Document:

ex10-2.htm

Exhibit 10.2

 

AMENDMENT NO. 2 –

LICENSE AGREEMENT

(Spirits)

Amendment No. 2, dated as of August 30, 2012 (“Amendment”), to the License Agreement by and among Worldwide Beverage Imports, LLC (“WBI”) and Drinks Americas Holdings, LTD. (“Drinks”) dated June 27, 2011 (the “Original License Agreement”) and, as amended hereby, the “Agreement”).  Capitalized terms used but not defined herein have the meanings given to them in the Original License Agreement.

R E C I T A L S:

WHEREAS, in order to induce WBI to enter into this Amendment, Drinks agreed to issue WBI, or its designees, 2,750,000 shares of Drinks’ common stock and 250,000 shares of Drinks’ newly designated Series D Preferred Stock; and

WHEREAS, WBI and Drinks wish to amend the Original License Agreement on the terms set forth herein.

NOW THEREFORE, the parties agree as follows:

Amendment No. 1:  Amendment to Section 4, Use of Trademarks. Section 4, of the Original License Agreement is hereby amended and restated as follows:

“4. USE OF TRADEMARK

WBI hereby grants Drinks the non-exclusive right to use and display WBIs trademarks, service marks, and trade names that are applicable to WBI Products. Drinks will not alter, remove, or modify any of WBI's Names or Marks as they appear on WBI Products or use same in any manner other than in accordance with WBI instructions. Drinks will not use any of WBIs Marks as part of its corporate, trade or other business name.  Drinks will not register any trademark applicable to WBI Products.  The non-exclusive right granted in this Section 4 shall only apply to trademarks, service marks and trade names and not to rights granted elsewhere in this Agreement.”

Amendment No. 2:  Amendment to Section 5, Prices. Section 5, Prices, of the Original License Agreement s hereby amended and restated as follows:

“5. PRICES

Purchase prices for WBI Products shall be as mutually agreed upon in advance, in writing.  Change in pricing will be subject to a 30 day written notification”

Amendment No. 3:  Amendment to Section 15, Termination of this Agreement. Section 15, Termination of this Agreement, Section A, of the Original License Agreement is hereby amended and restated as follows:

 

“A.          Obligations on Termination.

 

  

1

  

 

Upon termination of this Agreement for any reason whatsoever, Drinks and WBI shall perform each and all of the following obligations, all of which shall survive such termination:

 

	
(i)  

	
Drinks shall immediately pay to WBI all sums owed by Drinks to WBI;

 

	
(ii)  

	
Drinks shall discontinue the use of any WBI Trade or Service Marks;

 

	
(iii)  

	
Drinks will promptly refer to WBI the details of any verbal or written inquiries Drinks may receive regarding any of WBIs Products, and, in the case of written inquiries, will provide copies thereof to WBI;

 

	
(iv)  

	
Drinks shall do all other things as WBI may reasonably request for the purpose of terminating Drinks' business and contractual arrangements with WBI and effecting an orderly transition of sales and/or service from Drinks to WBI; and

 

	
(v)  

	
Upon demand by WBI, Drinks will irrevocably assign to WBI its right to receive any and all payments from any vendor of distributor of Drinks from the sale of WBI products.  This assignment includes WBI’s right to compel Drinks to revise and/or transfer any outstanding invoices from Drinks to WBI and allow WBI to demand payment directly from Drinks distributors and vendors.  Upon such demand and thereafter as required, Drinks will, without limitation, undertake all necessary steps to execute, acknowledge, and deliver any requested documents of assignment and/or conveyance; obtain and aid in the enforcement of WBI’s rights hereunder and, if applicable, provide information to the vendor or distributor ordering a change to the payee information on an invoice from Drinks to WBI; and perform any other acts deemed necessary or desirable to carry out the purposes of this section.”

 

Amendment No. 4:  Amendment to Section 20, Choice of Law. Section 20, Choice of Law, of the Original License Agreement is hereby amended and restated as follows:

20.           CHOICE OF LAW; VENUE

The validity, construction and performance of the Agreement shall be interpreted, construed and enforces according to the laws of the State of California. ny litigation regarding the interpretation, breach or enforcement of this Agreement will be filed in and heard by the state or federal courts with jurisdiction to hear such disputes in Orange County, California, and the parties hereby expressly submit to the jurisdiction of such courts.

