Document:

WELLS FARGO & COMPANY 8-K

Exhibit
4.1

 

[Face
of Note]

 

Unless
this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”),
to the Company or its agent for registration of transfer, exchange or payment, and any certificate issued is registered in the
name of Cede & Co. or in such other name as requested by an authorized representative of DTC (and any payment is made to Cede
& Co. or such other entity as is requested by an authorized representative of DTC), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF
FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL inasmuch as the registered owner hereof, Cede & Co., has an interest
herein.

 

	CUSIP NO.
    95001HD32	FACE
    AMOUNT: $_________
	REGISTERED NO. ___	 

 

WELLS
FARGO FINANCE LLC

 

MEDIUM-TERM
NOTE, SERIES A

Fully
and Unconditionally Guaranteed by Wells Fargo & Company

 

Principal
at Risk Securities Linked to the S&P 500® Index

due December 8, 2022

 

WELLS
FARGO FINANCE LLC, a limited liability company duly organized and existing under the laws of the State of Delaware (hereinafter
called the “Company,” which term includes any successor corporation under and as defined in the Indenture hereinafter
referred to), for value received, hereby promises to pay to CEDE & Co., or registered assigns, an amount equal to the
Maturity Payment Amount (as defined below), in such coin or currency of the United States of America as at the time of payment
is legal tender for payment of public and private debts, on the Stated Maturity Date, unless this Security is automatically called
as provided below under “Automatic Call.” The “Initial Stated Maturity Date” shall be December 8,
2022. If the Final Calculation Day (as defined below) is not postponed, the Initial Stated Maturity Date will be the “Stated
Maturity Date.” If the Final Calculation Day is postponed, the “Stated Maturity Date” shall be the
later of (i) the Initial Stated Maturity Date and (ii) three Business Days (as defined below) after the Final Calculation
Day as postponed. This Security shall not bear any interest.

 

Any
payments on this Security at Maturity will be made against presentation of this Security at the office or agency of the Company
maintained for that purpose in the City of Minneapolis, Minnesota and at any other office or agency maintained by the Company
for such purpose.

 

“Face
Amount” shall mean, when used with respect to this Security, the amount set forth on the face of this Security as its
“Face Amount.”

 

     

     

    

 

Automatic
Call

 

If
the Closing Level (as defined below) of the Index (as defined below) on either of the Call Dates (as defined in the table below)
is greater than or equal to the Starting Level (as defined below), this Security will be automatically called, and on the related
Call Settlement Date (as defined below) the Holder hereof will receive the Face Amount of this Security plus the Call Premium
(as defined in the table below) applicable to the relevant Call Date (together, the “Call Price”). Unless the Company
defaults in the payment of the Call Price, this Security will cease to be outstanding on such Call Settlement Date, and the Holder
hereof will have no further rights under this Security after such Call Settlement Date. The Holder hereof will not receive any
notice from the Company in the event this Security is automatically called pursuant to the terms hereof.

 

The
Call Dates and the related Call Premiums are as follows:

 

	Call Date	Call Premium
	 	 
	December 4, 2020	7.00% of the Face Amount of this Security
	December 6, 2021	14.00% of the Face Amount of this Security

 

The
Call Dates are subject to postponement for non-Trading Days and the occurrence of a Market Disruption Event. See the definition
of “Calculation Days” below.

 

The
“Call Settlement Date” for a Call Date shall be three Business Days after such Call Date, as such Call Date
may be postponed as provided herein.

 

Payment
of the Call Price, if any, will be made in such coin or currency of the United States of America as at the time is legal tender
for payment of public and private debts.

 

Determination
of Maturity Payment Amount and Certain Definitions

 

If
this Security is not automatically called as provided above under “Automatic Call,” the “Maturity Payment
Amount” of this Security will equal:

 

		●	if
                                         the Ending Level is greater than or equal to the Starting Level: the Face Amount plus
                                         the greater of:

 

		(i)	the
                                         Maturity Date Premium; and

 

		(ii)	

 

		●	if
                                         the Ending Level is less than the Starting Level: the Face Amount minus:
	 	 	 
	 	 	 

 

    2 

     

    

 

All
calculations with respect to the Maturity Payment Amount or Call Price, as applicable, will be rounded to the nearest one hundred-thousandth,
with five one-millionths rounded upward (e.g., 0.000005 would be rounded to 0.00001); and the Maturity Payment Amount or Call
Price, as applicable, will be rounded to the nearest cent, with one-half cent rounded upward.

 

“Index”
shall mean the S&P 500® Index.

 

The
“Pricing Date” shall mean November 27, 2019.

 

The
“Starting Level” is 3140.52, the Closing Level of the Index on November 26, 2019.

