Document:

EX-4.3

 Exhibit 4.3 

THIS GLOBAL NOTE IS HELD BY THE DEPOSITARY (AS DEFINED IN THE INDENTURE GOVERNING THIS NOTE) OR ITS NOMINEE IN CUSTODY FOR THE BENEFIT OF THE BENEFICIAL
OWNERS HEREOF, AND IS NOT TRANSFERABLE TO ANY PERSON UNDER ANY CIRCUMSTANCES EXCEPT THAT (1) THE TRUSTEE MAY MAKE SUCH NOTATIONS HEREON AS MAY BE REQUIRED PURSUANT TO SECTION 2.06 OF THE FIRST SUPPLEMENTAL INDENTURE TO THE INDENTURE, (2) THIS GLOBAL
NOTE MAY BE EXCHANGED IN WHOLE BUT NOT IN PART PURSUANT TO SECTION 2.06 OF THE FIRST SUPPLEMENTAL INDENTURE TO THE INDENTURE, (3) THIS GLOBAL NOTE MAY BE DELIVERED TO THE TRUSTEE FOR CANCELLATION PURSUANT TO THE INDENTURE AND (4) THIS GLOBAL NOTE
MAY BE TRANSFERRED TO A SUCCESSOR DEPOSITARY WITH THE PRIOR WRITTEN CONSENT OF THE COMPANY. 

 LEGG MASON, INC. 

5.625% Senior Note due 2044 

CUSIP: 524901AR6 / ISIN: US524901AR65 / COMMON CODE: 097681333 

Dated: January 22, 2014 
  

			
	 No. 1
	 	Initially $400,000,000

 LEGG MASON, INC., a Maryland corporation (the “Company,” which term includes any
successor under the Indenture hereinafter referred to), for value received, promises to pay to Cede & Co., or its registered assigns, the principal sum of $400,000,000 DOLLARS or such other amount as indicated on the Schedule of
Exchange of Note attached hereto on January 15, 2044. 
 Interest Rate: 5.625% per annum. 

Interest Payment Dates: January 15 and July 15, commencing on July 15, 2014. 

Regular Record Dates: January 1 and July 1. 

Reference is hereby made to the further provisions of this Note set forth on the reverse hereof, which will for all purposes have the same
effect as if set forth at this place. 

  
 2 

 IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed, manually or in
facsimile. 
  

			
	LEGG MASON, INC.
		
	By:	 	  

	Name:	 	
	Title:	 	

  
 3 

 TRUSTEE’S CERTIFICATE OF AUTHENTICATION 

This is one of the Securities of the series designated therein referred to in the within-mentioned Indenture. 

 

			
	 THE BANK OF NEW YORK MELLON,
 as
Trustee

		
	By:	 	  

		 	Authorized Signatory

 Dated:
                     

  
 4 

 REVERSE SIDE OF NOTE 

LEGG MASON, INC. 
 5.625% Senior
Note Due 2044 
  

	1.	Title of Series; Indenture. 

 This is one of a series of Securities issued
under the indenture dated as of January 22, 2014 (as amended from time to time, the “Base Indenture”), between the Company and The Bank of New York Mellon, as trustee (the “Trustee”), as supplemented by the
First Supplemental Indenture, dated as of January 22, 2014 (the “First Supplemental Indenture”) between the Company and the Trustee. The Base Indenture as so supplemented by the First Supplemental Indenture is referred to
herein as the “Indenture.” The title of the Securities of this series is 5.625% Senior Notes due 2044 (the “Notes”). Capitalized terms used herein are used as defined in the Indenture unless otherwise indicated. The
terms of the Notes include those stated in the Indenture and those made part of the Indenture by reference to the Trust Indenture Act. The Notes are subject to all such terms, and Holders are referred to the Indenture and the Trust Indenture Act for
a statement of all such terms. To the extent permitted by applicable law, in the event of any inconsistency between the terms of this Note and the terms of the Indenture, the terms of the Indenture will control. 

The Indenture limits the original aggregate principal amount of the Notes to $400,000,000, but additional Notes may be issued pursuant to the
Indenture, and the originally issued Notes and all such additional Notes will form a single series of Securities. 
  