Amendment No. 5:  Amendment to Section 21, Arbitration. Section 21, Arbitration is removed in its entirety.

 

  

2

  

Amendment No. 6:  Headers for Sections 22 to 28. Each of these headers will be reduced by one so that Section 22 is now Section 21, and so on and so forth, until the last Section 28 will be revised to be Section 27.

Amendment No. 7:  Amendment to Schedule A.  Schedule A as currently exists in the Original License Agreement, as amended by that certain Amendment No. 1 dated October 28, 2011, is hereby deleted in its entirety and replaced with Schedule A, as set forth in this Amendment.

[SIGNATURE  PAGE FOLLOWS]

 

 

 

 

  

3

  

 

IN WITNESS WHEREOF, this Amendment No. 2 has been duly executed as of the day and year first above written.

                     DRINKS AMERICAS HOLDINGS, LTD.

By:   /s/ J. Patrick Kenny                          

J. Patrick Kenny

President and CEO

WORLDWIDE BEVERAGE IMPORTS, LLC.

By:   /s/ Richard Cabo                               

          Richard F. Cabo

          Managing Member

 

  

4

  

 

Schedule A to License Agreement

(Spirits)

PRODUCTS

KAH TEQUILA

 

	
A.  

	
Kah Blanco – 750 ml

 

	
B.  

	
Kah Blanco – 50ml

 

	
C.  

	
Kah Reposado – 750ml

 

	
D.  

	
Kah Reposado – 50ml

 

	
E.  

	
Kah Anejo -750ml

 

	
F.  

	
Kah Anejo -50ml

 

	
G.  

	
Kah Extra Anejo -750ml

 

	
H.  

	
Kah Extra Anejo – 50ml

 

 

GEOGRAPHIC AREA

 

	
A.  

	
 All states in the United States.

 

 

	
B.  

	
The products set forth above may also be sold internationally as the parties may determine by written agreement, on a case by case basis.

  

5

  

 

Schedule A

 

 

 

PRODUCTS

AGAVE 99TEQUILA

 

	
A.  

	
Agave 99 Silver – 750ml

 

	
  

	
Agave 99 Silver – 50ml

 

	
  

	
Agave 99 Reposado – 750ml

 

	
  

	
Agave 99 Reposado – 50ml

 

	
  

	
Agave 99 Anejo – 750ml

 

	
  

	
Agave 99 Anejo - 50ml

 

 

GEOGRAPHIC AREA

 

	
B.  

	
All states in the United States.

 

	
C.  

	
The products set forth above may also be sold internationally as the parties may determine by written agreement, on a case by case basis.

  

6

  

 

Schedule A

 

 

 

PRODUCTS

ED HARDY TEQUILA

 

	
A.  

	
Ed Hardy Silver – 750ml

 

Or Suitable Private Label.

 

 

GEOGRAPHIC AREA

 

	
B.  

	
 All states in the United States.

 

	
C.  

	
The products set forth above may also be sold internationally as the parties may determine by written agreement, on a case by case basis.

 

  

7Amendment No. 1 to Fifth Amended and Restated Stockholders Agreement

 Exhibit 4.9.1 
 GLOBEIMMUNE, INC. 
 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED

 STOCKHOLDERS AGREEMENT 
 THIS AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT (this “Amendment”) is entered into as of August 31, 2012 by and among GLOBEIMMUNE, INC., a Delaware
corporation (the “Corporation”), and the securityholders of the Corporation listed on listed on the signature pages hereto (the “Securityholders”). 

W I T N E S S E T H: 
 WHEREAS, the Corporation and certain of its stockholders are parties to a Fifth Amended and Restated Stockholders Agreement dated as of January 14, 2010 (the “Agreement”).
Capitalized terms used but not defined herein shall have the meaning given thereto in the Agreement. 
 WHEREAS, Article 13 of
the Agreement provides, among other things, that the terms and provisions of the Agreement may be modified or amended pursuant to the written consent of (a) the Corporation and (b) the holders of the Requisite Majority of the combined
voting power of the Convertible Preferred Shares then outstanding, calculated in accordance with Section A.6(a) of Article 3 of the Certificate (including, in such calculation, any outstanding Restricted Securities held by such holders);
provided that (x) no right contained in the Agreement that is specific to the holders of the Senior Preferred, or to any particular holder thereof, and not to the holders of Preferred Stock generally, may be modified or amended without the
written consent of the holders of a majority of the combined voting power of the Senior Preferred then outstanding voting together as a single class on an as-converted basis, calculated in accordance with Section A.6(a) of Article 3 of the
Certificate (including, in such calculation, any outstanding Restricted Securities held by such holders) and (y) the right of a party to designate a director or directors pursuant to Section 5.1 of the Agreement shall not be amended,
waived or modified without the written consent of such party. Such stockholders of the Corporation are hereinafter referred to as the “Requisite Holders”. 
 WHEREAS, the Corporation and the Securityholders, which Securityholders constitute the Requisite Holders, desire to amend the Agreement as provided herein. 

