Document:

avro-ex101_30.htm

Exhibit 10.1

FIRST AMENDMENT TO THE AVROBIO, INC.

2018 STOCK OPTION AND INCENTIVE PLAN

This First Amendment (this “Amendment”) to the AVROBIO, Inc. 2018 Stock Option and Incentive Plan (the “Plan”), of AVROBIO, Inc. (the “Company”) is effective as of the date of approval by the Company’s stockholders (the “Effective Date”). Capitalized terms used herein and not otherwise defined shall have the meanings ascribed to such terms in the Plan.

As of the Effective Date, the Plan shall be amended as follows:

	
1.
	
Section 3(a) of the Plan is hereby deleted in its entirety and replaced with the following:

(a)Stock Issuable.  The maximum number of shares of Stock reserved and available for issuance under the Plan shall be 6,349,279 shares (the “Initial Limit”), subject to adjustment as provided in Section 3(c), plus on each of January 1, 2021 and January 1, 2022, the number of shares of Stock reserved and available for issuance under the Plan shall be cumulatively increased by 4 percent of the number of shares of Stock issued and outstanding on the immediately preceding December 31 or such lesser number of shares as determined by the Administrator (the “Annual Increase”). For purposes of this limitation, the shares of Stock underlying any Awards under the Plan and under the Company’s Amended and Restated 2015 Stock Option and Grant Plan that are forfeited, canceled, held back upon exercise of an Option or settlement of an Award to cover the exercise price or tax withholding, reacquired by the Company prior to vesting, satisfied without the issuance of Stock or otherwise terminated (other than by exercise) (including, for the avoidance of doubt, any such shares of Stock that are subject to such treatment between April 16, 2020 and the Effective Date) shall be added back to the shares of Stock available for issuance under the Plan. In the event the Company repurchases shares of Stock on the open market, such shares shall not be added to the shares of Stock available for issuance under the Plan. Subject to such overall limitation, the maximum aggregate number of shares of Stock that may be issued in the form of Incentive Stock Options shall not exceed the Initial Limit cumulatively increased on each of January 1, 2021 and January 1, 2022 by the lesser of the Annual Increase for such year or 19,047,837 shares of Stock, subject in all cases to adjustment as provided in Section 3(c). Subject to such overall limitations, shares of Stock may be issued up to such maximum number pursuant to any type or types of Award. The shares available for issuance under the Plan may be authorized but unissued shares of Stock or shares of Stock reacquired by the Company.

 

	
2.
	
Except as expressly amended by this Amendment, the Plan shall continue in full force and effect in accordance with the provisions thereof.

 

[signature page to follow]

 

 

 

IN WITNESS WHEREOF, the Company has caused this Amendment to be duly executed as of the date first written above.

 

	
AVROBIO, INC.

	
 

	
By:
	
/s/ Geoff MacKay

	
 
	
Name:  Geoff MacKay

	
 