	2.	Principal and Interest. 

 The Company promises to pay the principal of this Note
on January 15, 2044. The Company promises to pay interest on the principal amount of this Note until the principal of this Note is paid or made available for payment on each Interest Payment Date, as set forth on the face of this Note, at the
rate of 5.625% per annum. 
 Interest will be payable semiannually on each Interest Payment Date, to the Holders of record of the Notes
at the close of business on the January 1 or July 1 (whether or not a Business Day) immediately preceding the Interest Payment Date, commencing July 15, 2014. 

Interest on this Note will accrue from the most recent date to which interest has been paid or duly provided for on this Note (or, if there is
no existing default in the payment of interest and if this Note is authenticated between a regular record date and the next Interest Payment Date, from such Interest Payment Date) or, if no interest has been paid or duly provided for, from
January 22, 2014. Interest will be computed in the basis of a 360-day year of twelve 30-day months. 

  
 R-1 

 Interest not paid when due and any interest on principal, premium or interest not paid when due
will be paid to the Persons that are Holders on a special record date as further described in the Indenture. 
  

	3.	Redemption and Repurchase. 

 This Note is subject to optional redemption, and may
be the subject of an offer to purchase upon the occurrence of a Change of Control Repurchase Event or a Designated Subsidiary Stock Disposition, as further described in the Indenture. There is no sinking fund or mandatory redemption applicable to
this Note. 
  

	4.	Registered Form; Denominations; Transfer; Exchange. 

 The Notes are in registered
form without coupons in denominations of $2,000 principal amount and any multiple of $1,000 in excess thereof. A Holder may register the transfer or exchange of Notes in accordance with the Indenture. The Trustee may require a Holder to furnish
appropriate endorsements and transfer documents and to pay any taxes and fees required by law or permitted by the Indenture. Pursuant to the Indenture, there are certain periods during which the Trustee will not be required to issue, register the
transfer of or exchange any Note or certain portions of a Note. 
  

	5.	Defaults and Remedies. 

 If one of certain Events of Default, as defined in the
Indenture, occurs with respect to the Notes and is continuing, the Trustee or the Holders of at least 25% in principal amount of the Notes may declare all the Notes to be due and payable. If a bankruptcy or insolvency Default with respect to the
Company occurs and is continuing, the Notes automatically become due and payable. Holders may not enforce the Indenture or the Notes except as provided in the Indenture. The Trustee may require indemnity satisfactory to it before it enforces the
Indenture or the Notes. Subject to certain limitations, Holders of a majority in principal amount of the Notes then outstanding may direct the Trustee in its exercise of remedies. 

 

	6.	Amendment and Waiver. 

 Subject to certain exceptions, the Indenture and the Notes
may be amended, or default may be waived, with the consent of the Holders of a majority in principal amount of the outstanding Notes. Without notice to or the consent of any Holder, the Company and the Trustee may amend or supplement the Indenture
or the Notes to, among other things, cure any ambiguity or correct or supplement any provision that may be inconsistent with any other provision, in each case if such amendment or supplement does not adversely affect the interests of the Holders of
the Notes in any material respect. 
  

	7.	Authentication. 

 This Note is not valid until the Trustee signs the certificate
of authentication on the other side of this Note. 

  
 R-2 

	8.	Governing Law. 

 This Note shall be governed by, and construed in accordance with,
the laws of the State of New York. 
  

	9.	Abbreviations. 

 Customary abbreviations may be used in the name of a Holder or an assignee, such
as: TEN COM (= tenants in common), TEN ENT (= tenants by the entireties), JT TEN (= joint tenants with right of survivorship and not as tenants in common), CUST (= Custodian) and U/G/M/A/ (= Uniform Gifts to Minors Act). 

  
 R-3 

 SCHEDULE OF EXCHANGES OF NOTE 

The following exchanges of a part of this Global Note for Definitive Notes or a part of another Global Note have been made: 

 

									
	 Date of Exchange
	 	 Amount of decrease

in principal amount
 of this
Global Note
	 	 Amount of increase

in principal amount
 of this
Global Note
	  	Principal amount of
this Global Note
following such
decrease (or
increase)	  	Signature of
authorized officer
of Trustee

 TRANSFER NOTICE 

FOR VALUE RECEIVED the undersigned registered Holder hereby sell(s), assign(s) and transfer(s) unto 

Insert Taxpayer Identification No. 
  

