Document:

Exhibit

THE SPECTRANETICS CORPORATION
2016 INCENTIVE AWARD PLAN

RESTRICTED STOCK UNIT GRANT NOTICE

The Spectranetics Corporation, a Delaware corporation (the “Company”), pursuant to The Spectranetics Corporation 2016 Incentive Award Plan (as it may be amended from time to time, the “Plan”), hereby grants to the individual listed below (the “Participant”) the following award of Restricted Stock Units (“RSUs”).  This award of RSUs is subject to all of the terms and conditions set forth herein and in the Restricted Stock Unit Agreement attached hereto as Appendix A (the “Restricted Stock Unit Agreement”) and in the Plan, each of which is incorporated herein by reference.  All capitalized terms used and not otherwise defined in this Grant Notice or the Restricted Stock Unit Agreement shall have the meanings ascribed to such terms in the Plan unless the context clearly indicates otherwise.

	
			
	Participant:
	 
	 

	Grant Date:
	 
	 

	Number of RSUs:
	 
	 

	Vesting Schedule:
	 
	 

	Payment of RSUs:
	 
	Vested RSUs shall be paid to the Participant in the form of shares of Stock as set forth in Section 4 of the attached Restricted Stock Unit Agreement.

	Termination of RSUs: 
	 
	In the event that the Participant ceases to be a Service Provider (a “Termination of Service”), all RSUs that have not vested prior to or in connection with such Termination of Service shall be immediately forfeited by the Participant as of the date of such Termination of Service without consideration therefor.

By his or her signature and the Company’s signature below, the Participant agrees to be bound by the terms and conditions of the Plan, the Restricted Stock Unit Agreement and this Grant Notice.  The 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.  In the event that there are any inconsistencies between the terms of the Plan and the terms of this Grant Notice or the Restricted Stock Unit Agreement, the terms of the Plan shall control.  The Participant hereby agrees to accept as binding, conclusive and final all decisions or interpretations of the Committee upon any questions arising under the Plan, this Grant Notice or the Restricted Stock Unit Agreement.
IN WITNESS WHEREOF, this Grant Notice has been executed and delivered by the parties hereto as of the Grant Date first written above. 
	
					
	THE SPECTRANETICS 
CORPORATION:
	 
	 PARTICIPANT:

	By:
	 
	 
	Signature:
	 

	Name:
	Robert Fuchs
	 
	Print Name:
	 

	Title:
	Senior Vice President, Global Human Resources
	 
	Address:
	 

	 
	 
	 
	 
	 

	 
	 
	 
	 
	 

	 
	 
	 
	 
	 

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APPENDIX A 
TO RESTRICTED STOCK UNIT GRANT NOTICE
RESTRICTED STOCK UNIT AGREEMENT
1.Grant.  Pursuant to the Restricted Stock Unit Grant Notice (the “Grant Notice”) to which this Restricted Stock Unit Agreement (the “Agreement”) is attached, The Spectranetics Corporation, a Delaware corporation (the “Company”), has granted to the Participant an award of [___] RSUs under The Spectranetics Corporation 2016 Incentive Award Plan (as it may be amended from time to time, the “Plan”), as set forth in the Grant Notice, subject to all of the terms and conditions contained in this Agreement and the Plan.  All capitalized terms used but not defined herein shall have the meanings ascribed to such terms in the Plan and the Grant Notice unless the context clearly indicates otherwise.  
2.RSUs.  Each RSU that vests shall represent the right to receive payment, in accordance with Section 5 below, in the form of one share of Stock.  Unless and until an RSU vests, the Participant will have no right to payment in respect of any such RSU.  Prior to actual payment in respect of any vested RSU, such RSU will represent an unfunded and unsecured contingent obligation of the Company, payable (if at all) only from the general assets of the Company.
3.Vesting and Termination.    The RSUs shall vest and shall terminate as set forth in the Grant Notice.  All RSUs that have not become vested as of the Participant’s Termination of Service shall thereupon terminate and be forfeited and canceled without payment of consideration therefor.
4.Payment after Vesting; Code Section 409A.  The issuance of shares (in book-entry form or otherwise) in respect of any RSUs that vest in accordance herewith shall be made to the Participant (or in the event of the Participant’s death, to the Participant’s estate, designated beneficiary or other beneficiary contemplated by the Plan) in whole shares of Stock on as soon as practicable following the date on which such RSUs vest.  The Committee shall determine, in its sole discretion, whether and how any fractional vested RSUs will be paid.  Notwithstanding anything herein to the contrary, no such payment shall be made to the Participant during the six-month period following the Participant’s “separation from service” (within the meaning of Section 409A of the Code) if the Participant is a “specified employee” (within the meaning of Section 409A of the Code) on the date of such separation from service (as determined by the Company in accordance with Section 409A of the Code) and the Company determines that paying such amounts at the time set forth in this Section 4 would be a prohibited distribution under Section 409A(a)(2)(B)(i) of the Code.  If the payment of any such amounts is delayed as a result of the previous sentence, then on the first day following the end of such six-month period, the Company shall pay the Participant the cumulative amounts that would have otherwise been payable to the Participant during such six-month period.
5.Tax Withholding.  The Company shall have the authority and the right to deduct or withhold, or to require the Participant to remit to the Company, an amount sufficient to satisfy all applicable federal, state and local taxes (including the Participant’s employment tax obligations, if any) required by law to be withheld with respect to any taxable event arising in connection with the RSUs.  Without limiting the generality of Section 14 of the Plan, the Participant may, in satisfaction of the foregoing requirement, elect to have the Company withhold or cause to be withheld shares of Stock otherwise issuable in respect of such RSUs having a Fair Market Value equal to the sums required to be withheld.  Notwithstanding any other provision of the Plan or this Agreement, the number of shares of Stock which may be so withheld shall be limited to the number of shares of Stock which have a Fair Market Value on the date of withholding equal to the aggregate amount of such liabilities based on the 

