Document:

EXHIBIT 10.4

OPTION AGREEMENT

This OPTION AGREEMENT, dated as of March 14, 2019 (this "Agreement"), is made by and between Cadiz Inc., a Delaware corporation ("Cadiz"), and Elkhorn Partners Limited Partnership, (the "Noteholder").

WHEREAS, Cadiz is party to that certain Indenture, dated as of December 10, 2015 (the "Indenture"; capitalized terms not otherwise defined herein shall have meanings ascribed to them in the Indenture), between Cadiz, as issuer, and U.S. Bank National Association, as trustee (the "Trustee"), pursuant to which Cadiz issued certain 7.00% Convertible Senior Notes due 2020 ("Convertible Notes");

WHEREAS, the Noteholder has acquired Convertible Notes under the Indenture in the aggregate original principal amount of $901,000 (such Convertible Notes acquired by the Noteholder, the "Notes");

WHEREAS, the current Maturity Date of the Convertible Notes is March 5, 2020; and

WHEREAS, Cadiz has requested, and the Noteholder desires, that an option be provided for Cadiz to extend the Maturity Date of the Notes to September 5, 2021;

NOW, THEREFORE, in consideration of the premises and mutual covenants herein set forth and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, subject to the terms and conditions herein, the Noteholder and Cadiz hereby agree as follows:

1. Grant of Option; Term; Consent to Amendment.

(a) Subject to the terms and conditions herein, the Noteholder hereby grants to Cadiz an option (the "Option"), exercisable in Cadiz's sole discretion, to extend the Maturity Date of the Notes to September 5, 2021, such that upon Cadiz's exercise of the Option, the term "Maturity Date", as defined in the Indenture and the Notes, shall mean September 5, 2021.

(b) The Option is exercisable by Cadiz's delivery to the Noteholder of an Exercise Notice (as defined below in Section 2) at any time from the date of this Agreement until 5:00 p.m. Eastern Time on December 5, 2019 (the "Exercise Period").

(c) In consideration of the Option granted hereunder, Cadiz agrees, at its expense, to prepare, execute and deliver any and all documents and obtain any and all consents, including any documents and consents to be executed and provided by the Trustee, and take such further action necessary and appropriate to document and effectuate the extension of the Maturity Date contemplated by the exercise of Option.

(d) The Noteholder hereby agrees and consents to the Amendment effective upon the exercise of the Option, and the Noteholder's execution of this Agreement shall constitute the Noteholder's consent pursuant to Section 9.02 of the Indenture.

 

2. Exercise Procedure. Cadiz may exercise the Option, with respect to any or all the Notes, at any time during the Exercise Period, by delivering to the Noteholder a written notice duly signed by Cadiz indicating that Cadiz is exercising the Option (the "Exercise Notice").

3. Notices.  All notices and other communications given or made pursuant to this Agreement shall be in writing and shall be deemed effectively given upon the earlier of actual receipt, or (a) personal delivery to the party to be notified, (b) when sent and affirmatively confirmed as received, if sent by electronic mail or facsimile during normal business hours of the recipient, and if not sent during normal business hours, then on the recipient's next business day, (c) five (5) days after having been sent by registered or certified mail, return receipt requested, postage prepaid, or (d) one (1) business day after deposit with a nationally recognized overnight courier, freight prepaid, specifying next business day delivery, with written verification of receipt. All communications shall be sent to the respective parties at their address as set forth on the signature page, or to such e-mail address, facsimile number or address as subsequently modified by written notice given in accordance with this Section 3. If notice is given to the Noteholder, a copy shall also be sent to Elkhorn Partners Limited Partnership and if notice is given to Cadiz, a copy shall also be given to Greenberg Traurig, LLP, 1840 Century Park East, Suite 1900, Los Angeles, CA 90067, attention: Kevin Friedmann, Esq., telephone: (310) 586-7747, e-mail: friedmannk@gtlaw.com.

 

4. Binding; Assignment.  The terms and conditions of this Agreement shall inure to the benefit of and be binding upon the respective successors and assigns of the parties.