 

The
“Closing Level” of the Index on any Trading Day means the official closing level of the Index reported by the
Index Sponsor (as defined below) on such Trading Day, as obtained by the Calculation Agent on such Trading Day from the licensed
third-party market data vendor contracted by the Calculation Agent at such time; in particular, taking into account the decimal
precision and/or rounding convention employed by such licensed third-party market data vendor on such date, subject to the provisions
set forth below under “Market Disruption Events,” “Adjustments to the Index” and “Discontinuance
of the Index.”

 

The
“Ending Level” will be the Closing Level of the Index on the Final Calculation Day.

 

The
“Participation Rate” is 100%.

 

The
“Final Calculation Day” is December 5, 2022, subject to postponement for non-Trading Days and the occurrence
of a Market Disruption Event. See the definition of “Calculation Days” below.

 

The
“Maturity Date Premium” is 21.00% of the Face Amount of this Security.

 

“Business
Day” shall mean a day, other than a Saturday or Sunday, that is neither a legal holiday nor a day on which banking institutions
are authorized or required by law or regulation to close in New York, New York.

 

A
“Trading Day” means a day, as determined by the Calculation Agent, on which (i) the Relevant Stock Exchanges
with respect to each security underlying the Index are scheduled to be open for trading for their respective regular trading sessions
and (ii) each Related Futures or Options Exchange is scheduled to be open for trading for its regular trading session.

 

The
“Relevant Stock Exchange” for any security underlying the Index means the primary exchange or quotation system
on which such security is traded, as determined by the Calculation Agent.

 

The
“Related Futures or Options Exchange” for the Index means an exchange or quotation system where trading has
a material effect (as determined by the Calculation Agent) on the overall market for futures or options contracts relating to
the Index.

 

    3 

     

    

 

The
“Calculation Days” shall mean each of the Call Dates and the Final Calculation Day. If any Calculation Day
is not a Trading Day, such Calculation Day will be postponed to the next succeeding Trading Day. A Calculation Day is also subject
to postponement due to the occurrence of a Market Disruption Event (as defined below). If a Market Disruption Event occurs or
is continuing with respect to the Index on a Calculation Day, such Calculation Day will be postponed to the first succeeding Trading
Day on which a Market Disruption Event has not occurred and is not continuing; however, if such first succeeding Trading Day has
not occurred as of the eighth Trading Day after the originally scheduled Calculation Day, that eighth Trading Day shall be deemed
to be the Calculation Day. If a Calculation Day has been postponed eight Trading Days after the originally scheduled Calculation
Day and a Market Disruption Event occurs or is continuing on such eighth Trading Day, the Calculation Agent will determine the
Closing Level of the Index on such eighth Trading Day in accordance with the formula for and method of calculating the Closing
Level of the Index last in effect prior to commencement of the Market Disruption Event, using the closing price (or, with respect
to any relevant security, if a Market Disruption Event has occurred with respect to such security, its good faith estimate of
the value of such security at the Scheduled Closing Time of the Relevant Stock Exchange for such security or, if earlier, the
actual closing time of the regular trading session of such Relevant Stock Exchange) on such date of each security included in
the Index. As used herein, “closing price” means, with respect to any security on any date, the Relevant Stock
Exchange traded or quoted price of such security as of the Scheduled Closing Time of the Relevant Stock Exchange for such security
or, if earlier, the actual closing time of the regular trading session of such Relevant Stock Exchange.

 

“Calculation
Agent Agreement” shall mean the Calculation Agent Agreement dated as of May 18, 2018 between the Company and the
Calculation Agent, as amended from time to time.

 

“Calculation
Agent” shall mean the Person that has entered into the Calculation Agent Agreement with the Company providing for, among
other things, the determination of whether this Security will be automatically called on either Call Date, the Call Price, if
any, the Ending Level and the Maturity Payment Amount, which term shall, unless the context otherwise requires, include its successors
under such Calculation Agent Agreement. The initial Calculation Agent shall be Wells Fargo Securities, LLC. Pursuant to the Calculation
Agent Agreement, the Company may appoint a different Calculation Agent from time to time after the initial issuance of this Security
without the consent of the Holder of this Security and without notifying the Holder of this Security.

