Document:

ex_151912.htm

Exhibit 10.1

CESCA THERAPEUTICS INC.

AMENDMENT NO. 1 TO THE

convertible note

 

This Amendment No. 1 (this “Amendment No. 1”) is made as of July 23, 2019 (the “Effective Date”) to the Convertible Note Agreement (the “Agreement”) dated January 29, 2019 by Cesca Therapeutics Inc., a Delaware corporation (the “Company”), and Orbrex USA Co. Limited (“Orbrex”).

 

WHEREAS, with the amendment, the Parties desire to revise the Agreement in order to amend and replace Section (1) of the Agreement. The Parties hereby mutually agree that the Agreement shall be amended as follows:

 

SECTION 1.     Amendment of the Agreement.

 

On and after the Effective Date, Section 1 shall be as follows:

 

(1) PAYMENTS OF PRINCIPAL; PREPAYMENT. On the Maturity Date, the Company shall pay to the Holder an amount in cash representing all outstanding Principal, and accrued and unpaid interest. The “Maturity Date” shall be July 31, 2022.

 

 

 

SECTION 2.     Effectiveness. This Amendment No. 1 shall become effective as of the Effective Date written above. Upon the effectiveness hereof, all references in the Agreement to “this Agreement” or the like shall refer to the Agreement as amended hereby by this Amendment No. 1.

 

SECTION 3.     Counterparts. This Amendment No. 1 may be executed in any number of counterparts and by the different parties hereto in separate counterparts, each of which shall be deemed an original, and all of which shall together constitute one and the same instrument.

 

SECTION 4.     Law; Construction. THIS AMENDMENT NO. 1 AND ANY CLAIM, CONTROVERSY OR DISPUTE RELATING TO OR ARISING OUT OF THIS AMENDMENT NO. 1 SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF CALIFORNIA.

 

SECTION 5.     Entire Agreement. Except as amended by this Amendment No.1, all of the terms of the Agreement shall remain in full force and effect and are hereby confirmed in all respects.

 

[SIGNATURE PAGE FOLLOWS]

 

 

 

 

The Parties have executed this Amendment No.1 as of the Effective Date set forth above.

 

	
			 

				
			COMPANY:

				
			 

			
	
			 

				
			 

				
			 

			
	
			 

				
			CESCA THERAPEUTICS INC.

				
			 

			
	
			 

				
			a Delaware corporation

				
			 

			
	
			 

				
			 

				
			 

				
			 

			
	
			 

				
			 

				
			 

				
			 

			
	
			 

				
			 

				
			 

				
			 

			
	
			 

				
			By:

				
			 /s/ Xiaochun Xu

				
			 

			
	
			 

				
			Name:

				
			  Xiaochun (Chris) Xu

				
			 

			
	
			 

				
			Title:

				
			  Chairman & CEO

				
			 

			

 

 

	
			 

				
			INVESTORS:

				
			 

			
	
			 

				
			 

				
			 

			
	
			 

				
			Orbrex (USA) Co. Limited

				
			 

			
	
			 

				
			 

				
			 

				
			 

			
	
			 

				
			 

				
			 

				
			 

			
	
			 

				
			 

				
			 

				
			 

			
	
			 

				
			By:

				
			 /s/ Lan Fang Yuan

				
			 

			
	
			 

				
			Name:

				
			  Lan Fang Yuan

				
			 

			
	
			 

				
			Title:

				
			  President

				
			 

			

 

(Signature page to Amendment No. 1 to the Convertible Note)qure_Ex10_42

		
			Exhibit 10.42
		

		
			 
		

		
			113 Hartwell Avenue
		

		
			Lexington, Massachusetts
		

		
			(the “Building")
		

		
			 
		

		
			SECOND AMENDMENT
		

		
			June 17,  2019
		

		
			 
		

			
					
						 

					
					
						 

				
	
					
						LANDLORD:

					
					
						King 113 Hartwell LLC, a Massachusetts limited liability company

				
	
					
						TENANT:

					
					
						uniQure, Inc., a Delaware corporation

				
	
					
						EXISTING 
PREMISES:

					
					
						 

					
						Approximately 83,998 rentable square feet of space in the Building, as more particularly shown as hatched, highlighted or outlined on the plan attached to the Lease as Exhibit 1A and as shown on Exhibit A, First Amendment

				
	
					
						DATE OF LEASE:

					
					
						July 24, 2013

				
	
					
						EXTENDED
EXPIRATION DATE:

					
					
						 

					
						As defined in Section 1 of the First Amendment

				
	
					
						PRIOR LEASE
AMENDMENTS:

					
					
						 

					
						First Amendment dated as of November 9, 2018 (“First Amendment”) 

				

		
			 
		

		
			WHEREAS, due to a scrivener’s error, the parties desire to revise Section 3.A and Section 3.B (Base Rent) of the First Amendment,  on the terms and conditions hereinafter set forth;
		

		
			NOW THEREFORE, the above described lease, as previously amended  (collectively, the “Lease”), is hereby further amended as follows:
		

		
			1.         BASE RENT
		

		
			Section 3.A and Section 3.B of the First Amendment are deleted in their entirety and the following are substituted in their place:
		

		
			A.        Existing Premises.  The Base Rent payable with respect to the Existing Premises commencing as of the Expansion Premises Rent Commencement Date and continuing thereafter throughout the Term of the Lease shall be as follows:
		

		
			