	
Title:    CEO and President

BIO AVROBIO ANNUAL MEETING OF AVROBIO, INC. Date: Thursday, June 4, 2020 Time: 8:00 a.m. (Eastern Time) Place: Annual Meeting to be held live via the Internet - please visit www.proxydocs.com/AVRO for more details. Please make your marks like this: È Use dark black pencil or pen only The Board of Directors Recommends a Vote FOR the nominees listed in proposal 1. 1: To elect two class II directors named below to hold office until the 2023 Annual Meeting of Stockholders. Nominees: For Withhold 01 Ian Clark ‘ ‘ 02 Annalisa Jenkins ‘ ‘ The Board of Directors Recommends a Vote FOR proposal 2. For Against Abstain 2: To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. ‘‘ ‘ The Board of Directors Recommends a Vote FOR proposal 3. For Against Abstain 3: To approve an amendment to the AVROBIO, Inc. 2018 Stock Option and Incentive Plan. ‘‘ ‘ TO ATTEND the Annual Meeting, please visit www.proxydocs.com/AVRO for virtual meeting registration details. Authorized Signatures - This section must be completed for your Instructions to be executed. Please Sign Here Please Date Above Please Sign Here Please Date Above Please sign exactly as your name(s) appears on your stock certificate. If held in joint tenancy, all persons should sign. Trustees, administrators, etc., should include title and authority. Corporations should provide full name of corporation and title of authorized officer signing the proxy. HOUSEHOLDING ELECTION - Please indicate if you consent to receive certain future investor communications in a single package per household. Yes ‘ No ‘ Please separate carefully at the perforation and return just this portion in the envelope provided. Annual Meeting of AVROBIO, Inc. to be held virtually on Thursday, June 4, 2020 at 8:00 a.m. (Eastern Time) for Holders as of April 6, 2020 This proxy is being solicited on behalf of the Board of Directors VOTE BY: INTERNET TELEPHONE Go To Call www.proxypush.com/AVRO 866-430-8290 • Cast your vote online. OR • Use any touch-tone telephone. • Have your Proxy Card/Voting Instruction Form ready. MAIL • • Have your Proxy Card/Voting Instruction Form ready. Follow the simple recorded instructions. • View Meeting Documents. OR • Mark, sign and date your Proxy Card/Voting Instruction Form. • Detach your Proxy Card/Voting Instruction Form. • Return your Proxy Card/Voting Instruction Form in the postage-paid envelope provided. The undersigned hereby appoints Geoff MacKay, Erik Ostrowski and Steven Avruch, and each of them, as the true and lawful attorneys of the undersigned, with full power of substitution and revocation, and authorizes them, and each of them, to vote all the shares of common stock of AVROBIO, Inc. which the undersigned is entitled to vote at said meeting and any adjournment thereof upon the matters specified and upon such other matters as may be properly brought before the meeting or any adjournment thereof, conferring authority upon such true and lawful attorneys to vote in their discretion on such other matters as may properly come before the meeting and revoking any proxy heretofore given. THE SHARES REPRESENTED BY THIS PROXY WILL BE VOTED AS DIRECTED OR, IF NO DIRECTION IS GIVEN, SHARES WILL BE VOTED FOR THE ELECTION OF THE DIRECTORS IN ITEM 1, FOR THE PROPOSALS IN ITEM 2 AND 3 AND IN THE DISCRETION OF THE PROXYHOLDERS ON ANY OTHER MATTER THAT PROPERLY COMES BEFORE THE MEETING. PROXY TABULATOR FOR AVROBIO, Inc. c/o MEDIANT COMMUNICATIONS P.O. BOX 8016 CARY, NC 27512-9903

 

AVRO BIO  Proxy for Annual Meeting of Stockholders to be held virtually on Thursday, June 4, 2020 at 8:00 a.m. (Eastern Time) This proxy is being solicited on behalf of the Board of Directors Please vote, date and sign this Proxy on the other side and return it in the enclosed envelope. The undersigned hereby appoints Geoff MacKay, Erik Ostrowski and Steven Avruch, and each of them, as the true and lawful attorneys of the undersigned, with full power of substitution and revocation, and authorizes them, and each of them, to vote all the shares of common stock of AVROBIO, Inc. which the undersigned is entitled to vote at said meeting and any adjournment thereof upon the matters specified and upon such other matters as may be properly brought before the meeting or any adjournment thereof, conferring authority upon such true and lawful attorneys to vote in their discretion on such other matters as may properly come before the meeting and revoking any proxy heretofore given. THE SHARES REPRESENTED BY THIS PROXY WILL BE VOTED AS DIRECTED OR, IF NO DIRECTION IS GIVEN, SHARES WILL BE VOTED FOR THE ELECTION OF THE DIRECTORS IN ITEM 1, FOR THE PROPOSALS IN ITEM 2 AND 3 AND IN THE DISCRETION OF THE PROXYHOLDERS ON ANY OTHER MATTER THAT PROPERLY COMES BEFORE THE MEETING. Please separate carefully at the perforation and return just this portion in the envelope provided.Exhibit 4.1

 

 

Advisors Asset Management, Inc.