5. Dispute Resolution.  The parties (i) hereby irrevocably and unconditionally submit to the jurisdiction of the state courts of New York and to the jurisdiction of the United States District Court for the Southern District of New York for the purpose of any suit, action or other proceeding arising out of or based upon this Agreement, (ii) agree not to commence any suit, action or other proceeding arising out of or based upon this Agreement except in the state courts of New York or the United States District Court for the Southern District of New York, and (iii) hereby waive, and agree not to assert, by way of motion, as a defense, or otherwise, in any such suit, action or proceeding, any claim that it is not subject personally to the jurisdiction of the above-named courts, that its property is exempt or immune from attachment or execution, that the suit, action or proceeding is brought in an inconvenient forum, that the venue of the suit, action or proceeding is improper or that this Agreement or the subject matter hereof may not be enforced in or by such court.

6. WAIVER OF JURY TRIAL. EACH PARTY HEREBY WAIVES ITS RIGHTS TO A JURY TRIAL OF ANY CLAIM OR CAUSE OF ACTION BASED UPON OR ARISING OUT OF THIS AGREEMENT, OR THE SUBJECT MATTER HEREOF . THE SCOPE OF THIS WAIVER IS INTENDED TO BE ALL-ENCOMPASSING OF ANY AND ALL DISPUTES THAT MAY BE FILED IN ANY COURT AND THAT RELATE TO THE SUBJECT MATTER OF THIS TRANSACTION, INCLUDING, WITHOUT LIMITATION, CONTRACT CLAIMS, TORT CLAIMS (INCLUDING NEGLIGENCE), BREACH OF DUTY CLAIMS, AND ALL OTHER COMMON LAW AND STATUTORY CLAIMS. THIS SECTION HAS BEEN FULLY DISCUSSED BY EACH OF THE PARTIES HERETO AND THESE PROVISIONS WILL NOT BE SUBJECT TO ANY EXCEPTIONS. EACH PARTY HERETO HEREBY FURTHER WARRANTS AND REPRESENTS THAT SUCH PARTY HAS REVIEWED THIS WAIVER WITH ITS LEGAL COUNSEL, AND THAT SUCH PARTY KNOWINGLY AND VOLUNTARILY WAIVES ITS JURY TRIAL RIGHTS FOLLOWING CONSULTATION WITH LEGAL COUNSEL.

 

7. Entire Agreement.  This Agreement constitutes the entire agreement between the parties hereto with respect to the matters herein, and cannot be amended, modified or terminated except by an agreement in writing executed by the parties hereto.

8. Governing Law.  This Agreement shall be governed by the internal law of the State of New York without giving effect to the conflicts of laws principles thereof.

[Signature page to follow]

 

IN WITNESS WHEREOF, the parties hereto have executed this Option Agreement as of the date first set forth above.

                                    

                                        ELKHORN PARTNERS LIMITED PARTNERSHIP:

 

 

                                        By:  /s/ Alan S. Parsow      

                                          Name:  Alan S. Parsow

                                          Title:  Sole Managing Partner

  

                                        

                                        Address: 8405 Indian Hills Drive, Unit 2A8

                                             Omaha, Nebraska                                        

                                             U.S.A.  68114                                          

 

 

[Noteholder Signature page to Option Agreement]

 

IN WITNESS WHEREOF, the parties hereto have executed this Option Agreement as of the date first set forth above.

 

                                        CADIZ INC.:

 

 

                                        By:  /s/ Timothy J. Shaheen        

                                          Name:  Timothy J. Shaheen

                                          Title:  Chief Financial Officer 

  

                                        Address: 550 South Hope Street

                                             Suite 2850

                                             Los Angeles, CA  90071

 