		

		
			

		 

		

			1

		

		

		
			 
		

			
					
						 

					
					
						 

					
					
						 

				
	
					
						Time Period

					
					
						Annual Base Rent

					
					
						Monthly Payment

				
	
					
						Expansion Premises Rent Commencement Date – 4/30/20:

					
					
						 

					
						$1,920,348.00

					
					
						 

					
						$160,029.00

				
	
					
						5/1/20-4/30/21:

					
					
						$1,973,691.00

					
					
						$164,474.25

				
	
					
						5/1/21-4/30/22:

					
					
						$2,027,034.00

					
					
						$168,919.50

				
	
					
						5/1/22-4/30/23:

					
					
						$2,080,377.00

					
					
						$173,364.75

				
	
					
						5/1/23-4/30/24:

					
					
						$2,133,720.00

					
					
						$177,810.00

				
	
					
						5/1/24-4/30/25:

					
					
						$2,782,762.06

					
					
						$231,896.83

				
	
					
						5/1/25-4/30/26:

					
					
						$2,866,244.92

					
					
						$238,853.74

				
	
					
						5/1/26-4/30/27:

					
					
						$2,952,232.27

					
					
						$246,019.35

				
	
					
						5/1/27-4/30/28:

					
					
						$3,040,799.24

					
					
						$253,399.93

				
	
					
						5/1/28-4/30/29:

					
					
						$3,132,023.22

					
					
						$261,001.93

				
	
					
						5/1/29-Extended Expiration Date

					
					
						$3,225,983.88*

					
					
						$268,831.99

				
	
					
						*annualized

					
					
						 

					
					
						 

				

		
			 
		

		
			B.         Expansion Premises:  Base Rent with respect to the Expansion Premises shall be as follows:
		

			
					
						Rent Year

					
					
						Annual Base Rent

					
					
						Monthly Payment

				
	
					
						1

					
					
						$1,379,475.00

					
					
						$114,956.25

				
	
					
						2

					
					
						$1,420,859.25

					
					
						$118,404.93

				
	
					
						3

					
					
						$1,463,485.03

					
					
						$121,957.08

				
	
					
						4

					
					
						$1,507,389.58

					
					
						$125,615.79

				
	
					
						5

					
					
						$1,552,611.27

					
					
						$129,384.27

				
	
					
						6

					
					
						$1,599,189.60

					
					
						$133,265.80

				
	
					
						7

					
					
						$1,647,165.29

					
					
						$137,263.76

				
	
					
						8

					
					
						$1,696,580.25

					
					
						$141,381.68

				
	
					
						9

					
					
						$1,747,477.66

					
					
						$145,623.13

				
	
					
						10

					
					
						$1,799,901.99

					
					
						$149,991.82

				

		
			 
		

		
			2.         CONFLICT
		

		
			In the event that any of the provisions of the Lease are inconsistent with this Second Amendment or the state of facts contemplated hereby, the provisions of this Second Amendment shall control.
		

		
			3.         RATIFICATION
		

		
			As hereby amended, the Lease is ratified, confirmed and approved in all respects.
		

		
			[remainder of page blank; signature page to follow]
		

		
			
		

		
			

		 

		

			2

		

		

		
			 
		

		
			EXECUTED under seal as of the date first above written.
		

			
					
						LANDLORD:

				
	
					
						KING 113 HARTWELL LLC,

				
	
					
						a Massachusetts limited liability company

				
	
					
						 

				
	
					
						By:

					
					
						King Dickey LLC, its manager

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						King Street Properties Investments LLC,

				
	
					
						 

					
					
						 

					
					
						its manager

				
	
					
						 

					
					
						 

					
					
						 

				
	
					
						 

					
					
						 

					
					
						By:

					
					
						 

				
	
					
						 

					
					
						 

					
					
						Name:

					
					
						 

				
	
					
						 

					
					
						 

					
					
						Title:

					
					
						 

				
	
					
						 

				
	
					
						TENANT:

				
	
					
						UNIQURE, INC.,

				
	
					
						a Delaware corporation

				
	
					
						 

				
	
					
						By:

					
					
						 

				
	
					
						Name:

					
					
						 

				
	
					
						Title:

					
					
						 

				

		
			 
		

		
			CONFIRMATION OF GUARANTY
		

		
			The undersigned, as Guarantor of the above-referenced Lease pursuant to a Guaranty dated as of July 24, 2013, hereby consents to the foregoing Second Amendment and confirms and agrees that said Guaranty shall remain in full force and effect in accordance with the terms thereof with respect to the Lease as amended by the foregoing Second Amendment.
		

		
			 
		

		
			EXECUTED UNDER SEAL as of the date first above written.
		

		
			 
		

			
					
						 

					
					
						 

					
					
						 

				
	
					
						 

					
					
						GUARANTOR:

				
	
					
						 

					
					
						UNIQURE N.V., a public limited liability company organized under the laws of the Netherlands

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						 

				
	
					
						 

					
					
						Name:

					
					
						Matt Kapusta

				
	
					
						 

					
					
						Title:

					
					
						Chief Executive Officer

				
	
					
						 

					
					
						 

				
	
					
						 

					
					
						By:

					
					
						 

				
	
					
						 

					
					
						Name:

					
					
						Christian Klemt

				
	
					
						 

					
					
						Title: 

					
					
						Chief Accounting Officer

				

		
			 
		

		 

		

			3

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