Document:

Exhibit 4.3

    

     

    

    SUPPLEMENTAL INDENTURE TO THE

      SECOND SUPPLEMENTAL INDENTURE

     

    This SUPPLEMENTAL INDENTURE dated as of June 12, 2020 (this “Supplemental Indenture”), between ROCKET PHARMACEUTICALS, INC. (f/k/a Inotek Pharmaceuticals
      Corporation), a Delaware corporation (the “Company”), and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association, as trustee under the Indenture referred to below (the “Trustee”).

     

    W I T N E S S E T H:

     

    WHEREAS, the Company and the Trustee have heretofore executed and delivered an Indenture, dated as of August 5, 2016 (the “Base Indenture”), and a Second
      Supplemental Indenture, which supplemented the Base Indenture, dated as of February 20, 2020 (as supplemented by this Supplemental Indenture and as may be further amended, supplemented or otherwise modified from time to time, the “Second Supplemental Indenture” and, together with the Base Indenture, the “Indenture”), providing for the issuance of the Company’s 6.25% Convertible Senior Notes due 2022
      (the “Notes”);

     

    WHEREAS, the Company has previously issued $39,350,000 aggregate principal amount of the Notes under the Indenture (the “Initial Notes”);

     

    WHEREAS, the Company wishes to issue an additional $7,500,000 aggregate principal amount of the Notes as additional Notes under the Indenture (the “New Notes”);

     

    WHEREAS, Section 2.09 of the Second Supplemental Indenture provides, among other things, that the Company may issue, from time to time, in accordance with the provisions of the Indenture, additional
      Notes;

     

    WHEREAS, the Company wishes to execute and deliver this Supplemental Indenture to create and provide for the issuance of the New Notes as additional Notes under the Indenture;

     

    WHEREAS, pursuant to Section 10.02 of the Second Supplemental Indenture, the Company and the Trustee are authorized to execute and deliver this Supplemental Indenture to provide for the issuance of
      the New Notes under the Indenture without the consent of any Holder; and

     

    WHEREAS, all things necessary to make the New Notes, when executed by the Company and authenticated and delivered by the Trustee, issued upon the terms and subject to the conditions set forth
      hereinafter and in the Indenture and delivered as provided in the Indenture against payment therefor, valid, binding and legal obligations of the Company, in accordance with their terms, and all actions required to be taken by the Company under the
      Indenture to make this Supplemental Indenture a valid, binding and legal agreement of the Company, in accordance with its terms, have been done.

     

    NOW, THEREFORE, in consideration of the foregoing and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Company and the Trustee mutually
      covenant and agree for the equal and ratable benefit of the Holders as follows:

     

    
      
        

    

    
    1.          Defined Terms. All capitalized terms used herein and not otherwise defined herein shall have the meanings ascribed thereto in the Indenture.

     

    2.          Creation and Terms of the New Notes. In accordance with Section 2.09 of the Second Supplemental Indenture, the Company hereby creates the New Notes as additional Notes
      under the Indenture. The New Notes will be issued as part of the existing series of Initial Notes and shall be consolidated with and form a single class with the Initial Notes for all purposes under the Indenture. The New Notes shall have the same
      terms and conditions in all respects as the Initial Notes, except that the issue date of the New Notes shall be June 12, 2020. The New Notes issued in the form of a Global Note will be issued under the same CUSIP number (77313FAA4) as the Initial
      Notes. The form of Global Note representing the New Notes shall be substantially in the Form of Note attached to the Second Supplemental Indenture as Exhibit A.

     

    3.          Aggregate Principal Amount of the New Notes. The aggregate principal amount of the New Notes to be authenticated and delivered under this Supplemental Indenture is
      $7,500,000.

     

    4.          Ratification of the Indenture. Except as expressly amended and supplemented hereby, the Indenture is in all respects ratified and confirmed, and all the terms,
      conditions and provisions thereof shall remain in full force and effect. This Supplemental Indenture shall form a part of the Indenture for all purposes, and every Holder of Notes heretofore or hereafter authenticated and delivered shall be bound
      hereby.

     

    5.          Governing Law. THIS SUPPLEMENTAL INDENTURE AND EACH NEW NOTE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK.

     

    6.          Separability Clause. In case any provision in this Supplemental Indenture shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the
      remaining provisions shall not in any way be affected or impaired thereby.

     

    7.          Successors. All agreements of the Company and the Trustee in this Supplemental Indenture shall bind their respective successors.