 

Adjustments
to the Index

 

If
at any time the method of calculating the Index or a Successor Equity Index, or the closing level thereof, is changed in a material
respect, or if the Index or a Successor Equity Index is in any other way modified so that such index does not, in the opinion
of the Calculation Agent, fairly represent the level of such index had those changes or modifications not been made, then the
Calculation Agent will, at the close of business in New York, New York, on each date that the closing level of such index is to
be calculated, make such calculations and adjustments as, in the good faith judgment of the Calculation Agent, may be necessary
in order to arrive at a level of an index comparable to the Index or Successor Equity Index as if those changes or

 

    4 

     

    

 

modifications
had not been made, and the Calculation Agent will calculate the closing level of the Index or Successor Equity Index with reference
to such index, as so adjusted. Accordingly, if the method of calculating the Index or Successor Equity Index is modified so that
the level of such index is a fraction or a multiple of what it would have been if it had not been modified (e.g., due to
a split or reverse split in such equity index), then the Calculation Agent will adjust the Index or Successor Equity Index in
order to arrive at a level of such index as if it had not been modified (e.g., as if the split or reverse split had not
occurred).

 

Discontinuance
of the Index

 

If
the sponsor or publisher of the Index (the “Index Sponsor”) discontinues publication of the Index, and the
Index Sponsor or another entity publishes a successor or substitute equity index that the Calculation Agent determines, in its
sole discretion, to be comparable to the Index (a “Successor Equity Index”), then, upon the Calculation Agent’s
notification of that determination to the Trustee and the Company, the Calculation Agent will substitute the Successor Equity
Index as calculated by the Index Sponsor or any other entity and calculate the Ending Level or the Closing Level on any Calculation
Day as described above. Upon any selection by the Calculation Agent of a Successor Equity Index, the Company will cause notice
to be given to the Holder of this Security.

 

In
the event that the Index Sponsor discontinues publication of the Index prior to, and the discontinuance is continuing on, a Calculation
Day and the Calculation Agent determines that no Successor Equity Index is available at such time, the Calculation Agent will
calculate a substitute Closing Level for the Index in accordance with the formula for and method of calculating the Index last
in effect prior to the discontinuance, but using only those securities that comprised the Index immediately prior to that discontinuance.
If a Successor Equity Index is selected or the Calculation Agent calculates a level as a substitute for the Index, the Successor
Equity Index or level will be used as a substitute for the Index for all purposes, including the purpose of determining whether
a Market Disruption Event exists.

 

If
on a Calculation Day the Index Sponsor fails to calculate and announce the level of the Index, the Calculation Agent will calculate
a substitute Closing Level of the Index in accordance with the formula for and method of calculating the Index last in effect
prior to the failure, but using only those securities that comprised the Index immediately prior to that failure; provided
that, if a Market Disruption Event occurs or is continuing on such day, then the provisions set forth above under the definition
of “Calculation Day” shall apply in lieu of the foregoing.

 

Market
Disruption Events 

 

A
“Market Disruption Event” means any of the following events as determined by the Calculation Agent in its sole
discretion:

 

		(A)	The
occurrence or existence of a material suspension of or limitation imposed on trading by the Relevant Stock Exchanges or otherwise
relating to securities which then comprise 20% or more of the level of the Index or any Successor Equity Index at any time during
the one-hour period that ends at the Close of Trading on

 

    5 

     

    

 

			that day, whether by reason
                                         of movements in price exceeding limits permitted by those Relevant Stock Exchanges or
                                         otherwise.

 

		(B)	The
                                         occurrence or existence of a material suspension of or limitation imposed on trading
                                         by any Related Futures or Options Exchange or otherwise in futures or options contracts
                                         relating to the Index or any Successor Equity Index on any Related Futures or Options
                                         Exchange at any time during the one-hour period that ends at the Close of Trading on
                                         that day, whether by reason of movements in price exceeding limits permitted by the Related
                                         Futures or Options Exchange or otherwise.

 

		(C)	The
                                         occurrence or existence of any event, other than an early closure, that materially disrupts
                                         or impairs the ability of market participants in general to effect transactions in, or
                                         obtain market values for, securities that then comprise 20% or more of the level of the
                                         Index or any Successor Equity Index on their Relevant Stock Exchanges at any time during
                                         the one-hour period that ends at the Close of Trading on that day.

 

		(D)	The
                                         occurrence or existence of any event, other than an early closure, that materially disrupts
                                         or impairs the ability of market participants in general to effect transactions in, or
                                         obtain market values for, futures or options contracts relating to the Index or any Successor
                                         Equity Index on any Related Futures or Options Exchange at any time during the one-hour
                                         period that ends at the Close of Trading on that day.

 

		(E)	The
                                         closure on any Exchange Business Day of the Relevant Stock Exchanges on which securities
                                         that then comprise 20% or more of the level of the Index or any Successor Equity Index
                                         are traded or any Related Futures or Options Exchange prior to its Scheduled Closing
                                         Time unless the earlier closing time is announced by the Relevant Stock Exchange or Related
                                         Futures or Options Exchange, as applicable, at least one hour prior to the earlier of
                                         (1) the actual closing time for the regular trading session on such Relevant Stock
                                         Exchange or Related Futures or Options Exchange, as applicable, and (2) the submission
                                         deadline for orders to be entered into the Relevant Stock Exchange or Related Futures
                                         or Options Exchange, as applicable, system for execution at such actual closing time
                                         on that day.