 
 Please print or typewrite name and
address including zip code of assignee 
  
  

the within Note and all rights thereunder, hereby irrevocably constituting and appointing 

 
  

attorney to transfer said Note on the books of the Company with full power of substitution in the premises. 

 

					
	Dated:	 		 	  

			
		 		 	  

		 		 	Signature(s)
			
	  
	 		 	
	 Signature Guarantee
  

Signature(s) must be guaranteed by an eligible Guarantor Institution (banks, stock brokers, savings and loan associations and credit unions) with membership in
an approved signature guarantee medallion program pursuant to Securities and Exchange Commission Rule 17Ad-15 if Notes are to be delivered other than to and in the name of the registered holder.

 
 Fill in for registration of Notes if to be delivered other than to and in the name of the
registered holder:
	 		 	

	
	
	  

	(Name)
	
	  

	(Street Address)
	
	  

	 (City, State and Zip Code)

	 Please print name and address

  

	
	NOTICE: The above signature(s) of the Holder(s) hereof must correspond with the name as written upon the face of the Note in every particular without alteration or enlargement or any change whatever.
	
	  

Social Security or Other Taxpayer

Identification NumberEX-10.9

 Exhibit 10.9 

Five Prime Therapeutics, Inc. 

2013 Omnibus Incentive Plan 

Restricted Stock Agreement 

Five Prime Therapeutics, Inc., a Delaware corporation (“Five Prime”), hereby grants shares of its common stock, par value
$0.001 per share (“Common Stock”), to the individual named below as the Participant, subject to the vesting conditions set forth in this cover sheet and in the attachment (collectively, the “Agreement”) and in Five
Prime’s 2013 Omnibus Incentive Plan (as amended from time to time, the “Plan”). 
  

							
	Grant Date:
                                         
                           	  		  	

							
		
	Name of Participant:
                                         
                                         
                      	  	

							
	
	Number of Shares of Common Stock Covered by Grant:
                                         
                                         
  

							
		
	Vesting Commencement Date:
                                         
                   	  	

							
		
	Vesting Schedule:
[                                         
                ]	  	

 By your signature below, you agree to all of the terms and conditions described in this Agreement and in the Plan, a
copy of which is also attached. You acknowledge that you have carefully reviewed the Plan and agree that the Plan will control in the event any provision of this Agreement should appear to be inconsistent with the Plan. 

 

					
	Participant:	  	  
	  	
		  	(Signature)	  	

 Five Prime Therapeutics, Inc. 
  

			
	By:	 	  

		 	Lewis T. Williams
		 	President and Chief Executive Officer

 Attachment 

This is not a stock certificate or a negotiable instrument. 

 Five Prime Therapeutics, Inc. 

2013 Omnibus Incentive Plan 

Restricted Stock Agreement 
  

	 Restricted Stock/ Nontransferability 
	This grant is an award of Common Stock in the number of shares set forth on the cover sheet and subject to the vesting conditions described below (“Restricted Stock”). The purchase price for the Restricted Stock is deemed paid
by your prior services to Five Prime. To the extent not yet vested, your Restricted Stock may not be sold, assigned, transferred, pledged or otherwise encumbered, whether voluntarily or by operation of law, except by will or the laws of descent and
distribution. 

  

	 Vesting 
	Five Prime will issue the shares of Restricted Stock subject to this Agreement in your name as of the Grant Date. 

  

	 	Your right to shares of Common Stock under this Agreement vests as set forth in the Vesting Schedule shown on the cover sheet, provided you then continue in Service (each vesting date, a “Vesting
Date”). 

  

	 Change in Control 
	Notwithstanding the vesting schedule set forth above, immediately prior to the consummation of a Change in Control, all unvested Restricted Stock will become 100% vested (i) if this award is not assumed, or an equivalent award is not substituted
for the unvested Restricted Stock, by the Company or its successor, or (ii) if assumed or substituted for, upon your Involuntary Termination within the 12-month period following the consummation of the Change in Control. 