     

    8.          Counterparts. This Supplemental Indenture may be executed in any number of counterparts, each of which shall be an original, but such counterparts shall together
      constitute but one and the same instrument. 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. The words “execution,”
      “signed,” “signature,” and words of similar import in this Supplemental Indenture shall be deemed to include electronic or digital signatures or the keeping of records in electronic form, each of which shall be of the same effect, validity, and
      enforceability as manually executed signatures or a paper-based recordkeeping system, as the case may be, to the extent and as provided for under applicable law, including the Electronic Signatures in Global and National Commerce Act of 2000 (15
      U.S.C. §§ 7001-7006), the Electronic Signatures and Records Act of 1999 (N.Y. State Tech. §§ 301-309), or any other similar state laws based on the Uniform Electronic Transactions Act; provided that, notwithstanding anything herein to the contrary,
      the Trustee is not under any obligation to agree to accept electronic signatures in any form or in any format unless expressly agreed to by such Trustee pursuant to procedures approved by such Trustee.

     

    
      2

      
        

    

    9.          Headings. The headings of the sections of this Supplemental Indenture have been inserted for convenience of reference only, are not to be considered a part hereof,
      and shall in no way modify or restrict any of the terms or provisions hereof.

     

    10.        Trustee Not Responsible for Recitals. The Trustee makes no representation or warranty as to the validity or sufficiency of this Supplemental Indenture or with respect
      to the recitals contained herein, all of which recitals are made solely by the Company.

     

    [Signature page follows]

     

    
      3

      
        

    

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

     

    	 	
            ROCKET PHARMACEUTICALS, INC.

          
	 	  

          
	 	By: 	
            /s/ Gaurav Shah          

          
	 	 	Name: 

          	
            Gaurav Shah

          
	 	 	Title:	
            Chief Executive Officer and President

          

    
       

      

      [Signature Page to Supplemental Indenture to Second Supplemental Indenture]

       

      

    

    
      
        

    

    	 	
            TRUSTEE:

          
	 	 
	 	
            WILMINGTON TRUST, NATIONAL ASSOCIATION

          
	 	 	 
	 	
            By:

          	
            /s/ Quinton M. DePompolo

          
	 	 	
            Name:

          	
            Quinton M. DePompolo

          
	 	 	
            Title:

          	
            Banking Officer

          

    

    

    [Signature Page to Supplemental Indenture to Second Supplemental Indenture]Exhibit 10b

  

  

  POWER OF ATTORNEY

  

  

  We, the undersigned directors and/or officers of The Lincoln National Life Insurance Company, hereby constitute and appoint Delson R. Campbell, Scott C. Durocher, Kimberly A. Genovese, Daniel P. Herr, Donald E. Keller, Michelle Grindle,  Jeffrey L. Smith, Jassmin McIver-Jones, Carolyn Augur and John D. Weber,  individually, our true and lawful
    attorneys-in-fact, with full power to each of them to sign for us, in our names and in the capacities indicated below, any Registration Statements and any and all amendments to Registration Statements; including exhibits, or other documents filed on
    Forms N-6, N-4 or S-3 or any successors or amendments to these Forms, filed with the Securities and Exchange Commission, under the Securities Act of 1933 and/or Securities Act of 1940, on behalf of the Company in its own name or in the name of one of
    its Separate Accounts, hereby ratifying and confirming our signatures as they may be signed by any of our attorneys-in-fact to any such amendments to said Registration Statements as follows:

  

  

  Variable Life Insurance Separate Accounts:

   

  

  	
          Account

        	
          Product name

        
	
          Lincoln Life Flexible Premium Variable Life Account D (811-04592)

        	
          Variable Universal Life Leadership Series

        
	
          Lincoln Life Flexible Premium Variable Life Account F (811-05164)

        	
          American Legacy Life

          American Legacy Estate Builder

        
	
          Lincoln Life Flexible Premium Variable Life Account G (811-05585)

        	
          VUL-III

        
	
          Lincoln Life Flexible Premium Variable Life Account J (811-08410)

        	
          American Legacy Variable Life

        
	
          Lincoln Life Flexible Premium Variable Life Account K (811-08412)

        	
          Multi Fund Variable Life

        
	
          Lincoln Life Flexible Premium Variable Life Account M (811-08557)