[Cadiz Signature page to Option Agreement]apvo-ex1043_401.htm

Exhibit 10.43

amendment No. 1 to AMENDED AND RESTATED CREDIT AND SECURITY AGREEMENT

This AMENDMENT NO. 1 TO AMENDED AND RESTATED CREDIT AND SECURITY AGREEMENT (this “Agreement”) is made as of December 14, 2018, by and among Aptevo Therapeutics inc., a Delaware corporation (“Aptevo Therapeutics”), APTEVO BIOTHERAPEUTICS LLC, a Delaware limited liability company (“Aptevo BioTherapeutics”), APTEVO RESEARCH AND DEVELOPMENT LLC, a Delaware limited liability company (“Aptevo R&D”, and Aptevo R&D together with Aptevo Therapeutics and Aptevo BioTherapeutics, each individually, a “Borrower” and collectively, the “Borrowers”), MIDCAP FINANCIAL TRUST, a Delaware statutory trust, as Agent (in such capacity, together with its successors and assigns, “Agent”) and the other financial institutions or other entities from time to time parties to the Credit Agreement referenced below, each as a Lender.

RECITALS

A.Agent, Lenders and Borrowers have entered into that certain Amended and Restated Credit and Security Agreement, dated as of August 6, 2018 (as further amended, modified, supplemented and restated prior to the date hereof, the “Original Credit Agreement” and as the same is amended hereby and as it may be further amended, modified, supplemented and restated from time to time, the “Credit Agreement”), pursuant to which the Lenders have agreed to make certain advances of money and to extend certain financial accommodations to Borrowers in the amounts and manner set forth in the Credit Agreement.

 

B.Borrowers have requested, and Agent and Lenders constituting at least the Required Lenders have agreed, to amend certain provisions of the Original Credit Agreement to add a certain Securities Account of Borrower as an “Excluded Account”, in accordance with the terms and subject to the conditions set forth herein.

 

AGREEMENT

NOW, THEREFORE, in consideration of the foregoing, the terms and conditions set forth in this Agreement, and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Agent, Required Lenders and Borrowers hereby agree as follows:

1.Recitals.  This Agreement shall constitute a Financing Document and the Recitals and each reference to the Credit Agreement, unless otherwise expressly noted, will be deemed to reference the Credit Agreement as amended hereby.  Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Credit Agreement (including those capitalized terms used in the Recitals hereto).

 

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2.Amendments to Original Credit Agreement.  Subject to the satisfaction of the conditions to effectiveness set forth in Section 4 below, the Original Credit Agreement is hereby amended as follows:

(a)Section 1.1 of the Original Credit Agreement is hereby amended by adding the following definition in the appropriate alphabetical order therein:

“Piper Jaffray Securities Account” means that certain Securities Account of Borrower maintained as a brokerage account at [Piper Jaffray Investment Management, LLC], with an account number of [_________________] for purposes of receiving proceeds from the sale of Aptevo Therapeutics’ common stock; provided that the aggregate amount on deposit in such Securities Account shall not at any time exceed $250,000.

(b)The third sentence of Section 5.14 of the Original Credit Agreement is hereby amended by replacing such sentence in its entirety with the following new sentence:

““The provisions of this Section requiring Deposit Account Control Agreements shall not apply to (a) the Wells Fargo Cash Collateral Account, (b) the Wells Fargo LC Cash Collateral Account during the Wells Fargo LC Period, (c) all times from and after November 16, 2018, the Piper Jaffray Securities Account, and (d) Deposit Accounts exclusively used for payroll, payroll taxes and other employee wage and benefit payments to or for the benefit of Borrowers’ employees and identified to Agent by Borrowers as such (the Deposit Accounts in clauses (a) through (d), collectively, “Excluded Accounts”); provided, however, that at all times that any Obligations remain outstanding following the date that is thirty (30) days following the Closing Date (the “Post-Closing Payroll Account Period”), Borrower shall maintain one or more separate Deposit Accounts to hold any and all amounts to be used for payroll, payroll taxes and other employee wage and benefit payments, and shall not commingle any monies allocated for such purposes with funds in any other Deposit Account.”