 

		(F)	The
                                         Relevant Stock Exchange for any security underlying the Index or Successor Equity Index
                                         or any Related Futures or Options Exchange fails to open for trading during its regular
                                         trading session.

 

For
purposes of determining whether a Market Disruption Event has occurred:

 

		(1)	the
relevant percentage contribution of a security to the level of the Index or any Successor Equity Index will be based on a comparison
of (x) the portion of the level of such Index attributable to that security and (y) the overall level of the

 

    6 

     

    

 

			Index or Successor
                                         Equity Index, in each case immediately before the occurrence of the Market Disruption
                                         Event;

 

		(2)	the
                                         “Close of Trading” on any Trading Day for the Index or any Successor
                                         Equity Index means the Scheduled Closing Time of the Relevant Stock Exchanges with respect
                                         to the securities underlying the Index or Successor Equity Index on such Trading Day;
                                         provided that, if the actual closing time of the regular trading session of any
                                         such Relevant Stock Exchange is earlier than its Scheduled Closing Time on such Trading
                                         Day, then (x) for purposes of clauses (A) and (C) of the definition of “Market
                                         Disruption Event” above, with respect to any security underlying the Index or Successor
                                         Equity Index for which such Relevant Stock Exchange is its Relevant Stock Exchange, the
                                         “Close of Trading” means such actual closing time and (y) for purposes of
                                         clauses (B) and (D) of the definition of “Market Disruption Event” above,
                                         with respect to any futures or options contract relating to the Index or Successor Equity
                                         Index, the “close of trading” means the latest actual closing time of the
                                         regular trading session of any of the Relevant Stock Exchanges, but in no event later
                                         than the Scheduled Closing Time of the Relevant Stock Exchanges;

 

		(3)	the
                                         “Scheduled Closing Time” of any Relevant Stock Exchange or Related
                                         Futures or Options Exchange on any Trading Day for the Index or any Successor Equity
                                         Index means the scheduled weekday closing time of such Relevant Stock Exchange or Related
                                         Futures or Options Exchange on such Trading Day, without regard to after hours or any
                                         other trading outside the regular trading session hours; and

 

		(4)	an
                                         “Exchange Business Day” means any Trading Day for the Index or any
                                         Successor Equity Index on which each Relevant Stock Exchange for the securities underlying
                                         the Index or any Successor Equity Index and each Related Futures or Options Exchange
                                         are open for trading during their respective regular trading sessions, notwithstanding
                                         any such Relevant Stock Exchange or Related Futures or Options Exchange closing prior
                                         to its Scheduled Closing Time.

 

Calculation
Agent

 

The
Calculation Agent will determine whether this Security will be automatically called on either Call Date, the Call Price, if any,
the Maturity Payment Amount and the Ending Level. In addition, the Calculation Agent will (i) determine if adjustments are required
to the Closing Level of the Index under the circumstances described in this Security, (ii) if publication of the Index is discontinued,
select a Successor Equity Index or, if no Successor Equity Index is available, determine the Closing Level of the Index under
the circumstances described in this Security, and (iii) determine whether a Market Disruption Event or non-Trading Day has
occurred.

 

The
Company covenants that, so long as this Security is Outstanding, there shall at all times be a Calculation Agent (which shall
be a broker-dealer, bank or other financial institution) with respect to this Security.

 

    7 

     

    

 

All
determinations made by the Calculation Agent with respect to this Security will be at the sole discretion of the Calculation Agent
and, in the absence of manifest error, will be conclusive for all purposes and binding on the Company and the Holder of this Security.

 

Tax
Considerations

 

The
Company agrees, and by acceptance of a beneficial ownership interest in this Security each Holder of this Security will be deemed
to have agreed (in the absence of a statutory, regulatory, administrative or judicial ruling to the contrary), for United States
federal income tax purposes to characterize and treat this Security as a prepaid derivative contract that is an “open transaction.”

 

Redemption
and Repayment

 

This
Security is not subject to repayment at the option of the Holder hereof prior to December 8, 2022. Except as set forth above
under “Automatic Call,” this Security is not subject to redemption prior to December 8, 2022. This Security is
not entitled to any sinking fund.