18925 Base Camp Road

Monument, Colorado 80132

June 9, 2020

 

Advisors Disciplined Trust 2016

c/o The Bank of New York Mellon, as Trustee

BNY Atlantic Terminal

2 Hanson Place, 12th Floor

Brooklyn, New York 11217

 

Re: Advisors Disciplined Trust 2016 (the
“Fund”)

Ladies and Gentlemen:

We have examined
the Registration Statement File No. 333-237209 for the above captioned Fund. We hereby consent to the use in the Registration Statement
of the references to Advisors Asset Management, Inc. as evaluator.

You are hereby
authorized to file a copy of this letter with the Securities and Exchange Commission.

 

	 	Very truly yours,
	 	 	 
	 	Advisors Asset Management, Inc.
	 	 	 
	 	 	 
	 	By	/s/ ALEX R. MEITZNER
	 		Alex R. Meitzner
	 		Senior Vice PresidentExhibit 4.2

 

Consent of Independent Registered
Public Accounting Firm

We have issued our
report dated June 9, 2020, with respect to the financial statement of Advisors Disciplined Trust 2016 contained in Amendment
No. 1 to the Registration Statement on Form S-6 (File No. 333-237209) and related Prospectus. We consent to the use of the aforementioned
report in the Registration Statement and Prospectus, and to the use of our name as it appears under the caption “Experts”.

	 	/s/ GRANT THORNTON LLP

 

Chicago, Illinois

June 9, 2020Exhibit 10.1

        

       

        

      CONFIDENTIAL

      

      

      Mutual Agreement

      

      

      June 3, 2020

      

      

      This mutual agreement (“Agreement”) is entered into by and
        among Fortress Equity Partners GP, LLC (“FEP GP”), WRE 2012 Trust LLC (“WRE Trust”), FEP HoldCo LLC (“HoldCo”), Wesley R. Edens, Randal A. Nardone (collectively with FEP GP, WRE Trust, HoldCo and Wesley R. Edens, the “FEP Parties”), New Fortress Energy LLC (“NFE”),
        NFE SMRS Holdings LLC (“SMRS,” and together with the FEP Parties and NFE, the “Applicable Parties”)
        and NFE Sub LLC (together with the Applicable Parties, the “Parties”).

      

      

      WHEREAS, SMRS and the FEP Parties directly or
        indirectly own units (“NFI Units”) of New Fortress Intermediate LLC (“NFI”) and corresponding
        Class B common shares (“Class B Shares”) of NFE; and

      

      

      WHEREAS, the Board of Directors of NFE,
        following the recommendation of the Transaction Committee thereof, has requested that SMRS and the FEP Parties exchange all of such NFI Units and corresponding Class B Shares for Class A common shares (“Class A Shares”) of NFE; and

      

      

      WHEREAS, SMRS and the FEP Parties plan to
        exchange or cause the exchange all of such NFI Units, along with an equal number of Class B Shares, for Class A Shares (the “Transaction”).

      

      

      NOW, THEREFORE, the Parties hereby agree as
        follows:

      

      

      1.          On the date hereof, the FEP Parties will deliver a block
          redemption notice (“Block Redemption Notice,” and the date of delivery, the “Delivery Date”)
          to NFI and NFE pursuant to Section 4.6(b)(ii)(B) of the Amended and Restated Limited Liability Company Agreement of NFI, dated as of February 4, 2019 (the “NFI LLCA”).
          Such Block Redemption Notice shall be in respect of all of the FEP Parties’ NFI Units and equal number of Class B Shares. The FEP Parties hereby covenant and agree that they shall not revoke such Block Redemption Notice pursuant to Section
          4.6(e)(i) of the NFI LLCA or otherwise. The FEP Parties have notified the other Applicable Parties of the expected Delivery Date at least 3 days prior to such date.

      

      

      2.          On the Delivery Date, SMRS will deliver a Block Redemption Notice to NFI and NFE pursuant to Section 4.6(b)(ii)(B) of the NFI LLCA. Such Block Redemption Notice shall be in respect of
          all of SMRS’s NFI Units and an equal number of NFE Class B shares. SMRS hereby covenants and agrees that it shall not revoke such Block Redemption Notice pursuant to Section 4.6(e)(i) of the NFI LLCA or otherwise.