 

	 	 “Involuntary Termination” means termination of your Service by reason of (i) your involuntary dismissal by the Company or its successor for
reasons other than Cause; or (ii) your voluntary resignation for Good Reason as defined in any applicable employment or severance agreement, plan, or arrangement between you and the Company, or if none, then following (x) a substantial adverse
alteration in your title or responsibilities from those in effect immediately prior to the Change in Control; (y) a reduction in your annual base salary as of immediately prior to the Change in Control (or as the same may be increased from time to
time) or a material reduction in your annual target bonus opportunity as of immediately prior to the Change in Control; or (z) the relocation of your principal place of employment to a location more than 35 miles from your principal place of
employment as of the Change in Control or the Company’s requiring you to be based anywhere other than such principal place of employment (or permitted relocation thereof) 

  
 2 

	 	 
except for required travel on the Company’s business to an extent substantially consistent with your business travel obligations as of immediately prior to the Change in Control. To qualify
as an “Involuntary Termination” you must provide notice to the Company of any of the foregoing occurrences within 90 days of the initial occurrence and the Company shall have 30 days to remedy such occurrence. To the extent not remedied,
you must terminate employment within 60 days following the expiration of the 30 day cure period for such occurrence to constitute an Involuntary Termination. 

 

	 Forfeiture of Unvested Common Stock 
	In the event that your Service terminates for any reason, you will forfeit to Five Prime all of the shares of Common Stock subject to this Agreement that have not yet vested or with respect to which all applicable restrictions and conditions
have not lapsed. 

  

	 Issuance 
	The issuance of shares of Common Stock under this Agreement shall be evidenced in such a manner as Five Prime, in its discretion, deems appropriate, including book-entry, registration, or issuance of one or more stock certificates, with any
unvested Restricted Stock bearing a legend with the appropriate restrictions imposed by this Agreement. As your interest in the shares of Common Stock subject to this Agreement vests as described above, the recordation of the number of shares of
Restricted Stock attributable to you will be appropriately modified. To the extent certificates are issued with regard to unvested shares of Common Stock, such certificates will be held in escrow with the Secretary of Five Prime while such shares of
Common Stock remains unvested. 

  

	 Withholding Taxes 
	 You agree, as a condition of this grant, that you will make acceptable arrangements to pay any withholding or other taxes that may be due as a result of the payment of dividends or the
vesting of shares of Common Stock under this Agreement. In the event that Five Prime or any Affiliate determines that any federal, state, local, or foreign tax or withholding payment is required relating to the payment of dividends or the vesting of
shares arising from this grant under applicable laws, Five Prime or any Affiliate shall have the right to require such payments from you, or withhold such amounts from other payments due to you from Five Prime or any Affiliate (including by
repurchasing vested shares of Common Stock under this Agreement). Subject to the prior approval of Five Prime, which approval may be withheld by Five Prime, in its sole discretion, you may elect to satisfy this withholding obligation, in whole or in
part, by causing Five Prime to withhold shares of Common Stock otherwise issuable to you or by delivering to Five Prime shares of Common Stock. The shares of Common Stock so delivered or withheld may not be subject to any repurchase, forfeiture,
unfulfilled 

  
 3 

	 	 
vesting, or other similar requirements. 

  

	 Code Section 83(b) Election 
	Under Code Section 83, the Fair Market Value of shares of Common Stock on the date any forfeiture restrictions applicable to such shares lapse will be reportable as ordinary income at the time such forfeiture restrictions lapse. For this
purpose, “forfeiture restrictions” include the forfeiture as to unvested shares of Common Stock described above. You may elect to be taxed at the time the shares of Common Stock are acquired, rather than when such shares cease to be
subject to such forfeiture restrictions, by filing an election under Code Section 83(b) with the Internal Revenue Service within 30 days after the Grant Date. If you timely make an election under Code Section 83(b) with the Internal Revenue Service,
you will have to make a tax payment based on the Fair Market Value of the shares on the Grant Date. The form for making this election is attached as Exhibit A hereto. Your failure to make this filing within the 30-day period will result in
the recognition of ordinary income by you as the forfeiture restrictions lapse. 