 

Acceleration

 

If
an Event of Default, as defined in the Indenture, with respect to this Security shall occur and be continuing, the Maturity Payment
Amount (calculated as set forth in the next sentence) of this Security may be declared due and payable in the manner and with
the effect provided in the Indenture. The amount payable to the Holder hereof upon any acceleration permitted under the Indenture
will be equal to the Maturity Payment Amount hereof calculated as provided herein as though the date of acceleration was the Final
Calculation Day; provided that if the Closing Level of the Index on the date of acceleration is equal to or greater than the Starting
Level, the amount payable on this Security will be calculated using a Maturity Date Premium that is prorated to the date of acceleration.

 

 

 

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

 

Unless
the certificate of authentication hereon has been executed by the Trustee referred to on the reverse hereof by manual signature
or its duly authorized agent under the Indenture referred to on the reverse hereof by manual signature, this Security shall not
be entitled to any benefit under the Indenture or be valid or obligatory for any purpose.

 

[The
remainder of this page has been left intentionally blank]

 

    8 

     

    

 

IN
WITNESS WHEREOF, the Company has caused this instrument to be duly executed.

 

DATED:

 

	 	WELLS FARGO FINANCE LLC
	 	 	 
	 	By:	 	 
	 	 	 	 
	 	 	 	Its:
	 	 	 
	 	Attest:	 
	 	 	 
	 	 	Its:

 

TRUSTEE’S
CERTIFICATE OF AUTHENTICATION

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

	 	 	 
	CITIBANK,
    N.A.,	 
	 	as
    Trustee	 
	 	 	 
	By:	 	 
	 	Authorized
    Signature	 
	 	 	 
	 	OR	 
	 	 	 
	WELLS
    FARGO BANK, N.A.,	 
	as
    Authenticating Agent for the Trustee	 
	 	 	 
	By:	 	 
	 	Authorized
    Signature	 

 

    9 

     

    

 

[Reverse
of Note]

 

WELLS
FARGO FINANCE LLC

 

MEDIUM-TERM
NOTE, SERIES A

Fully and Unconditionally Guaranteed by Wells Fargo & Company

 

Principal
at Risk Securities Linked to the S&P 500® Index

due December 8, 2022

 

This
Security is one of a duly authorized issue of securities of the Company (herein called the “Securities”), issued
and to be issued in one or more series under an indenture dated as of April 25, 2018, as amended or supplemented from time
to time (herein called the “Indenture”), among the Company, as issuer, Wells Fargo & Company, as guarantor
(the “Guarantor”) and Citibank, N.A., as trustee (herein called the “Trustee,” which term
includes any successor trustee under the Indenture), to which Indenture and all indentures supplemental thereto reference is hereby
made for a statement of the respective rights, limitations of rights, duties and immunities thereunder of the Company, the Guarantor,
the Trustee and the Holders of the Securities, and of the terms upon which the Securities are, and are to be, authenticated and
delivered. This Security is one of the series of the Securities designated as Medium-Term Notes, Series A, of the Company.
The amount payable on the Securities of this series may be determined by reference to the performance of one or more equity-,
commodity- or currency-based indices, exchange traded funds, securities, commodities, currencies, statistical measures of economic
or financial performance, or a basket comprised of two or more of the foregoing, or any other market measure or may bear interest
at a fixed rate or a floating rate. The Securities of this series may mature at different times, be redeemable at different times
or not at all, be repayable at the option of the Holder at different times or not at all and be denominated in different currencies.

 

The
Securities are issuable only in registered form without coupons and will be either (a) book-entry securities represented
by one or more Global Securities recorded in the book-entry system maintained by the Depositary or (b) certificated securities
issued to and registered in the names of, the beneficial owners or their nominees.

 

The
Company agrees, to the extent permitted by law, not to voluntarily claim the benefits of any laws concerning usurious rates of
interest against a Holder of this Security.

 

Guarantee

 

The
Securities of this series are fully and unconditionally guaranteed by the Guarantor as and to the extent set forth in the Indenture.

 

Modification
and Waivers 

 

The
Indenture permits, with certain exceptions as therein provided, the amendment thereof and the modification of the rights and obligations
of the Company and the Guarantor and the rights of the Holders of the Securities of each series to be affected under the Indenture
at any time by the

 

    10 

     

    

 

Company,
the Guarantor and the Trustee with the consent of the Holders of a majority in principal amount of the Securities at the time
Outstanding of all series to be affected, acting together as a class. The Indenture also contains provisions permitting the Holders
of a majority in principal amount of the Securities of all series at the time Outstanding affected by certain provisions of the
Indenture, acting together as a class, on behalf of the Holders of all Securities of such series, to waive compliance by the Company
or the Guarantor with those provisions of the Indenture. Certain past defaults under the Indenture and their consequences may
be waived under the Indenture by the Holders of a majority in principal amount of the Securities of each series at the time Outstanding,
on behalf of the Holders of all Securities of such series. Solely for the purpose of determining whether any consent, waiver,
notice or other action or Act to be taken or given by the Holders of Securities pursuant to the Indenture has been given or taken
by the Holders of Outstanding Securities in the requisite aggregate principal amount, the principal amount of this Security will
be deemed to be equal to the amount set forth on the face hereof as the “Face Amount” hereof. Any such consent or
waiver by the Holder of this Security shall be conclusive and binding upon such Holder and upon all future Holders of this Security
and of any Security issued upon the registration of transfer hereof or in exchange herefor or in lieu hereof, whether or not notation
of such consent or waiver is made upon this Security.