      

      

      3.          The
          Parties acknowledge and agree that each of the Block Redemption Notices specified under Sections 1 and 2 will be delivered pursuant to a common plan between the Applicable Parties. The Parties intend that,
          notwithstanding anything to the contrary in Section 4.6 of the NFI LLCA, the exchange of NFI Units and Class B Shares for Class A Shares will be treated as a contribution described in Section 351(a) of the Internal Revenue Code of 1986, as
          amended, and each Applicable Party shall report on all U.S. federal (and corresponding state and local) income tax returns in a manner consistent with the foregoing intent and shall reasonably cooperate to effect such intent. Without limiting the
          foregoing, NFE shall exercise its Call Right (as defined in the NFI LLCA) to directly acquire the applicable NFI Units and corresponding Class B Shares in exchange for Class A Shares and cause each of the exchanges with respect to Sections 1 and
          2 to be completed on the same date (the “Exchange Date”). The Parties agree that the Exchange Date shall occur on June 10, 2020.

      

      

      
        
          

      

      4.          On the Exchange Date,
          each of the FEP Parties and SMRS shall deliver (i) to NFE a certificate, duly executed and dated as of the Exchange Date, certifying as to its non-foreign status in accordance with Sections 1445 and 1446 of the Code and the regulations thereunder
          (which, with NFE’s consent, may be satisfied by delivery of a properly executed IRS Form W-9) and (ii) to each of the other Applicable Parties a certificate, duly executed and dated as of the Exchange Date, representing and warranting that, as of
          the Exchange Date, such Applicable Party has no current plan or intention to (and is not under legal or economic compulsion to, nor has it relinquished the legal right to determine whether to) sell, exchange, transfer by gift, transfer to another
          person for services rendered, distribute or otherwise dispose of (including in any transaction treated as any of the foregoing for U.S. federal income tax purposes) (collectively, a “Transfer”)
          any Class A Shares (the “Bringdown Certificate”). The Parties agree that delivery of the Bringdown Certificate by each of the FEP Parties (subject to the last sentence
          of this Section 4) and SMRS is a condition to the closing of the Transaction and the Transaction will not occur unless and until such condition is satisfied or waived. Each of the FEP Parties and SMRS agrees that it will not, without the consent
          of each of Wesley R. Edens and Randal A. Nardone, Transfer any Class A Shares prior to the 90th day after the Exchange Date. Notwithstanding the foregoing, the Applicable
          Parties hereto agree that (i) before or after the Delivery Date or the Exchange Date, Fortress Equity Partners (A) LP (“FEP”) may make a pro rata distribution to the FEP
          Parties, in their capacity as members of FEP, of all of FEP’s NFI Units and Class B Shares (or the Class A Shares received in exchange therefore, as applicable), and FEP GP (or its regarded parent for U.S. federal income tax purposes) may make a
          distribution to Wesley R. Edens or Randal A. Nardone under such parent’s “principal compensation plan” of the applicable portion of FEP GP’s NFI Units and Class B Shares (or the Class A Shares received in exchange therefore, as applicable), as
          specified in such principal compensation plan, (ii) each FEP Party may, before or after the Delivery Date or the Exchange Date, make a pro rata distribution to its respective members, if applicable, of all of such FEP Party’s NFI Units and Class
          B Shares (or the Class A Shares received in exchange therefore, as applicable), provided that (A) if such distribution occurs before the Exchange Date, such FEP Party shall cause such members to agree to participate in the exchanges contemplated
          in respect of all of such FEP Party’s NFI Units as described in Section 1 and (B) whether such distribution occurs before or after the Exchange Date, such FEP Party shall cause such members to agree to make such representations, covenants, and
          agreements as such FEP Party reasonably determines are necessary or appropriate to effect the intent of the provisions of Section 3 and this Section 4 and (iii) in the event that FEP does not make a distribution of all of its NFI Units and Class
          B Shares to the FEP Parties before the Delivery Date, the FEP Parties shall cause FEP to agree to (A) participate in the exchange contemplated in respect of all of FEP’s NFI Units as described in Section 1 and (B) make such representations,
          covenants and agreements as the FEP Parties reasonably determine are necessary or appropriate to effect the intent of the provisions of Section 3 and this Section 4.