  

	 	YOU ACKNOWLEDGE THAT IT IS YOUR SOLE RESPONSIBILITY, AND NOT FIVE PRIME’S, TO FILE A TIMELY ELECTION UNDER CODE SECTION 83(b), EVEN IF YOU REQUEST FIVE PRIME OR ITS REPRESENTATIVES TO MAKE THIS FILING ON YOUR
BEHALF. YOU ARE RELYING SOLELY ON YOUR OWN ADVISORS WITH RESPECT TO THE DECISION AS TO WHETHER OR NOT TO FILE ANY CODE SECTION 83(b) ELECTION. 

  

	 Retention Rights 
	This Agreement does not give you the right to be retained or employed by Five Prime or any Affiliate in any capacity. Unless otherwise specified in an employment or other written agreement between Five Prime or any Affiliate and you, Five Prime
or any Affiliate reserve the right to terminate your Service at any time and for any reason. 

  

	 Stockholder Rights 
	 You have the right to vote the Restricted Stock and to receive any dividends declared or paid on such stock. You have the right to a cash payment of any dividends within forty-five (45)
days of the Vesting Date of the stock on which dividends are declared or paid if such dividends are not reinvested in shares of Common Stock. Any distributions you receive as a result of any stock split, stock dividend, combination of shares or
other similar transaction shall be deemed to be a part of the Restricted Stock and subject to the same conditions and restrictions applicable thereto. Five Prime may in 

  
 4 

	 	 
its sole discretion require any dividends paid on the Restricted Stock to be reinvested in shares of Common Stock, which Five Prime may in its sole discretion deem to be a part of the shares of
Restricted Stock and subject to the same conditions and restrictions applicable thereto. No adjustments are made for dividends or other rights if the applicable record date occurs before your stock certificate is issued. 

 

	 Forfeiture of Rights 
	If you should take actions in violation or breach of or in conflict with any agreement prohibiting solicitation of employees or clients of the Company or any Affiliate or any confidentiality obligation with respect to the Company or any
Affiliate, the Company has the right to cause an immediate forfeiture of your rights to any unvested shares of Restricted Stock and such shares of Restricted Stock shall immediately expire. 

 

	 Adjustments 
	In the event of a stock split, reverse stock split, stock dividend, recapitalization, combination or reclassification of shares, spin-off, or other similar change in capitalization or event, the number of shares covered by this grant shall be
adjusted pursuant to the Plan. Your Restricted Stock shall be subject to the terms of the agreement of merger, liquidation, or reorganization in the event Five Prime is subject to such corporate activity in accordance with the terms of the Plan.

  

	 Legends 
	All certificates representing shares of Restricted Stock issued in connection with this Agreement shall, where applicable, have endorsed thereon the following legend: 

 

	 	“THE SHARES REPRESENTED BY THIS CERTIFICATE ARE SUBJECT TO CERTAIN RESTRICTIONS ON TRANSFER SET FORTH IN AN AGREEMENT BETWEEN THE COMPANY AND THE REGISTERED HOLDER, OR HIS OR HER PREDECESSOR IN INTEREST. A COPY OF
SUCH AGREEMENT IS ON FILE AT THE PRINCIPAL OFFICE OF THE COMPANY AND WILL BE FURNISHED UPON WRITTEN REQUEST TO THE SECRETARY OF THE COMPANY BY THE HOLDER OF RECORD OF THE SHARES REPRESENTED BY THIS CERTIFICATE.” 

 

	 Applicable Law 
	This Agreement will be interpreted and enforced under the laws of the State of Delaware, other than any conflicts or choice of law rule or principle that might otherwise refer construction or interpretation of this Agreement to the substantive
law of another jurisdiction. 

  

	 The Plan 
	The text of the Plan is incorporated in this Agreement by reference. 

  

	 	Certain capitalized terms used in this Agreement are defined in the Plan and have the meaning set forth in the Plan. 