 

Defeasance

 

Section 403
and Article Fifteen of the Indenture and the provisions of clause (ii) of Section 401(1)(B) of the Indenture, relating
to defeasance at any time of (a) the entire indebtedness on this Security and (b) certain restrictive covenants, upon
compliance by the Company or the Guarantor with certain conditions set forth therein, shall not apply to this Security. The remaining
provisions of Section 401 of the Indenture shall apply to this Security.

 

Authorized
Denominations

 

This
Security is issuable only in registered form without coupons in denominations of $1,000 or any amount in excess thereof which
is an integral multiple of $1,000.

 

Registration
of Transfer

 

Upon
due presentment for registration of transfer of this Security at the office or agency of the Company in the City of Minneapolis,
Minnesota, a new Security or Securities of this series, with the same terms as this Security, in authorized denominations for
an equal aggregate Face Amount will be issued to the transferee in exchange herefor, as provided in the Indenture and subject
to the limitations provided therein and to the limitations described below, without charge except for any tax or other governmental
charge imposed in connection therewith.

 

This
Security is exchangeable for definitive Securities in registered form only if (x) the Depositary notifies the Company that
it is unwilling or unable to continue as Depositary for this Security or if at any time the Depositary ceases to be a clearing
agency registered under the Securities Exchange Act of 1934, as amended, and a successor depositary is not appointed within 90 days
after the Company receives such notice or becomes aware of such ineligibility, (y) the Company in its sole discretion determines
that this Security shall be exchangeable for definitive Securities in registered form and notifies the Trustee thereof or (z)
an Event of Default with respect

 

    11 

     

    

 

to the Securities represented hereby has occurred and is continuing. If this Security is exchangeable
pursuant to the preceding sentence, it shall be exchangeable for definitive Securities in registered form, having the same date
of issuance, Stated Maturity Date and other terms and of authorized denominations aggregating a like amount.

 

This
Security may not be transferred except as a whole by the Depositary to a nominee of the Depositary or by a nominee of the Depositary
to the Depositary or another nominee of the Depositary or by the Depositary or any such nominee to a successor of the Depositary
or a nominee of such successor. Except as provided above, owners of beneficial interests in this Global Security will not be entitled
to receive physical delivery of Securities in definitive form and will not be considered the Holders hereof for any purpose under
the Indenture.

 

Prior
to due presentment of this Security for registration of transfer, the Company, the Guarantor, the Trustee and any agent of the
Company, the Guarantor or the Trustee may treat the Person in whose name this Security is registered as the owner hereof for all
purposes, whether or not this Security be overdue, and neither the Company, the Guarantor, the Trustee nor any such agent shall
be affected by notice to the contrary.

 

Obligation
of the Company Absolute

 

No
reference herein to the Indenture and no provision of this Security or the Indenture shall alter or impair the obligation of the
Company, which is absolute and unconditional, to pay the Maturity Payment Amount or the Call Price, as applicable, at the times,
place and rate, and in the coin or currency, herein prescribed, except as otherwise provided in this Security.

 

No
Personal Recourse

 

No
recourse shall be had for the payment of the Maturity Payment Amount or the Call Price, as applicable, or for any claim based
hereon, or otherwise in respect hereof, or based on or in respect of the Indenture or any indenture supplemental thereto, against
any incorporator, stockholder, officer or director, as such, past, present or future, of the Company or any successor corporation
or of the Guarantor or any successor corporation, whether by virtue of any constitution, statute or rule of law, or by the enforcement
of any assessment or penalty or otherwise, all such liability being, by the acceptance hereof and as part of the consideration
for the issuance hereof, expressly waived and released.

 

Defined
Terms

 

All
terms used in this Security which are defined in the Indenture shall have the meanings assigned to them in the Indenture unless
otherwise defined in this Security.

 

Governing
Law

 

This
Security shall be governed by and construed in accordance with the law of the State of New York, without regard to principles
of conflicts of laws.