      

      

      
        
          

      

      5.          The Parties hereto
          agree to execute and deliver all such other instruments and documents and do all such other acts and things as may be necessary to more fully effectuate the purpose and intent of this Agreement.

      

      

      6.          This Agreement may be
          executed in two or more counterparts, each of which shall be deemed an original but all of which shall constitute one and the same Agreement.

      

      

      7.          The substantive laws of
          the State of New York shall govern the interpretation, validity and performance of the terms of this Agreement, without regard to conflicts of law doctrines.

      

      

      8.          This Agreement may not
          be amended, modified or supplemented, or provisions of this Agreement waived, unless such amendment, modification supplement or waiver is in writing and signed by each of the Parties.

      

      

      9.          The provisions of this
          Agreement are independent of and separable from each other, and the invalidity, illegality or unenforceability of one or more of the provisions of this Agreement in any jurisdiction shall not affect the validity, legality or enforceability of the
          remainder of this Agreement, including any such provisions, in any other jurisdiction, it being intended that all rights and obligations of the Parties hereunder shall be enforceable to the fullest extent permitted by law; provided, that no such severability shall be effective if it materially changes the economic benefit of this Agreement to any Party.

      

      

      
        
          

      

      The Parties are signing this Agreement as of the date first set forth above.

      

      

      	 	
              Fortress Equity Partners GP, LLC

            
	 	 	 
	 	
              /s/ David N. Brooks

            	 
	 	
              Name: David N. Brooks .

            	 
	 	 	 
	 	
              Title: Authorized Signatory .

            	 

      

      

      

      

      [Signature Page to Mutual Agreement]

      
        
          

      

      	 	
              WRE 2012 Trust LLC

            
	 	 	 
	 	
              /s/ Wesley R. Edens

            	 
	 	
              Name: Wesley R. Edens .

            	 

      

      

      

      

      [Signature Page to Mutual Agreement]

      
        
          

      

      	 	
              FEP HoldCo LLC

            
	 	 	 
	 	
              /s/ Wesley R. Edens

            	 
	 	
              Name: Wesley R. Edens

            	 
	 	 	 
	 	
              Title: Member, Board of Managers

            	 
	 	 	 
	 	
              /s/ Randal A. Nardone

            	 
	 	
              Name: Randal A. Nardone

            	 
	 	 	 
	 	
              Title: Member, Board of Managers

            	 

      

      

      

      

      [Signature Page to Mutual Agreement]

      
        
          

      

      	 	
              Wesley R. Edens

            
	 	 
	 	
              /s/ Wesley R. Edens

            	 

      

      

      

      

      [Signature Page to Mutual Agreement]

      
        
          

      

      	 	
              Randal A. Nardone

            
	 	 
	 	
              /s/ Randal A. Nardone

            	 

      

      

      

      

      [Signature Page to Mutual Agreement]

      
        
          

      

      	 	
              NFE SMRS Holdings LLC

            
	 	 	 
	 	
              /s/ Alexander Thomson

            	 
	 	
              Name: Alexander Thomson .

            	 
	 	 	 
	 	
              Title: Manager .

            	 

      

      

      

      

      [Signature Page to Mutual Agreement]

      
        
          

      

      	 	
              New Fortress Energy LLC

            
	 	 	 
	 	
              /s/ Christopher Guinta

            	 
	 	
              Name: Christopher Guinta .

            	 
	 	 	 
	 	
              Title: Chief Financial Officer .

            	 

      

      

      

      

      [Signature Page to Mutual Agreement]

      
        
          

      

      	 	
              NFE Sub LLC

            
	 	 	 
	 	
              /s/ Christopher Guinta

            	 
	 	
              Name: Christopher Guinta

            	 
	 	 	 
	 	
              Title: Chief Financial Officer .

            	 

      

      

      

      

      
        [Signature Page to Mutual Agreement]

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