AGREEMENT 

NOW, THEREFORE, in consideration of the foregoing recitals and the mutual promises and covenants hereinafter set forth and for other good
and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows: 

1. Section 2.21 of the Agreement is hereby amended and restated in its entirety to read as set forth below: 

“2.21 Termination of Covenants. The covenants contained in Sections 2.1, 2.4, 2.5(a), 2.6, 2.7 (including without limitation,
and notwithstanding anything set forth in Section 2.7 to the contrary, Section 2.7(e)(i)), 2.8, 2.9, 2.11, 2.12, 2.13, 2.14, 2.16, 2.17, 2.18, 2.19 and 2.20 shall terminate on the closing date of the Corporation’s Initial
Offering.” 

  
 1. 

 2. Section 3.11 of the Agreement is hereby amended to add the following two
sentences at the end of such section: 
 “The right of any holder of Restricted Securities to request registration or
inclusion in any registration of any Restricted Shares or Registered Securities pursuant to Section 3.4, Section 3.5 or Section 3.6 hereof shall terminate on the date that is five (5) years following the closing date of the
Corporation’s Initial Offering. Upon such termination, such shares and securities shall cease to be “Restricted Shares” and “Registered Securities” hereunder for all purposes.” 

3. Article 4 of the Agreement is hereby amended to add the following sentence at the end of such article: 

“This Article 4 and the rights and obligations of the parties hereunder shall automatically terminate on the closing of the
Corporation’s Initial Offering.” 
 4. The first sentence of Section 5.9 of the Agreement is hereby
amended and restated in its entirety to read as set forth below: 
 “This Article 5 and the rights and obligations of the
parties hereunder shall automatically terminate on the closing of the Corporation’s Initial Offering.” 
 5.
Section 6.2 of the Agreement is hereby amended and restated in its entirety to read as set forth below: 
 “6.2
Termination. The terms of this Article 6 shall terminate upon (and such termination shall be effective immediately prior to) (i) the closing of the Corporation’s Initial Offering or (ii) an Event of Sale.” 

6. This Amendment may be executed in any number of counterparts, and each such counterpart shall be deemed to be an original
instrument, but all such counterparts together shall constitute but one agreement. 
 7. This Amendment shall be governed
by and construed in accordance with the laws of the State of Delaware, excluding choice of law rules thereof that would cause the laws of another jurisdiction to apply. 
 8. Except as specifically amended by this Amendment, the terms and conditions of the Agreement shall remain unchanged and in full force and effect. In the event of any inconsistencies between this
Amendment and the Agreement, the terms of this Amendment shall govern. 

  
 2. 

 9. This Amendment shall become effective when executed and delivered by the
Corporation and the Requisite Holders. Upon such effectiveness, the terms of this Amendment shall be binding on each of the parties to the Agreement. The Securityholders consent to a restatement of the Agreement to incorporate this Amendment.

 [Remainder of Page Intentionally Left Blank] 

  
 3. 

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

			
	 CORPORATION:

 
 GLOBEIMMUNE,
INC.

		
	By:	 	 /s/ Timothy C. Rodell

	Name:	 	Timothy C. Rodell, M.D.
	Title:	 	Chief Executive Officer and President

  
 AMENDMENT NO.
1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT SIGNATURE PAGE 

			
	SECURITYHOLDERS:
	
	HEALTHCARE VENTURES VII, L.P.
		