  

	 	 This Agreement and the Plan constitute the entire understanding 

  
 5 

	 	 
between you and Five Prime regarding this grant of Restricted Stock. Any prior agreements, commitments, or negotiations concerning this grant are superseded; except that any written employment,
consulting, confidentiality, non-solicitation, and/or severance agreement between you and Five Prime or any Affiliate shall supersede this Agreement with respect to its subject matter. 

 

	 Data Privacy 
	In order to administer the Plan, Five Prime may process personal data about you. Such data includes but is not limited to the information provided in this Agreement and any changes thereto, other appropriate personal and financial data about you
such as your contact information, payroll information, and any other information that might be deemed appropriate by Five Prime to facilitate the administration of the Plan. 

 

	 	By accepting this grant, you give explicit consent to Five Prime to process any such personal data. 

  

	 Consent to Electronic Delivery 
	Five Prime may choose to deliver certain statutory materials relating to the Plan in electronic form. By accepting this grant you agree that Five Prime may deliver the Plan prospectus and Five Prime’s annual report to you in an electronic
format. If at any time you would prefer to receive paper copies of these documents, as you are entitled to, Five Prime would be pleased to provide copies. Please contact Five Prime’s Secretary to request paper copies of these documents.

  

	 Other Agreements 
	You agree, as a condition of this grant, that you will execute such document(s) as necessary to become a party to any shareholder agreement or voting trust as Five Prime may require. 

 

	 Code Section 409A 
	It is intended that this award comply with Code Section 409A or an exemption to Code Section 409A. To the extent that Five Prime determines that you would be subject to the additional 20% tax imposed on certain non-qualified deferred
compensation plans pursuant to Code Section 409A as a result of any provision of any this Agreement, such provision shall be deemed amended to the minimum extent necessary to avoid application of such additional tax. The nature of any such amendment
shall be determined by Five Prime. For purposes of this award, a termination of Service only occurs upon an event that would be a Separation from Service within the meaning of Code Section 409A. 

By signing this Agreement, you agree to all of the terms and conditions of this Agreement and in the Plan. 

  
 6 

 Exhibit A 

Participant Election under Section 83(b) of 

the Internal Revenue Code 
 The undersigned
Participant hereby makes an election pursuant to Section 83(b) of the Internal Revenue Code with respect to the property described below and supplies the following information in accordance with the regulations promulgated thereunder: 

 

	1.	The name, address and social security number of the undersigned: 

  

					
	Name:
                                         
                                         
                                         
            	  	

					
	Address:
                                         
                                         
                                         
       	  	

					
	                                   
                                         
                                         
                              	  	

					
	Social Security No.:
                                         
                                         
                              	  	

  

	2.	Description of property with respect to which the election is being made: 

                     shares of
Common Stock, par value $0.001 per share, of Five Prime Therapeutics, Inc., a Delaware corporation (the “Company”) 
  

	3.	The date on which the property was transferred is                          ,
20    . 

  

	4.	The taxable year to which this election relates is calendar year 20    . 

  

	5.	Nature of restrictions to which the property is subject: 

 The shares of Common Stock are
subject to the provisions of a Restricted Stock Agreement between the undersigned and the Company. The shares of Common Stock are subject to forfeiture under the terms of the Restricted Stock Agreement. 

 

	6.	The fair market value of the property at the time of transfer (determined without regard to any lapse restriction) was $             per share, for a
total of $            . 

  

	7.	The amount paid by taxpayer for the property was $            . 

  

	8.	A copy of this statement has been furnished to the Company. 

 Dated:
                         , 20     

 

	
	  

	Taxpayer’s Signature
	
	  

	Taxpayer’s Name

 Procedures for Participant Making Election 

Under Internal Revenue Code Section 83(b) 

The following procedures must be followed with respect to the attached form for making an election under Internal Revenue Code Section 83(b) in
order for the election to be effective: 
  

	1.	You must file one copy of the completed election form with the IRS Service Center where you file your federal income tax returns within 30 days after the Grant Date of your Restricted Stock. 

 

	2.	At the same time you file the election form with the IRS, you must also give a copy of the election form to the Secretary of Five Prime. 

 

	3.	You must file another copy of the election form with your federal income tax return (generally, Form 1040) for the taxable year in which the stock is transferred to you.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00225-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00225-of-00352.parquet"}]]