        	
          VULdb / VULdb ES

          VULdb-II ES

          VUL-I / VULcv

          VULcv-II / VULcvII ES / VUL Flex

          VULcv-III ES

          MoneyGuard VUL

          VULone ES / VULone 2005 ES

          Momentum VULone / Momentum VULone 2005

          VULcv-IV ES

          VULdb-IV ES

          Momentum VULone 2007

          VULone 2007

          AssetEdge VUL

          AssetEdge VUL2015/AssetEdge Exec VUL 2015

          VULone2012

          VULone2014

          InReach VULone2014

          VULone2019

          AssetEdge VUL2019/AssetEdge Exec VUL 2019

          AssetEdge VUL2019-2/AssetEdge Exec VUL 2019-2

          AssetEdge VUL2020/AssetEdge Exec VUL 2020

        
	
          Lincoln Life Flexible Premium Variable Life Account R (811-08579)

        	
          SVUL / SVUL-I

          SVUL-II / SVUL-II ES

          SVUL-III ES

          SVUL-IV ES / PreservationEdge SVUL

          SVULone ES

          Momentum SVULone

          SVULone 2007 ES

          Momentum SVULone 2007

          SVULone2013

          SVULone2016

          SVULone2019

        
	
          Lincoln Life Flexible Premium Variable Life Account S (811-09241)

        	
          CVUL / CVUL Series III / CVUL Series III ES

          LCV4 ES

          LCV5 ES / LCC VUL

          Lincoln Corporate Executive VUL

        
	
          Lincoln Life Flexible Premium Variable Life Account Y (811-21028)

        	
          American Legacy VULcv-III

          American Legacy VULdb-II

          American Legacy SVUL-II

          American Legacy SVUL-III

          American Legacy VULcv-IV

          American Legacy VULdb-IV

          American Legacy SVUL-IV/PreservationEdge SVUL

          American Legacy AssetEdge

        

  

  

  Variable Annuity Separate Accounts:

  

  

  	
          Account

        	
          Product name

        
	
          Lincoln National Variable Annuity Account C (811-03214)

        	
          Multi-Fund

          Multi-Fund Select

          Multi-Fund 5 Retirement Annuity

        
	
          Lincoln National Variable Annuity Account E (811-04882)

        	
          The American Legacy

        
	
          Lincoln National Variable Annuity Account H (811-05721)

        	
          American Legacy II

          American Legacy III

          American Legacy III B Class

          American Legacy III C Share

          American Legacy III Plus

          American Legacy III View

          American Legacy Design

          American Legacy Signature

          American Legacy Fusion

          American Legacy Series

          American Legacy Advisory

          American Legacy Target Date Income B Share

          American Legacy Target Date Income Advisory

          Shareholder’s Advantage

          Shareholder’s Advantage A Class

          Shareholder’s Advantage purchased on and after May 21, 2018

        
	
          Lincoln National Variable Annuity Account L (811-07645)

        	
          Group Variable Annuity

          Secured Retirement Income Version 1

          Secured Retirement Income Version 2

          Secured Retirement Income Version 3

          Secured Retirement Income Version 4

          Retirement Income Rollover Version 1

          Retirement Income Rollover Version 2

          Retirement Income Rollover Version 3

          Retirement Income Rollover Version 4

        
	 	 
	
          Lincoln Life Variable Annuity Account N (811-08517)

        	
          ChoicePlus Assurance (A Share)

          ChoicePlus Assurance (A Class)

          ChoicePlus Assurance (B Share)

          ChoicePlus Assurance (B Class)

          ChoicePlus Assurance (C Share)

          ChoicePlus Assurance (L Share)

          ChoicePlus Assurance (Bonus)

          Choice Plus

          Choice Plus II

          ChoicePlus Access

          ChoicePlus II Access

          ChoicePlus Bonus

          ChoicePlus II Bonus

        
	 	
          ChoicePlus II Advance

          ChoicePlus Design

          ChoicePlus Signature

          ChoicePlus Rollover

          ChoicePlus Fusion

          ChoicePlus Series

          ChoicePlus Prime

          ChoicePlus Advisory

          ChoicePlus Select B-Share

          InvestmentSolutions

          InvestmentSolutions RIA

          Lincoln Investor Advantage

          Lincoln Invester Advantage 2018

          Lincoln Investor Advantage Fee-Based

          Lincoln Investor Advantage RIA

          Lincoln Investor Advantage Advisory

          Lincoln Investor Advantage RIA Class

          Lincoln Investor Advantage Advisory Choice

          Lincoln Level Advantage B Share Indexed Variable Annuity

          Lincoln Level Advantage Advisory Indexed Variable Annuity

          Lincoln Level Advantage B Class Indexed Variable Annuity

          Lincoln Level Advantage Advisory Class Indexed Variable Annuity

          Lincoln Level Advantage Fee-Based Indexed Variable Annuity

          Lincoln Level Advantage Select B-Share Indexed Variable Annuity

          Lincoln Level Advantage Design B-Share Indexed Variable Annuity

          Lincoln Level Advantage Design Advisory Indexed Variable Annuity

          Core Income

        
	