	By:	 	HealthCare Partners VII, L.P., its General Partner
		
	By:	 	 /s/ Jeffrey B. Steinberg

	Name:	 	Jeffrey B. Steinberg
	Title:	 	Administrative Partner
	
	MORGENTHALER PARTNERS VII, L.P.
		 	a Delaware limited partnership
		
	By:	 	Morgenthaler Management Partners VII, L.L.C., a Delaware limited liability company and its General Partner
		
	By:	 	 /s/ Scott D. Walters

		 	Scott D. Walters (Member)
	
	SEQUEL LIMITED PARTNERSHIP III
		
	By:	 	Sequel Venture Partners III, LLC, its General Partner
		
	By:	 	 /s/ Dan Mitchell

	Name:	 	Dan Mitchell
	Title:	 	Manager
	
	SEQUEL ENTREPRENEURS’ FUND III, LP
		
	By:	 	Sequel Venture Partners III, LLC, its General Partner
		
	By:	 	 /s/ Dan Mitchell

	Name:	 	Dan Mitchell
	Title:	 	Manager

  
 AMENDMENT NO.
1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT SIGNATURE PAGE 

			
	KAPPA INVESTORS LLC
		
	By:	 	 /s/ Arthur H. Amron

	Name:	 	Arthur H. Amron
	Title:	 	Vice President and Assistant
		 	Secretary
	
	WEX SP LLC
		
	By:	 	 /s/ Arthur H. Amron

	Name:	 	Arthur H. Amron
	Title:	 	Vice President and Assistant
		 	Secretary
	
	 MEDICA III INVESTMENTS
 (INTERNATIONAL) L.P.

		
	By:	 	Medica III Management L.P., its General Partner
		
	By:	 	Medica III Management Co., its General Partner
		
	By:	 	 /s/ Ehud Geller

	Name:	 	Ehud Geller
	Title:	 	Director
	
	MEDICA III INVESTMENTS (ISRAEL) L.P.
		
	By:	 	Medica III Management L.P., its General Partner
		
	By:	 	Medica III Management Co., its General Partner
		
	By:	 	 /s/ Ehud Geller

	Name:	 	Ehud Geller
	Title:	 	Director

 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT SIGNATURE PAGE 

 
			
	MEDICA III INVESTMENTS (S.F.) L.P.
		
	By:	 	Medica III Management L.P., its General Partner
		
	By:	 	Medica III Management Co., its General Partner
		
	By:	 	 /s/ Ehud Geller

	Name:	 	Ehud Geller
	Title:	 	Director
	
	MEDICA III INVESTMENTS (P.F.) L.P.
		
	By:	 	Medica III Management L.P., its General Partner
		
	By:	 	Medica III Management Co., its General Partner
		
	By:	 	 /s/ Ehud Geller

	Name:	 	Ehud Geller
	Title:	 	Director
	
	MEDICA III INVESTMENTS (ISRAEL) (B) L.P.
		
	By:	 	Medica III Management L.P., its General Partner
		
	By:	 	Medica III Management Co., its General Partner
		
	By:	 	 /s/ Ehud Geller

	Name:	 	Ehud Geller
	Title:	 	Director
	
	POALIM MEDICA III INVESTMENTS L.P.
		
	By:	 	Medica III Management L.P., its General Partner
		
	By:	 	Medica III Management Co., its General Partner
		
	By:	 	 /s/ Ehud Geller

	Name:	 	Ehud Geller
	Title:	 	Director

 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT SIGNATURE PAGE 

 
			
	LILLY VENTURES FUND I, LLC
		
	By:	 	 /s/ S. Edward Torres

	Name:	 	S. Edward Torres
	Title:	 	Managing Director
	
	 CELGENE INTERNATIONAL, INC.,
 a Delaware corporation

		
	By:	 	 /s/ Daniel A. Bazarko

	Name:	 	Daniel A. Bazarko
	Title:	 	VP, Corporate Controller
	
	 CELGENE INTERNATIONAL, INC.,
 a Delaware corporation

		
	By:	 	 /s/ Daniel A. Bazarko

	Name:	 	Daniel A. Bazarko
	Title:	 	VP, Corporate Controller
	
	 /s/ Richard C. Duke

	Richard C. Duke, Ph.D.
	
	 /s/ Alex Franzusoff

	Alex Franzusoff, Ph.D.
	
	 /s/ Donald Bellgrau

	Donald Bellgrau, Ph.D.

 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED STOCKHOLDERS AGREEMENT SIGNATURE PAGE

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00207-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00207-of-00352.parquet"}]]