Document:

EX-10.4

  

Exhibit
10.4
AMENDMENT NO. 4
TO THE
VWR INTERNATIONAL, LLC RETIREMENT PLAN
(As Amended and Restated Effective January 1, 2011)
WHEREAS, VWR International, LLC (the “Company”) maintains the VWR International, LLC Retirement Plan (the
“Plan”) for the benefit of eligible employees of the Company and its participating affiliates; and
WHEREAS, the Plan was most recently amended and restated effective January 1, 2011;
and
WHEREAS, pursuant
 to Section 11.1 of the Plan, the Company reserved the right to amend the Plan at any time, subject to certain inapplicable limitations;
and
WHEREAS, at
 the November 2013 meeting of the Board of Directors of the Company (the “Board”), the Board approved amendment of the Plan to allow eligible participants a one-time, limited opportunity to elect to receive their entire vested accrued
benefit under the Plan in an immediate lump sum or an annuity (a “cashout window”); and
WHEREAS, the Benefit and Retirement Plan Committee of the Company desires to amend the Plan to reflect the cashout window approved
by the Board.
NOW, THEREFORE, effective April 4, 2014, a new subsection (d) is hereby added to Section 5.1 of the Plan to read as
follows:
(d)    Window for Immediate Lump Sum or Annuity
(i)    An “Eligible Participant” for purposes of this subsection (d) is a Participant (or the surviving Spouse of a Participant) with a vested Accrued Benefit under the Plan
who: 
(A)    has terminated from employment
with the Employer as of November 30, 2013, or, if notified in October 2013 of his or her position being eliminated in connection with the VWR Corporate Restructuring Plan, April 11,
2014;
(B)    has not commenced payment of his
or her Accrued Benefit;
(C)    was not eligible
to participate in the VWR International, LLC Supplemental Benefits Plan at any time during his or her Period of Service;
and
(D)    is not subject to a domestic
relations order with respect to his or her Accrued Benefit that (1) is received by the Committee
after

1

December 31, 2012, or (2) has been determined by the Committee to be a Qualified Domestic Relations Order that meets the requirements of Section
10.9.
(ii)    During the period of April 4,
2014 to May 19, 2014, an Eligible Participant may elect to receive his or her vested Accrued Benefit in the form of (a) a lump-sum payment, or (b) a Whole Life Annuity, a 50% Joint and Survivor Annuity, or a 75% Joint and Survivor Annuity; provided that if, as of June 1, 2014, he or she is eligible for an Early Retirement Benefit as determined under this Plan or
an early retirement benefit as determined under the Science Kit Plan or the Ward’s Plan, as applicable, he or she may elect to receive his or her vested Accrued Benefit in any form of benefit described in Section 5.1(a) to (c) above (each, an
“Immediate Annuity”). In all cases, benefits under this paragraph (d)(ii) shall subject to the following and paragraph (iii)
below:
(A)    if a retroactive Annuity Starting
Date is elected under Section 5.5, an Eligible Participant may not elect to receive his or her vested Accrued Benefit in the form of a lump-sum payment under this subsection
(d);
(B)    if an Eligible Participant was a
participant in the Science Kit, Inc. Retirement Plan (as described in Appendix G, the “Science Kit Plan”) or the Ward’s Natural Science Establishment, Inc. Retirement Plan (as described in Appendix H, the “Ward’s
Plan”) and is eligible for an Early Retirement Benefit as determined under this Plan as of June 1, 2014, but is not eligible for an early retirement benefit as determined under the Science Kit Plan or the Ward’s Plan, as applicable, as
of such date, the Participant may elect to receive his or her vested Accrued Benefit (which shall include the Transferred Science Kit Benefit or the Transferred Ward’s Benefit) under this subsection (d), provided that the form of payment elected under this subsection (d) shall be deemed to apply to his or her entire vested
Accrued Benefit (which shall include the Participant’s Transferred Science Kit Benefit or Transferred Ward’s Benefit, as
applicable).
(C)    if an Eligible Participant
was a participant in the Science Kit Plan or the Ward’s Plan and is eligible for an early retirement benefit as determined under the Science Kit Plan or the Ward’s Plan, as applicable, as of June 1, 2014, but is not eligible for an Early
Retirement Benefit as determined under this Plan as of such date, the Participant may elect to receive his or her vested Accrued Benefit (which shall include the Transferred Science Kit Benefit or the Transferred Ward’s Benefit) under this
subsection (d), provided, however, that the portion of the Participant’s vested Accrued Benefit not
attributable to his or her Transferred Science Kit Benefit or Transferred Ward’s Benefit shall be reduced and actuarially adjusted consistent with Section 4.3, and
provided further that the form of payment elected under this
subsection