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minimum statutory withholding rates for income and payroll tax purposes that are applicable to such supplemental taxable income.
6.Rights as Shareholder.  Neither the Participant nor any person claiming under or through the Participant will have any of the rights or privileges of a shareholder of the Company in respect of any shares of Stock that may become deliverable hereunder unless and until certificates representing such shares of Stock shall have been issued, recorded on the records of the Company or its transfer agents or registrars, and delivered in certificate or book entry form to the Participant or any person claiming under or through the Participant.
7.Non-Transferability.  Neither the RSUs nor any interest or right therein shall be liable for the debts, contracts or engagements of the Participant or his or her successors in interest or shall 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; provided, however, that this Section 7 shall not prevent transfers by will or by the applicable laws of descent and distribution or pursuant to a domestic relations order as defined by the Code or Title I of the Employee Retirement Income Security Act of 1974, as amended, or the rules thereunder.  Upon any attempt by the Participant to transfer, assign, pledge, hypothecate or otherwise dispose of this grant, or any right or privilege conferred hereby, or upon any attempted sale by the Participant under any execution, attachment or similar process, this grant and the rights and privileges conferred hereby shall immediately become null and void.  
8.Distribution of Stock.  Notwithstanding anything herein to the contrary, the Company shall not be required to issue or deliver any certificates evidencing shares of Stock pursuant to this Agreement unless and until the Committee has determined, with advice of counsel, that the issuance and delivery of such certificates is in compliance with all applicable laws, regulations of governmental authorities and, if applicable, the requirements of any exchange on which the shares of Stock are listed or traded.  All Stock certificates delivered pursuant to this Agreement shall be subject to any stop-transfer orders and other restrictions as the Committee deems necessary or advisable to comply with federal, state, or foreign jurisdiction, securities or other laws, rules and regulations and the rules of any national securities exchange or automated quotation system on which the Stock is listed, quoted, or traded.  In the event that any such issuance or delivery is delayed because the Company reasonably determines that such issuance or delivery will violate Federal securities laws or other applicable law, such issuance or delivery shall be made at the earliest date at which the Company reasonably determines that such issuance or delivery will not cause such violation, as required by Treasury Regulation Section 1.409A-2(b)(7)(ii).  The Company shall not delay any such recording or delivery if such delay will result in a violation of Section 409A of the Code.  The Committee may place legends on any Stock certificate to reference restrictions applicable to the Stock.   In addition to the terms and conditions provided herein, the Committee may require that the Participant make such reasonable covenants, agreements, and representations as the Committee, in its discretion, deems advisable in order to comply with any such laws, regulations, or requirements.  The Committee shall have the right to require the Participant to comply with any timing or other restrictions with respect to the settlement of any RSUs, including a window-period limitation, as may be imposed in the discretion of the Committee.  Notwithstanding any other provision of this Agreement, unless otherwise determined by the Committee or required by any applicable law, rule or regulation, the Company shall not deliver to the Participant any certificates evidencing shares of Stock issued upon settlement of any RSUs under this Agreement and instead such shares of Stock shall be recorded in the books of the Company (or, as applicable, its transfer agent or stock plan administrator) and all references herein to certificates shall be deemed to apply instead to recordation in such books.  