 

3.Representations and Warranties; Reaffirmation of Security Interest.  Each Borrower hereby confirms that each of the representations and warranties set forth in the Credit Agreement is true and correct in all material respects (without duplication of any materiality qualifier in the text of such representation or warranty) with respect to such Borrower as of the date hereof except to the extent that any such representation or warranty relates to a specific date in which case such representation or warranty shall be true and correct in all material respects as of such earlier date (without duplication of any materiality qualifier in the text of such representation or warranty).  Each Borrower confirms and agrees that all security interests and Liens granted to Agent continue in full force and effect, and that all Collateral remains free and clear of any Liens, other than Permitted Liens.  Nothing herein is intended to impair or limit the validity, priority or extent of Agent’s security interests in and Liens on the Collateral.  Each Borrower acknowledges and agrees that the Credit Agreement, the other Financing Documents and this Agreement constitute the legal, valid and binding obligation of such Borrower, and are enforceable against such Borrower in accordance with their terms, except as the enforceability thereof may be limited by bankruptcy, insolvency or other similar laws relating to the enforcement of creditors’ rights generally and by general equitable principles.  

 

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4.Conditions to Effectiveness.  This Agreement shall become effective as of the date on which each of the following conditions has been satisfied (or waived in writing by the Agent and the Required Lenders), as determined by Agent in its sole discretion: 

(a)Borrowers, Agent and Required Lenders shall have delivered to Agent this Agreement, executed by an authorized officer of each such Person; 

(b)all representations and warranties of Borrowers contained herein shall be true and correct in all material respects (without duplication of any materiality qualifier in the text of such representation or warranty) as of the date hereof except to the extent that any such representation or warranty relates to a specific date in which case such representation or warranty shall be true and correct in all material respects as of such earlier date (without duplication of any materiality qualifier in the text of such representation or warranty) (and such parties’ delivery of their respective signatures hereto shall be deemed to be its certification thereof); and

(c)prior to and after giving effect to the agreements set forth herein, no Default or Event of Default shall exist under any of the Financing Documents.

5.Release.  In consideration of the agreements of Agent and Required Lenders contained herein and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, Borrower, voluntarily, knowingly, unconditionally and irrevocably, with specific and express intent, for and on behalf of itself and all of its respective parents, subsidiaries, affiliates, members, managers, predecessors, successors, and assigns, and each of their respective current and former directors, officers, shareholders, agents, and employees, and each of their respective predecessors, successors, heirs, and assigns (individually and collectively, the “Releasing Parties”) does hereby fully and completely release, acquit and forever discharge each of Agent, Lenders, and each their respective parents, subsidiaries, affiliates, members, managers, shareholders, directors, officers and employees, and each of their respective predecessors, successors, heirs, and assigns (individually and collectively, the “Released Parties”), of and from any and all actions, causes of action, suits, debts, disputes, damages, claims, obligations, liabilities, costs, expenses and demands of any kind whatsoever, at law or in equity, whether matured or unmatured, liquidated or unliquidated, vested or contingent, choate or inchoate, known or unknown that the Releasing Parties (or any of them) has against the Released Parties or any of them (whether directly or indirectly), based in whole or in part on facts, whether or not now known, existing on or before the date hereof (and not, for the avoidance of doubt, arising at any time hereafter).  Each Borrower acknowledges that the foregoing release is a material inducement to Agent’s and each Required Lender’s decision to enter into this Agreement and agree to the modifications contemplated hereunder, and has been relied upon by Agent and Required Lenders in connection therewith.

6.No Waiver or Novation.  The execution, delivery and effectiveness of this Agreement shall not, except as expressly provided in this Agreement, operate as a waiver of any right, power or remedy of Agent, nor constitute a waiver of any provision of the Credit Agreement, the Financing Documents or any other documents, instruments and agreements executed or delivered in connection with any of the foregoing.  Nothing herein is intended or shall be construed as a waiver of any existing Defaults or Events of Default under the Credit Agreement or the other Financing Documents or any of Agent’s rights and remedies in respect of such Defaults or Events of Default.  This Agreement (together with any other document executed in connection herewith) is not intended to be, nor shall it be construed as, a novation of the Credit Agreement.