2

(d) shall be deemed to apply to his or her entire vested Accrued Benefit (which shall include the Participant’s Transferred Science Kit Benefit or Transferred Ward’s Benefit, as applicable);
and 
(D)    if an Eligible Participant was a
participant in the Science Kit Plan or the Ward’s Plan and is eligible for an Early Retirement Benefit as determined under this Plan as of June 1, 2014 and an early retirement benefit as determined under the Science Kit Plan or the
Ward’s Plan, as applicable, as such date, the Participant may elect to receive his or her vested Accrued Benefit (which shall include the Transferred Science Kit Benefit or the Transferred Ward’s Benefit) under this subsection (d),
provided that the form of payment elected under this subsection (d) shall be deemed to apply to his or her entire
vested Accrued Benefit (which shall include the Participant’s Transferred Science Kit Benefit or Transferred Ward’s Benefit, as
applicable).
(iii)    Payment of the lump sum
or the Immediate Annuity elected under this subsection (d) shall be made or commence as of June 1, 2014, shall be Actuarially Equivalent to the Participant’s Accrued Benefit under the Plan using the Applicable Mortality Table and the interest
rate or rates specified in section 417(e)(3) of the Code for the fourth calendar month preceding the beginning of the Plan Year which contains the Annuity Starting Date, and shall not be subsidized to reflect commencement prior to his or her Regular
Retirement Date; provided, however, that if, as of June 1, 2014, an Eligible Participant is eligible for an Early
Retirement Benefit as determined under this Plan or an early retirement benefit as determined under the Science Kit Plan or the Ward’s Plan, as applicable, the lump sum elected by such Participant shall be determined as the greater of the lump
sum value of an immediate annuity or the lump sum value of a deferred annuity; and provided further that the lump
sum elected with respect to an Eligible Participant’s Transferred Science Kit Benefit shall be determined on the basis of the Applicable Interest Rate and the Applicable Mortality Table, if such factors result in a lump sum payment greater
than the lump sum payment determined under the preceding
sentence.
(iv)    An Eligible
Participant’s election under this subsection (d) is subject to the election and consent requirements of Sections 5.1, 5.2, and 5.4, as applicable. An Eligible Participant who does not elect an immediate lump sum payment or an Immediate Annuity
under this subsection (d) shall be eligible to receive payment of his or her vested Accrued Benefit in accordance with the terms of the Plan.

3

IN WITNESS WHEREOF, the Benefit and Retirement Plan Committee has caused this Amendment to be adopted on behalf of VWR International, LLC this 28th day of March,
2014.

	
				
	Attest:
	 
	VWR INTERNATIONAL,
LLC

	 
	 
	 
	 

	/s/ Pam
Klonaris
	 
	By:
	/s/ James M.
Kalinovich

4EX-10.5

  

Exhibit
10.5
AMENDMENT NO. 5
TO THE
VWR INTERNATIONAL, LLC RETIREMENT PLAN
(As Amended and Restated Effective January 1, 2011)
WHEREAS, VWR International, LLC (the “Company”) maintains the VWR International, LLC Retirement Plan (the
“Plan”) for the benefit of eligible employees of the Company and its participating affiliates; and
WHEREAS, the Plan was most recently amended and restated effective January 1, 2011; and

WHEREAS,
the Plan was recently amended to allow eligible participants a one-time, limited opportunity to elect to receive their entire vested accrued benefit under the Plan in an immediate lump sum or annuity (a “cashout window”) as approved by
the Board of Directors of the Company (the “Board”);
and
WHEREAS, pursuant
 to Section 11.1 of the Plan, the Company reserved the right to amend the Plan at any time, subject to certain inapplicable limitations;
and
WHEREAS, consistent
 with the terms of the cashout window approved by the Board, the Benefit and Retirement Plan Committee of the Company desires to further amend the Plan to adjust the eligibility conditions for the cashout window to reflect a change under the VWR
Corporate Restructuring Plan.
NOW, THEREFORE, effective April 4, 2014, Section 5.1(d)(i)(A) of the Plan is amended by deleting the reference to “April 11, 2014” and inserting “May 11, 2014” in its
place.
IN
WITNESS WHEREOF, the Benefit and Retirement Plan Committee has caused this Amendment to be adopted on behalf of VWR International, LLC this 2nd day of April,
2014.

	
				
	Attest:
	 
	VWR INTERNATIONAL,
LLC

	 
	 
	 
	 

	/s/ Pam
Klonaris
	 
	By:
	/s/ James M.
KalinovichEX-4.1

 Exhibit 4.1 
 

 
 ZQ|CERT#|COY|CLS|RGSTRY|ACCT#|TRANSTYPE|RUN#|TRANS# 
COMMON STOCK 
PAR VALUE $0.00001 
Certificate Number 
ZQ00000000 
aspen aerogels® 
COMMON STOCK 
THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA, JERSEY CITY, NJ AND COLLEGE STATION, TX 
Shares

**000000****************** 
***000000***************** 
****000000**************** 
*****000000*************** 
******000000************** 
ASPEN AEROGELS, INC. 
INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE 
THIS CERTIFIES THAT 
** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David
Sample 
**** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David 
Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander 
David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. 
Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
David Sample **** Mr Alexander David Sample **** Mr. Alexander David Sample **** 
Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample 
**** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David 
Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander

David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
**** Mr. 
Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** 
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Sample **** Mr. Sample 
MR. SAMPLE & MRS. SAMPLE & MR. SAMPLE & MRS. SAMPLE