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9.No Effect on Service Relationship.  Nothing in this Agreement or in the Plan shall confer upon the Participant any right to serve or continue to serve as an Employee, Consultant, member of the Board or other service provider of the Company or any Subsidiary.
10.Severability.  In the event that any provision in this Agreement is held invalid or unenforceable, such provision will be severable from, and such invalidity or unenforceability will not be construed to have any effect on, the remaining provisions of this Agreement, which shall remain in full force and effect.
11.Tax Consultation.  The Participant understands that the Participant may suffer adverse tax consequences in connection with the RSUs granted pursuant to this Agreement.  The Participant represents that the Participant has consulted with any tax consultants that the Participant deems advisable in connection with the RSUs and that the Participant is not relying on the Company for tax advice.
12.Amendments, 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 Committee or the Board.
13.Conformity to Securities Laws.  The Participant acknowledges that the Plan and this Agreement are intended to conform to the extent necessary with all provisions of the Securities Act of 1933, as amended, and the Exchange Act and any and all regulations and rules promulgated by the Securities and Exchange Commission thereunder, and all applicable state securities laws and regulations.  Notwithstanding anything herein to the contrary, the Plan shall be administered, and the RSUs are granted, only in such a manner as to conform to such laws, rules and regulations.  To the extent permitted by applicable law, the Plan and this Agreement shall be deemed amended to the extent necessary to conform to such laws, rules and regulations.
14.Limitations Applicable to Section 16 Persons.  Notwithstanding any other provision of the Plan or this Agreement, if the Participant becomes subject to Section 16 of the Exchange Act, the Plan, the RSUs 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.
15.Code Section 409A.  Neither the RSUs nor this Agreement is intended to provide for any deferral of compensation subject to Section 409A of the Code, and, accordingly, notwithstanding anything to the contrary, the shares of Stock issuable hereunder shall be distributed no later than the later of: (i) the fifteenth (15th) day of the third (3rd) month following Participant’s first taxable year in which the RSUs are no longer subject to a substantial risk of forfeiture, and (ii) the fifteenth (15th) day of the third (3rd) month following the first taxable year of the Company in which the RSUs are no longer subject to substantial risk of forfeiture, as determined in accordance with Code Section 409A and any Treasury Regulations and other guidance issued thereunder.  Nevertheless, to the extent that the Committee determines that any RSUs may not be exempt from (or compliant with) Section 409A of the Code, the Committee may (but shall not be required to) amend this Agreement in a manner intended to comply with the requirements of Section 409A of the Code or an exemption therefrom (including amendments with retroactive effect), or take any other actions as it deems necessary or appropriate to (a) exempt the RSUs from Section 409A of the Code and/or preserve the intended tax treatment of the benefits provided with respect to the RSUs, or (b) comply with the requirements of Section 409A of the Code.  To the extent 

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applicable, this Agreement shall be interpreted in accordance with the provisions of Section 409A of the Code.
16.Adjustments.  The Participant acknowledges that the RSUs are subject to modification and termination in certain events as provided in this Agreement and Section 15 of the Plan.
17.Notices.  Notices required or permitted hereunder shall be given in writing and shall be deemed effectively given upon personal delivery or upon deposit in the United States mail by certified mail, with postage and fees prepaid, addressed to the Participant to his or her address shown in the Company records, and to the Company at its principal executive office.
18.Successors 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 contained herein, this Agreement shall be binding upon the Participant and his or her heirs, executors, administrators, successors and assigns.
19.Governing Law.   This Agreement shall be administered, interpreted and enforced under the internal laws of the State of Delaware, without giving effect to any choice of law or conflict of law provision or rule (whether of the State of Delaware or any other jurisdiction) that would cause the application of the laws of any jurisdiction other than the State of Delaware.
20.Captions.  Captions provided herein are for convenience only and are not to serve as a basis for interpretation or construction of this Agreement.

A-4SECOND
AMENDMENT TO

EXECUTIVE
EMPLOYMENT AGREEMENT

 

This
is the Second Amendment (this “Amendment”) to that certain Executive Employment Agreement (the “Agreement”)
by and between Car Charging Group, Inc. (the “Company”) and Michael D. Farkas (“Executive”) dated October
29, 2010.

 

The
parties make the following terms and conditions part of the Agreement:

 

1. Effective
Date. The Effective Date of the Amendment is July 24, 2015.

 

2. Appointment
as Chief Visionary Officer. As of the Effective Date, Executive shall be appointed as Chief Visionary Officer of the Company
and shall no longer serve as Chief Executive Officer. Additionally, he will remain Executive Chairman of the Board of Directors,
and, at the discretion of the Company’s Board, he will remain a member of the Company’s Executive Committee and a
member of the Company’s OPFIN Committee. As Chief Visionary Officer, Executive will focus on (i) bringing the Company’s
financial reporting up-to-date, (ii) hardware development, (iii) finding and closing on potential fundraising opportunities, and
(iv) the uplisting of the Company. Executive’s salary shall not be changed by this Amendment and Executive shall remain
entitled to receive payment for installations consistent with amounts currently paid to upper management of the Company.