 

    12 

     

    

 

ABBREVIATIONS

 

The
following abbreviations, when used in the inscription on the face of this instrument, shall be construed as though they were written
out in full according to applicable laws or regulations:

 

	TEN COM	--	as tenants in common
	 	 	 
	TEN ENT	--	as tenants by the entireties
	 	 	 
	JT TEN	--	as joint tenants with right
	 	 	of survivorship and not
	 	 	as tenants in common

 

	UNIF GIFT MIN ACT

	--

	 

	 

	Custodian 

	 

	 

	 

	(Cust)

	 

	 

	(Minor)

 

Under
Uniform Gifts to Minors Act

	 	 
	(State)	 

  

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

 

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

 

Please
Insert Social Security or 

Other
Identifying Number of Assignee

 

	 	 
	 	 
	 	 

(Please
print or type name and address including postal zip code of Assignee)

 

    13 

     

    

 

the
within Security of WELLS FARGO FINANCE LLC and does hereby irrevocably constitute and appoint __________________ attorney to transfer
the said Security on the books of the Company, 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 within instrument in every particular,
without alteration or enlargement or any change whatever.

 

    14Exhibit

Exhibit 10.1

THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT
THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this "Amendment"), dated as of November 27, 2019 (the "Amendment Signing Date"), is entered into by and among Axovant Gene Therapies Ltd. (f/k/a Axovant Sciences Ltd.), an exempted company organized under the laws of Bermuda ("Parent"), Axovant Holdings Limited, a private limited company organized under the laws of England and Wales, Axovant Sciences GmbH, a limited liability company (Gesellschaft mit beschränkter Haftung) incorporated and organized under the laws of Switzerland, Axovant Sciences America, Inc., a Delaware corporation, Axovant Treasury, Inc., a Delaware corporation, Axovant Treasury Holdings, Inc., a Delaware corporation, and each of Parent’s Subsidiaries that delivers a Joinder Agreement pursuant to Section 7.13 of the Loan and Security Agreement (hereinafter collectively referred to as the "Borrowers" and each, a "Borrower"), Axovant Sciences, Inc., a Delaware corporation ("Guarantor"), the several banks and other financial institutions or entities from time to time parties thereto as Lender, constituting the Required Lenders, and HERCULES CAPITAL, INC., formerly known as Hercules Technology Growth Capital, Inc., a Maryland corporation, in its capacity as administrative agent and collateral agent for itself and Lender (in such capacity, together with its successors and assigns in such capacity, "Agent").
The Borrowers, Guarantor, Lender and Agent are parties to a Loan and Security Agreement dated as of February 2, 2017 (as amended by that certain First Amendment to Loan and Security Agreement, dated as of May 24, 2017, that certain Joinder Agreement, dated as of July 21, 2017, that certain Second Amendment to Loan and Security Agreement, dated as of September 22, 2017, that certain Joinder Agreement, dated as of April 6, 2018, and as further amended, restated or modified from time to time, the "Loan and Security Agreement").  The Loan Parties have requested that Agent and Lender agree to certain amendments to the Loan and Security Agreement.  Agent and Lender have agreed to such request, subject to the terms and conditions hereof.
Accordingly, the parties hereto agree as follows:
SECTION 1Definitions; Interpretation.
(a)    Terms Defined in Loan and Security Agreement.  All capitalized terms used in this Amendment (including in the recitals hereof) and not otherwise defined herein shall have the meanings assigned to them in the Loan and Security Agreement.
(b)    Interpretation.  The rules of interpretation set forth in Section 1.1 of the Loan and Security Agreement shall be applicable to this Amendment and are incorporated herein by this reference.
SECTION 2    Amendments to the Loan and Security Agreement.
(a)    The Loan and Security Agreement shall be amended as follows effective as of the Amendment Effective Date:
(i)    New Definitions.  The following definitions are hereby added to Section 1.1 in their proper alphabetical order:
"Process Letter" has the meaning set forth in Section 11.20.
"Roivant Guaranty" means that certain Unconditional Guaranty, dated as of the Third Amendment Effective Date, by and between Agent and Roivant Guarantor, as amended, amended and restated, supplemented or otherwise modified from time to time.
"Roivant Guarantor" means Roivant Sciences Ltd., an exempted company organized under the laws of Bermuda.