CUSIP 04523Y 10 5 
SEE REVERSE FOR CERTAIN DEFINITIONS 
is the owner of

**000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares*** 
*000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares**** 
000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****0 
00000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****00 
0000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000 
000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****0000 
00**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****00000 
0**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000
**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000*

*Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000** 
Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**S 
***ZERO HUNDRED THOUSAND ZERO HUNDRED AND ZERO*** 
FULLY-PAID AND NON-ASSESSABLE SHARES OF
COMMON STOCK OF 
Aspen Aerogels, Inc. (hereinafter called the “Company”), transferable on the books of the Company in person or by duly authorized
attorney, upon surrender of this Certificate properly endorsed. This Certificate and the shares represented hereby, are issued and shall be held subject to all of the provisions of the Certificate of Incorporation, as amended, and the By-Laws, as
amended, of the Company (copies of which are on file with the Company and with the Transfer Agent), to all of which each holder, by acceptance hereof, assents. This Certificate is not valid unless countersigned and registered by the Transfer Agent
and Registrar. 
Witness the facsimile seal of the Company and the facsimile signatures of its duly authorized officers. 
President and Chief Executive Officer 
Vice President, Chief Financial Officer and Treasurer

ASPEN AEROGELS, INC. 
SEAL 2008 DELAWARE 
DATED DD-MMM-YYYY 
COUNTERSIGNED AND REGISTERED: 
COMPUTERSHARE TRUST COMPANY, N.A. 
TRANSFER AGENT AND REGISTRAR, 
By 
AUTHORIZED SIGNATURE 
1234567 

  

ASPEN AEROGELS, INC. 
 THE COMPANY WILL FURNISH WITHOUT CHARGE TO
EACH SHAREHOLDER WHO SO REQUESTS, A SUMMARY OF THE POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OF THE COMPANY AND THE QUALIFICATIONS, LIMITATIONS OR RESTRICTIONS OF SUCH
PREFERENCES AND RIGHTS, AND THE VARIATIONS IN RIGHTS, PREFERENCES AND LIMITATIONS DETERMINED FOR EACH SERIES, WHICH ARE FIXED BY THE CERTIFICATE OF INCORPORATION OF THE COMPANY, AS AMENDED, AND THE RESOLUTIONS OF THE BOARD OF DIRECTORS OF THE
COMPANY, AND THE AUTHORITY OF THE BOARD OF DIRECTORS TO DETERMINE VARIATIONS FOR FUTURE SERIES. SUCH REQUEST MAY BE MADE TO THE OFFICE OF THE SECRETARY OF THE COMPANY OR TO THE TRANSFER AGENT. THE BOARD OF DIRECTORS MAY REQUIRE THE OWNER OF A LOST
OR DESTROYED STOCK CERTIFICATE, OR HIS LEGAL REPRESENTATIVES, TO GIVE THE COMPANY A BOND TO INDEMNIFY IT AND ITS TRANSFER AGENTS AND REGISTRARS AGAINST ANY CLAIM THAT MAY BE MADE AGAINST THEM ON ACCOUNT OF THE ALLEGED LOSS OR DESTRUCTION OF ANY SUCH
CERTIFICATE. 
  

							
	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
                                   
	 	 	 	
      (Cust)                      
                       (Minor)

	  TEN ENT	 	- as tenants by the entireties	 		 	under Uniform Gifts to Minors Act
                                   
	 	 	 	
                             
 (State)

	  JT TEN	 	- as joint tenants with right of   survivorship and not as tenants   in common	 	UNIF TRF MIN ACT	 	 -
                                     Custodian (until age
                  )

                (Cust)

	 	 	 	
              under Uniform Transfers to Minors Act
              

	 	 		 		 	
 (Minor)                        
                                         
  (State)

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

  

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

 

  
  

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING POSTAL ZIP CODE, OF ASSIGNEE) 
  

 
  

 

			
		
	  
 of the common stock represented by the within
Certificate, and do hereby irrevocably constitute and appoint
	  	Shares
		
	  
 to transfer the said stock on the books of the
within-named Company with full power of substitution in the premises.
	  	Attorney

  

													
	Dated: 	 	  
	 	20	 	  
	 		  	Signature(s) Guaranteed: Medallion Guarantee Stamp
	  
 Signature:
	 	  
  
	 	 	  	  

THE SIGNATURE(S) SHOULD 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.

	  
 Signature:
	 	  
  
	 	  
		 	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.
  
	 	  
		 		 		 		 		 		  	 

  

					
	

	  	The IRS requires that we report the cost basis of certain shares acquired after January 1, 2011. If your shares were covered by the legislation and you have sold or transferred the shares and requested a specific cost basis
calculation method, we have processed as requested. If you did not specify a cost basis calculation method, we have defaulted to the first in, first out (FIFO) method. Please visit our website or consult your tax advisor if you need additional
information about cost basis.	  	

	  	  
 If you do not keep in contact with us or do not have any activity in
your account for the time periods specified by state law, your property could become subject to state unclaimed property laws and transferred to the appropriate state.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00231-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00231-of-00352.parquet"}], [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00231-of-00352.parquet"}]]