Document:

Form of 2010 Restricted Unit Award Agreement

 Exhibit 10.03 
 [RESTRICTED/PHANTOM] UNIT AWARD AGREEMENT 
 This [Restricted/Phantom] Unit
award agreement (“Agreement”), effective as of the date set forth at the end of this Agreement (“Grant Date”), is between NuStar GP Holdings, LLC (the “Company”) and «First_Name» «Middle_Name»
«Last_Name» (“Participant”), a participant in the NuStar GP Holdings, LLC Long-Term Incentive Plan (the “Plan”). All capitalized terms contained in this Award shall have the same definitions as are set
forth in the Plan unless otherwise defined herein. The terms of this grant are set forth below. 
  

	1.	Participant is awarded «Shares_Granted» [Restricted/Phantom] Units under the Plan. [Restricted/Phantom] Units are granted hereunder in tandem with an
equal number of UDRs. 

  

	2.	The [Restricted/Phantom] Units granted hereunder are subject to the following Restricted Periods, and will vest and accrue to Participant in the following increments:
«Shares_Period_1» Units on «Vest_Date_Period_1»; «Shares_Period_2» Units on «Vest_Date_Period_2»; «Shares_Period_3» Units on
«Vest_Date_Period_3»; «Shares_Period_4» Units on «Vest_Date_Period_4»; and «Shares_Period_5» Units on «Vest_Date_Period_5». The [Restricted/Phantom] Units may
vest prior to the expiration of such period as set forth in the Plan. Upon the vesting of each [Restricted/Phantom] Unit awarded under this Agreement, Participant will be entitled to receive an unrestricted common Unit of the Company.

  

	3.	Participant agrees that the unrestricted common Units to which Participant will be entitled in connection with the vesting of each [Restricted/Phantom] Unit may be
issued in uncertificated form and held in journal entry form with the Company’s service provider. 

  

	4.	UDRs with respect to the [Restricted/Phantom] Units will be paid to Participant in cash as of each record payment date during the period such [Restricted/Phantom] Units
are outstanding. UDRs are subject to the same restrictions as the [Restricted/Phantom] Units. 

  

	5.	 The issuance of Units under this Award shall be made on or as soon as reasonably practical following the applicable date of vesting, but in any event
no later than the 15th day of the third month following
the end of the year in which the applicable date of vesting occurs. With respect to the UDRs, the cash payment made in accordance therewith shall be made by the last day of the fiscal quarter during which cash distributions are made by the
Partnership, but in any event by no later than the 15th
day of the third month following the end of the year in which the applicable cash distributions are made by the Partnership. This Agreement and the award evidenced hereby are intended to comply, and shall be administered consistently, in all
respects with Section 409A of the Internal Revenue Code and the regulations promulgated thereunder. If necessary in order to ensure such compliance, this Agreement may be reformed consistent with guidance issued by the Internal Revenue Service.

  

	6.	If Participant’s employment is terminated because of retirement, death or disability, any [Restricted/Phantom] Units held by such Participant that remain unvested
as of the date of retirement, death or disability shall immediately vest and become non-forfeitable as of such date. 

  

	7.	The Company will withhold any taxes due from Participant’s grant as required by law, which, in the sole discretion of the Company, may include withholding a number
of [Restricted/Phantom] Units otherwise payable to Participant. 

  

	8.	By accepting this Award, Participant hereby accept and agree to be bound by all of the terms, provisions, conditions, and limitations of the Plan, and any subsequent
amendment or amendments thereto, as if it had been set forth verbatim in this Award. 

  

	9.	This Award shall be binding upon the parties hereto and their respective heirs, legal representatives, and successors. 

 

	10.	This Award is effective as of «Option_Date». 

  

	11.	The validity, construction and effect of this Agreement shall be determined by the laws of the State of Texas. 

 

	12.	Neither Participant nor any person claiming by, through or under Participant with respect to the [Restricted/Phantom] Units shall have any rights as a unitholder of the
Company (including, without limitation, voting rights). 

  

	13.	 The Agreement and Participant’s interest in the [Restricted/Phantom] Units granted by this Agreement are of a personal nature and, except as
expressly provided in the Agreement or the Plan, Participant’s rights with respect thereto may not be sold, mortgaged, pledged, 

	 	 
assigned, transferred, conveyed or disposed of or any manner by Participant. Any such attempted sale, mortgage, pledge, assignment, transfer, conveyance or disposition shall be void, and the
Company shall not be bound thereby. 

  

			
	NUSTAR GP HOLDINGS, LLC
		
	By:	 	
 

		 	Curtis V Anastasio
		 	President & Chief Executive Officer

  

	
	Accepted:
	
	  

	«First_Name» «Middle_Name» «Last_Name»
	«Option_Date»Amendment No. 1 to Section 382 Rights Agreement

 Exhibit 4.1 
 AMENDMENT NO. 1 TO SECTION 382 RIGHTS AGREEMENT 
 AMENDMENT NO. 1 TO
SECTION 382 RIGHTS AGREEMENT, dated as of January 5, 2011 (the “Amendment”), between Cohen & Company Inc., a Maryland corporation (the “Company”), and Mellon Investor Services LLC (operating with the service name
BNY Mellon Shareowner Services), a New Jersey limited liability company, as Rights Agent (the “Rights Agent”). 
 W
I T N E S S E T H : 
 WHEREAS, on December 21, 2009 the Company and Rights Agent entered into that certain
Section 382 Rights Agreement (the “Rights Agreement”) in order to help preserve the value of the Company’s deferred tax assets; 
 WHEREAS, pursuant to Section 26 of the Rights Agreement the Company may, and the Rights Agent shall, if the Company so directs, amend the Rights Agreement prior to a Distribution Date without the
approval of any holders of Rights; 
 WHEREAS, to the knowledge of the Company, there has been no occurrence of a Distribution
Date; and 
 WHEREAS, a majority of the members of the Board of Directors of the Company have approved this Amendment.