          Lincoln Life Variable Annuity Account Q (811-08569)

        	
          Multi-Fund Group

        
	
          Lincoln Life S-3 Filing

        	
          Lincoln Level Advantage B Share Indexed Variable Annuity

          Lincoln Level Advantage Advisory Indexed Variable Annuity

          Lincoln Level Advantage B Class Indexed Variable Annuity

          Lincoln Level Advantage Advisory Class Indexed Variable Annuity

          Lincoln Level Advantage Fee-Based Indexed Variable Annuity

          Lincoln Level Advantage Select B Share Indexed Variable Annuity

          Lincoln Level Advantage Design B-Share Indexed Variable Annuity

          Lincoln Level Advantage Design Advisory Indexed Variable Annuity

        

  

  

  

  

  Except as otherwise specifically provided herein, the power-of-attorney granted herein shall not in any manner revoke in whole or in part any power-of-attorney that
    each person whose signature appears below has previously executed.  This power-of-attorney shall not be revoked by any subsequent power-of-attorney each person whose signature appears below may execute, unless such subsequent power specifically refers
    to this power-of-attorney or specifically states that the instrument is intended to revoke all prior general powers-of-attorney or all prior powers-of-attorney.

  

  

  This Power-of-Attorney may be executed in separate counterparts each of which when executed and delivered shall be an original; but all such counterparts shall
    together constitute one and the same instrument.  Each counterpart may consist of a number of copies, each signed by less than all, but together signed by all, of the undersigned.

  

  

  

  

  Signature                                                                                                  Title

  

  

  /s/Dennis R. Glass

  
    
      	______________________________	
              President, Chairman and Director

            

    

  

  Dennis R. Glass

  

  

  /s/Ellen G. Cooper

  
    
      	______________________________	
              Executive Vice President, Chief Investment Officer and Director

              

            

    

  

  Ellen G. Cooper                                                                                                          

  

  

  /s/Randal J. Freitag

  
    
      	______________________________	
              Executive Vice President; Chief Financial Officer and Director

            

    

  

  Randal J. Freitag

  

  

  /s/Christine A. Janofsky

  
    
      	______________________________	
              Senior Vice President and Controller

            

    

  

  Christine A. Janofsky

  

  

  /s/Leon E. Roday

  
    
      	______________________________	
              Executive Vice President, General Counsel and Director

            

    

  

  Leon E. Roday

  

  

  /s/Wilford H. Fuller

  
    
      	______________________________	
              Executive Vice President and Director

            

    

  

  Wilford H. Fuller

  

  

  /s/Keith J. Ryan

  ______________________________                                                                                                             
    Vice President and Director

  Keith J. Ryan

  

  

  

  

  We, Delson R. Campbell, Scott C. Durocher, Kimberly A. Genovese, Daniel P. Herr, Donald E. Keller,  Michelle Grindle, Jeffrey L. Smith, Jassmin McIver-Jones,
    Carolyn Augur and John D. Weber, have read the foregoing Power of Attorney.  We are the person(s) identified therein as agent(s) for the principal named therein.  We acknowledge our legal responsibilities.

  

  

  /s/Delson R. Campbell                                                                                                                                                            /s/Scott C. Durocher

  ____________________________________                                                               
    _____________________________________

  Delson R. Campbell                                                                                                                                              Scott C. Durocher

  

  

  /s/Kimberly A. Genovese                                                                                                                                              /s/Daniel P. Herr

  ____________________________________                                                                  
    _____________________________________

  Kimberly A. Genovese                                                                                                                                                            Daniel P. Herr

  

  

  /s/Donald E. Keller                                                                                                                                              /s/Michelle Grindle

  ____________________________________                                                                  
    _____________________________________

  Donald E. Keller                                                                                                                         
                                   Michelle Grindle

  

  

  /s/Jeffrey L. Smith                                                                                                                                              /s/John D. Weber

  _____________________________________                                                              
    _____________________________________

  Jeffrey L. Smith                                                                                                                                           
                      John D. Weber

  

  

  /s/Jassmin McIver-Jones                                                                                                                                              /s/Carolyn Auger

  _____________________________________                                                                    
    _____________________________________

  Jassmin McIver-Jones                                                                                                                                              Carolyn Augur

  

  

  

  

  

  

  Version dated: 5/2020

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