 

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7.Affirmation.  Except as specifically amended pursuant to the terms hereof, each Borrower hereby acknowledges and agrees that the Credit Agreement and all other Financing Documents (and all covenants, terms, conditions and agreements therein) shall remain in full force and effect, and are hereby ratified and confirmed in all respects by such Borrower.  Each Borrower covenants and agrees to comply with all of the terms, covenants and conditions of the Credit Agreement and the Financing Documents, notwithstanding any prior course of conduct, waivers, releases or other actions or inactions on Agent’s or any Lender’s part which might otherwise constitute or be construed as a waiver of or amendment to such terms, covenants and conditions.  

8.Miscellaneous.

(a)Reference to the Effect on the Credit Agreement.  Upon the effectiveness of this Agreement, each reference in the Credit Agreement to “this Agreement,” “hereunder,” “hereof,” “herein,” or words of similar import shall mean and be a reference to the Credit Agreement, as amended by this Agreement.     

(b)Incorporation of Credit Agreement Provisions.  The provisions contained in Section 11.6 (Indemnification) of the Credit Agreement are incorporated herein by reference to the same extent as if reproduced herein in their entirety.

(c)THIS AGREEMENT AND ALL DISPUTES AND OTHER MATTERS RELATING HERETO OR ARISING THEREFROM (WHETHER SOUNDING IN CONTRACT LAW, TORT LAW OR OTHERWISE), SHALL BE GOVERNED BY, AND SHALL BE CONSTRUED AND ENFORCED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK, WITHOUT REGARD TO CONFLICTS OF LAWS PRINCIPLES. 

(d)EACH BORROWER HEREBY CONSENTS TO THE JURISDICTION OF ANY STATE OR FEDERAL COURT LOCATED IN THE STATE OF NEW YORK IN THE CITY OF NEW YORK, BOROUGH OF MANHATTAN, AND IRREVOCABLY AGREES THAT, SUBJECT TO AGENT’S ELECTION, ALL ACTIONS OR PROCEEDINGS ARISING OUT OF OR RELATING TO THIS AGREEMENT SHALL BE LITIGATED IN SUCH COURTS.  EACH BORROWER EXPRESSLY SUBMITS AND CONSENTS TO THE JURISDICTION OF THE AFORESAID COURTS AND WAIVES ANY DEFENSE OF FORUM NON CONVENIENS. EACH BORROWER HEREBY WAIVES PERSONAL SERVICE OF ANY AND ALL PROCESS AND AGREES THAT ALL SUCH SERVICE OF PROCESS MAY BE MADE UPON SUCH BORROWER BY CERTIFIED OR REGISTERED MAIL, RETURN RECEIPT REQUESTED, ADDRESSED TO SUCH BORROWER AT THE ADDRESS SET FORTH IN THIS AGREEMENT AND SERVICE SO MADE SHALL BE COMPLETE TEN (10) DAYS AFTER THE SAME HAS BEEN POSTED.

 

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(e)EACH BORROWER, AGENT AND THE LENDERS HEREBY IRREVOCABLY WAIVES ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY AND AGREES THAT ANY SUCH ACTION OR PROCEEDING SHALL BE TRIED BEFORE A COURT AND NOT BEFORE A JURY.  EACH BORROWER, AGENT AND EACH LENDER ACKNOWLEDGES THAT THIS WAIVER IS A MATERIAL INDUCEMENT TO ENTER INTO A BUSINESS RELATIONSHIP, THAT EACH HAS RELIED ON THE WAIVER IN ENTERING INTO THIS AGREEMENT, AND THAT EACH WILL CONTINUE TO RELY ON THIS WAIVER IN THEIR RELATED FUTURE DEALINGS.  EACH BORROWER, AGENT AND EACH LENDER WARRANTS AND REPRESENTS THAT IT HAS HAD THE OPPORTUNITY OF REVIEWING THIS JURY WAIVER WITH LEGAL COUNSEL, AND THAT IT KNOWINGLY AND VOLUNTARILY WAIVES ITS JURY TRIAL RIGHTS.

(f)Headings.  Section headings in this Agreement are included for convenience of reference only and shall not constitute a part of this Agreement for any other purpose.