 NOW, THEREFORE, in consideration of the premises and the mutual agreements herein set forth, the parties hereby agree to
amend the Rights Agreement as follows: 
  

	1.	Amendment to Section 7(a) of the Rights Agreement. Section 7(a) of the Rights Agreement is hereby amended to remove clause (vi) thereof and remove
the reference to clause (vi) in the definition of “Expiration Date.” All references to the subject matter contained in clause (vi) of Section 7(a) shall automatically be amended to reflect the removal of clause
(vi) from Section 7(a). 

  

	2.	Governing Law. This Amendment shall be deemed to be a contract made under the laws of the State of Maryland and for all purposes shall be governed by and
construed in accordance with the laws of such state applicable to contracts made and to be performed entirely within such state; provided, however, that all provisions regarding the rights, duties, and obligations of the Rights Agent shall be
governed by and construed in accordance with the laws of the State of New York applicable to contracts made and to be performed entirely within such state. 

 

	3.	Counterparts and Other Matters. This amendment may be executed in any number of counterparts and each of such counterparts shall for all purposes be deemed to be
an original, and all such counterparts shall together constitute but one and the same instrument. Except as provided in this Amendment, the Rights Agreement shall remain in full force and effect in accordance with its terms.

 [SIGNATURE PAGE IMMEDIATELY FOLLOWS] 

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed and
their respective corporate seals to be hereunto affixed and attested, all as of the day and year first above written. 
  

							
	Attest:	 	COHEN & COMPANY INC.
				
	By:	 	   /s/ Rachael Fink
	 	By:	 	   /s/ Joseph W. Pooler, Jr.

	Name:	 	  Rachael Fink	 	Name:	 	  Joseph W. Pooler, Jr.
	Title:	 	  Senior Vice President, General Counsel and Secretary	 	Title:	 	  Executive Vice President and Chief Financial Officer
		
	Attest:	 	 MELLON INVESTOR SERVICES LLC
 as Rights Agent

				
	By:	 	   /s/ Rita Swartz
	 	By:	 	   /s/ Mitzi Shannon

	Name:	 	  Rita Swartz	 	Name:	 	  Mitzi Shannon
	Title:	 	  Relationship Manager	 	Title:	 	  Relationship Manager

  
 2Form of Certificate representing Common Stock

 Exhibit 4.1 

 

 

 AGENUS INC. 
 The Corporation is authorized to issue two classes of stock, Common and Preferred Stock. The Board of Directors of the Corporation has authority to issue up to 1,000,000 shares of Preferred Stock and to
determine or alter the rights, preferences, privileges and restrictions granted to or imposed upon any unissued series of Preferred Stock. 
 A statement of the rights, preferences, privileges and restrictions granted to or imposed upon the respective classes or series of shares and upon the holders thereof as established, from time to time, by
the Certificate of Incorporation of the Corporation and by any certificate of designations, and the number of shares constituting each class and series and the designations thereof, may be obtained by the holder hereof upon written request and
without charge from the Corporation at its office in Lexington, Massachusetts. 
 The following abbreviations, when used in the
inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations: 
  

																			
	TEN COM	 	—	 	as tenants in common	 		 	UNIF GIFT MIN ACT	 	—	 	  
	 	Custodian	 	  

	TEN ENT	 	—	 	as tenants by the entireties	 		 		 		 		 	(Cust)	 		 	(Minor)
	JT TEN	 	—	 	as joint tenants with right of survivorship and not as tenants in common	 		 		 		 	under Uniform Gifts to Minors
		 		 	 		 		 		 	Act	 	  

		 		 	 		 		 		 		 	(State)

Additional abbreviations may also be used though not in the above list. 

For value received,
                                        
hereby sell, assign and transfer unto 
 PLEASE INSERT SOCIAL SECURITY OR OTHER 

      IDENTIFYING NUMBER OF ASSIGNEE 

			
	 	 	
	 	 	
	 	 	 

  
  

 
 PLEASE PRINT OR TYPEWRITE NAME AND
ADDRESS INCLUDING ZIP CODE OF ASSIGNEE 
  
  

 
  
  

 
  

			
	  
	 	Shares

					
	of the common stock represented by the within Certificate, and do hereby irrevocably constitute and 
appoint	 	  
	 	

			
		
	  
	 	Attorney

to transfer the said stock on the books of the within named Corporation with full power of substitution in the
premises. 
 Dated
                     
  

					
		 		 	  

		 	NOTICE:	 	THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE, IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT, OR ANY CHANGE
WHATEVER.

  

	
	SIGNATURE(S) GUARANTEED:
	
	  

	THE SIGNATURE(S) MUST BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED
SIGNATURE GUARANTEE MEDALLION PROGRAM), PURSUANT TO S.E.C. RULE 17Ad-15.

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