Chief Financial Officer to the list of Persons constituting an
Officer under the Indenture; and 
 WHEREAS, pursuant to Section 9.01(9) of the Indenture, the Company wishes to amend, without the
consent of any Securityholder, Section 9.02(d) of the Indenture to conform the text of such section to the corresponding provisions of the “Description of the Notes” in the Offering Circular, which provisions were intended to be a
verbatim recitation of a provision of the Indenture; 
 NOW, THEREFORE, in consideration of the foregoing and for other good and valuable
consideration, the receipt of which is hereby acknowledged, the Company, the Subsidiary Guarantors and the Trustee mutually covenant and agree for the equal and ratable benefit of the holders of the Securities as follows: 

 1. Definitions; Construction.  

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

(b) For all purposes of this Supplemental Indenture, except as otherwise herein expressly provided or unless the context otherwise requires:
(i) the terms and expressions used herein shall have the same meanings as corresponding terms and expressions used in the Indenture; and (ii) the words “herein,” “hereof” and “hereby” and other words of
similar import used in this Supplemental Indenture refer to this Supplemental Indenture as a whole and not to any particular section hereof. 

2. August 2014 Additional Securities.  

(a) Attached hereto as Annex 1 is a true and correct copy of the resolutions of the Board of Directors and the Officers’
Certificate required by Section 2.13 of the Indenture in connection with the issuance of the August 2014 Additional Securities. The definition of the term “Additional Securities” set forth in the Indenture is hereby
supplemented by adding the following sentence at the end of such definition: “On August 18, 2014, the Company issued $300,000,000 of Additional Securities, as more particularly described in the Second Supplemental Indenture hereto, dated
as of August 18, 2014.” 
 (b) The issuance of the August 2014 Additional Securities is in compliance with
Section 4.03(a) of the Indenture. 
 (c) The August 2014 Additional Securities will be (A) Certificate Number 144A-3 (CUSIP
No. 402635 AC0 / ISIN No. US402635AC07) in the aggregate principal amount of $298,145,000; and (B) Certificate Number S-3 (CUSIP No. U40347 AC7 / ISIN No. USU40347AC72) in the aggregate principal amount of $1,855,000. 

(d) The August 2014 Additional Securities will be issued at an issue price of 106.000%. 

(e) The August 2014 Additional Securities will be issued in the form of Initial Securities as defined in the Indenture. 

3. Other Amendments. 

(a) The definition of the term “Officer” set forth in Section 1.01 of the Indenture is hereby supplemented by inserting the
phrase “the Chief Financial Officer,” after the phrase “the President,” and before the phrase “any Vice President.” 

(b) Section 9.02(d) of the Indenture is hereby amended by deleting such Section in its entirety and replacing it with the
following: 

  
 2 

 “(d) Notwithstanding the preceding, (i) the provisions under this
Indenture, including Section 4.06, relative to the obligation to make an offer to repurchase the Notes as a result of an Asset Disposition and (ii) the provisions under this Indenture, including Section 4.09, relative to the
obligation to make an offer to repurchase the Notes as a result of a Change of Control may be waived or modified with the written consent of the holders of a majority in principal amount 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 BUT WITHOUT GIVING EFFECT TO APPLICABLE PRINCIPLES OF CONFLICTS OF LAW TO THE EXTENT THAT THE APPLICATION OF THE LAWS OF ANOTHER JURISDICTION WOULD BE REQUIRED THEREBY. 

5. Trustee Makes No Representation. The recitals herein contained are made by the Company and the Subsidiary Guarantors
and not by the Trustee, and the Trustee assumes no responsibility for the correctness thereof. The Trustee makes no representation as to the validity or sufficiency of this Supplemental Indenture. 

6. 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. One signed copy is enough to prove this Supplemental Indenture. 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 for all purposes. Signatures of the parties hereto transmitted by
facsimile or PDF shall be deemed to be their original signatures for all purposes. 
 7. Effect of Headings. The Section
headings herein are for convenience only and shall not effect the construction thereof. 
 [SIGNATURE PAGE FOLLOWS] 

  
 3 

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

			
	GULFPORT ENERGY CORPORATION
		
	      By:	 	 /s/ Michael G. Moore

		 	Name: Michael G. Moore
		 	 Title:   Chief Executive Officer and

            President

  

			
	JAGUAR RESOURCES LLC
		
	      By:	 	 /s/ Michael G. Moore

		 	Name: Michael G. Moore
		 	 Title:   Vice President, Chief Financial

            Officer and Secretary

  

			
	PUMA RESOURCES, INC.
		
	      By:	 	 /s/ Michael G. Moore

		 	Name: Michael G. Moore
		 	 Title:   Vice President, Chief Financial

            Officer and Secretary

  

			
	GATOR MARINE, INC.
		
	      By:	 	 /s/ Michael G. Moore

		 	Name: Michael G. Moore
		 	 Title:   Vice President, Chief Financial

            Officer and Secretary

  

			
	GATOR MARINE IVANHOE, INC.
		
	      By:	 	 /s/ Michael G. Moore

		 	Name: Michael G. Moore
		 	 Title:   Vice President, Chief Financial

            Officer and Secretary

  
 [Signature Page to Second
Supplemental Indenture] 

			
	WESTHAWK MINERALS LLC
		
	      By:	 	 /s/ Michael G. Moore

		 	Name: Michael G. Moore
		 	 Title:   Vice President, Chief Financial

            Officer and Secretary

 [Signature Page to Second Supplemental Indenture] 

 
			
	WELLS FARGO BANK, N.A., as Trustee
		
	      By:	 	 /s/ John Stohlmann

		 	Name: John Stohlmann
		 	Title:   Vice President

 [Signature Page to Second Supplemental Indenture] 

 ANNEX A 

RESOLUTIONS OF THE BOARD OF DIRECTORS 

AND 
 OFFICERS’ CERTIFICATE

 [Attached]

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