 

3. Board
Member Compensation. So long as Executive serves as a member of the Company’s Board of Directors, and it is otherwise
permissible under the Company’s existing financing arrangements, Executive’s compensation shall be the following for
his attendance at meetings of the Board of Directors:

 

	 	a.	5,000
    options to purchase shares of the Company’s common stock at a price equal to $0.01 above the closing price of the Company’s
    common stock on the date of the meeting for which the options are paid in accordance with the Company’s then-current
    incentive plan; and
	 	 	 
	 	b.	A
    “Nominal Fee” of $1,500 cash per meeting. The Company reserves the right to elect to pay the Nominal Fee in shares
    of Company common stock at a value of two times its cash value based on the closing price of the Company’s common stock
    on the date of the meeting for which the Nominal Fee is paid in accordance with the Company’s then-current incentive
    plan.

 

If
a Board of Directors meeting is held on a day the stock market is not open, the price shall be based on the closing price of the
Company’s common stock on the next available business day.

 

4. Incentive
Payment. In the event a sale of the Company is effected within one (1) year of the Effective Date, Executive shall be entitled
to receive an incentive payment for his work on and support of the sale process equal to one percent (1%) of the gross sale price.
During the term of the Agreement, Executive shall not receive payment under this Section (or otherwise) based on amounts raised
by the Company through a re-IPO process or other traditional or non-traditional capital raising efforts.

 

5. Term.
The Term of Executive’s employment hereunder shall commence on the Effective Date and end on the four (4) month anniversary
thereof, unless determined by the Company’s Board of Directors that it is in the best interests of the Company to extend
the term. Executive’s participation on the Company’s Board of Directors and its committees shall not be affected by
the termination of his employment as Chief Visionary Officer hereunder. Section 4(D)(ii) of the Agreement is hereby deleted in
its entirety.

 

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6. Affiliate
Agreements. The parties expressly agree and acknowledge that that certain Car Charging Group, Inc. Fee/Commission Agreement
dated November 17, 2009 between Car Charging, Inc. and The Farkas Group, Inc. (the “Fee Agreement”), that certain
Consulting Agreement dated October 20, 2009 between Car Charging, Inc. and The Farkas Group, Inc. (the “Consulting Agreement”),
and that certain Patent License Agreement dated March 29, 2012 among the Company, Executive and Balance Holdings, LLC (collectively
with the Fee Agreement and the Consulting Agreement, the “Affiliate Agreements”) shall remain in full force and effect
in accordance with their terms except that (i) any and all amounts that may be owed under the Affiliate Agreements through the
Effective Date are hereby released, forgiven and discharged and (ii) the Fee Agreement and the Consulting Agreement shall, unless
reinstated earlier by the Company’s Board of Directors, be temporarily suspended for so long as Executive remains Chief
Visionary Officer of the Company.

 

7. Consideration.
The parties further expressly agree and acknowledge that in consideration of the agreements contained herein and in full and complete
satisfaction of any and all amounts owed to Executive and/or Executive’s affiliates pursuant to the Agreement and/or the
Affiliate Agreements through the Effective Date (including without limitation $240,000 in unpaid salary under the Agreement),
the Company shall deliver to Executive a total of $400,000 worth of Series C Preferred Stock simultaneously herewith.

 

8. Warrants
and Options. Any and all options or warrants awarded to the Executive (or an Affiliate of Executive) to acquire the Company’s
common stock which are held as of the Effective Date shall vest immediately.

 

9. Conflicts.
In the event that there is a conflict between the provisions of this Amendment and the Agreement, the terms stated herein shall
prevail. Any terms and conditions stated in the Agreement that remain unchanged by the terms of this Amendment shall remain in
full force and effect.

 

10. Counterparts.
This Amendment may be executed in any number of counterparts, including facsimile and scanned versions, each of which when so
executed shall be deemed an original and all of which shall constitute together one and the same instrument, and shall be effective
upon execution by all of the parties.

 

IN
WITNESS WHEREOF, the parties have executed this Second Amendment to Consulting Agreement.

 

	CAR
    CHARGING GROUP, INC. 	 	EXECUTIVE
	 	 	 	 
	By:
    	 	 	 
	 	Andy
    Kinard, President	 	Michael
    D. Farkas

 

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