(g)Counterparts.  This Agreement may be signed in any number of counterparts, each of which shall be deemed an original and all of which when taken together shall constitute one and the same instrument.  Delivery of an executed counterpart of this Agreement by facsimile or by electronic mail delivery of an electronic version (e.g., .pdf or .tif file) of an executed signature page shall be effective as delivery of an original executed counterpart hereof and shall bind the parties hereto. 

(h)Entire Agreement.This Agreement constitutes the entire agreement and understanding among the parties hereto and supersedes any and all prior agreements and understandings, oral or written, relating to the subject matter hereof.

(i)Severability.  In case any provision of or obligation under this Agreement shall be invalid, illegal or unenforceable in any applicable jurisdiction, the validity, legality and enforceability of the remaining provisions or obligations, or of such provision or obligation in any other jurisdiction, shall not in any way be affected or impaired thereby.

(j)Successors/Assigns.  This Agreement shall bind, and the rights hereunder shall inure to, the respective successors and assigns of the parties hereto, subject to the provisions of the Credit Agreement and the other Financing Documents.

[SIGNATURES APPEAR ON FOLLOWING PAGES]  

 

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IN WITNESS WHEREOF, intending to be legally bound, the undersigned have executed this Agreement as of the day and year first hereinabove set forth.  

 

	
AGENT:
	
MIDCAP FINANCIAL TRUST, 

	
 
	
as Agent

	
 

	
 
	
By:
	
Apollo Capital Management, L.P.,

	
 
	
 
	
its investment manager

	
 
	
 
	
 

	
 
	
By:
	
Apollo Capital Management GP, LLC,

	
 
	
 
	
its general partner

	
 

	
 
	
By:
	
/s/ Maurice Amsellem

	
 
	
Name:
	
Maurice Amsellem

	
 
	
Title:
	
Authorized Signatory

 

 

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LENDER:
	
APOLLO INVESTMENT CORPORATION

	
 

	
 
	
By:
	
Apollo Investment Management, L.P., as Advisor

	
 

	
 
	
By:
	
ACC Management, LLC, as its General Partner

	
 
	
 
	
 

	
 
	
 
	
By:
	
/s/ Tanner Powell

	
 
	
 
	
Name:
	
Tanner Powell

	
 
	
 
	
Title:
	
Authorized Signatory

 

 

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LENDER:
	
FLEXPOINT MCLS SPV LLC

	
 

	
 
	
By:
	
/s/ Daniel Edelman

	
Name:
	
Daniel Edelman

	
Title:
	
Vice President

 

 

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LENDER:
	
ELM 2016-1 TRUST

	
 

	
 
	
By:
	
MidCap Financial Services Capital Management, LLC, as Servicer

	
 

	
 
	
By:
	
/s/ John O’Dea

	
 
	
Name:
	
John O’Dea

	
 
	
Title:
	
Authorized Signatory

	
 

	
LENDER:
	
ELM 2018-2 TRUST

	
 

	
 
	
By:
	
MidCap Financial Services Capital Management, LLC, as Servicer

	
 

	
 
	
By:
	
/s/ John O’Dea

	
 
	
Name:
	
John O’Dea

	
 
	
Title:
	
Authorized Signatory

 

 

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BORROWERS:
	
APTEVO THERAPEUTICS INC.

	
 

	
 

	
 
	
By:
	
/s/ Jeffrey Lamothe

	
 
	
Name:
	
Jeffrey Lamothe

	
 
	
Title:
	
Treasurer

	
 

	
 
	
Aptevo BioTherapeutics LLC

	
 
	
 

	
 
	
 

	
 
	
By:
	
/s/ Jeffrey Lamothe

	
 
	
Name:
	
Jeffrey Lamothe

	
 
	
Title:
	
Treasurer

	
 

	
 
	
Aptevo Research and Development LLC

	
 
	
 

	
 
	
 

	
 
	
By:
	
/s/ Jeffrey Lamothe

	
 
	
Name:
	
Jeffrey Lamothe

	
 
	
Title:
	
Treasurer

 

 

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