1

"Third Amendment" means that certain Third Amendment to Loan and Security Agreement, dated as of the Third Amendment Effective Date, by and among the Loan Parties, Agent and Lender.
"Third Amendment Effective Date" means the date on which each of the conditions precedent set forth in Section 3 of the Third Amendment have been satisfied.
(ii)    Amended and Restated Definition.  The following definition is hereby amended and restated as follows: 
"Amortization Date" means September 1, 2020.
"Loan Documents" means this Agreement, the Notes (if any), the ACH Authorization (if in effect), the Account Control Agreements, the Joinder Agreements, the Disclosure Letter, all UCC Financing Statements, the Warrant, the Pledge Agreement, the Bermuda Security Documents, the English Security Documents, the Swiss Security Documents, each Process Letter, any guaranty, and any other documents executed in connection with the Secured Obligations or the transactions contemplated hereby, as the same may from time to time be amended, modified, supplemented or restated.
"Term Loan Interest Rate" means for any day a per annum rate of interest equal to the greater of either (i) the prime rate as reported in The Wall Street Journal plus 6.80%, and (ii) 11.55%.
(iii)    Section 2.2(d).  Section 2.2(d) is hereby amended and restated in its entirety as follows:  
"Payment.  Borrower will pay accrued but unpaid interest on each Term Loan Advance on the first Business Day of each month, beginning the month after the Advance Date.  As of the Third Amendment Effective Date, after giving effect to the prepayment required as a condition to the effectiveness of the Third Amendment, the outstanding principal amount of the Term Loans is equal to Fifteen Million Seven Hundred and Thirty Thousand Five Hundred and Forty-Nine and 65/100 Dollars ($15,730,549.65).  Borrower shall repay the aggregate Term Loan principal balance that is outstanding on the day immediately preceding the Amortization Date, in equal monthly installments of principal and interest (mortgage style) beginning on the Amortization Date and continuing on the first Business Day of each month thereafter until the Secured Obligations (other than inchoate indemnity obligations) are repaid.  Any remaining outstanding Term Loan principal balance, together with any and all accrued but unpaid interest hereunder, shall be due and payable on the Term Loan Maturity Date.  Borrower shall make all payments under this Agreement without setoff, recoupment or deduction and regardless of any counterclaim or defense. Borrower shall wire in immediately available funds in Dollars to Agent or Lender, as applicable and in each case as specified in writing by Agent or Lender, or Lender, subject to Schedule 7.24 of the Disclosure Letter, will initiate debit entries to the Borrower’s account as authorized on the ACH Authorization, in each case (i) on each payment date of all periodic obligations payable to Lender under each Term Loan Advance and (ii) out-of-pocket legal fees and costs incurred by Agent or Lender in connection with Section 11.12 of this Agreement, provided that an invoice of such out-of-pocket legal fees and costs has been provided to Borrower at least fifteen (15) days in advance of Lender initiating such payment."
(iv)    Section 2.9(g)(iv).  Section 2.9(g)(iv) is hereby amended by replacing "clause 2" therein with "clause (iv)".
(v)    Section 7.20.  Section 7.20 is hereby amended and restated in its entirety as follows:  
"Reserved."
(vi)    Section 9.1.  Section 9.1 is hereby amended and restated in its entirety as follows:  

2

"Payments.  Any Loan Party or Roivant Guarantor fails to pay any amount due under this Agreement or any of the other Loan Documents on the due date; provided, however, that an Event of Default shall not occur on account of a failure to pay due solely to an administrative or operational error of Agent or Lender or any Loan Party’s or Roivant Guarantor’s bank if such Loan Party or Roivant Guarantor had the funds to make the payment when due and makes the payment within three (3) Business Days following such Loan Party’s or Roivant Guarantor’s knowledge of such failure to pay; or"
(vii)    Section 9.2.  Section 9.2 is hereby amended and restated in its entirety as follows: 
"Covenants.  Any Loan Party or Roivant Guarantor breaches or defaults in the performance of any covenant or Secured Obligation under this Agreement, or any of the other Loan Documents, and (a) with respect to a default under any covenant under this Agreement (other than under Sections 4.4, 6, 7.4, 7.5, 7.6, 7.7, 7.8, 7.9, 7.15, 7.17, 7.20, or 7.21) or any other Loan Document (other than the Roivant Guaranty), such default continues for more than thirty (30) days after the earlier of the date on which (i) Agent or Lender has given notice of such default to the Loan Parties or Roivant Guarantor and (ii) any Loan Party or Roivant Guarantor has actual knowledge of such default or (b) with respect to a default under any of Sections 4.4, 6, 7.4, 7.5, 7.6, 7.7, 7.8, 7.9, 7.15, 7.17, 7.20, or 7.21, the occurrence of such default; or"
(viii)    Section 9.4.  Section 9.4 is hereby amended and restated in its entirety as follows:  
"Representations.  Any representation or warranty made by any Loan Party or Roivant Guarantor in any Loan Document shall have been false or misleading in any material respect when made or when deemed made; or"
(ix)    Section 9.9.  Section 9.9 is hereby amended and restated in its entirety as follows:  
"Expropriation.  The authority or ability of the Loan Parties or Roivant Guarantor to conduct their business as a whole is limited or wholly or substantially curtailed by any seizure, expropriation, nationalization, intervention, restriction or other action by or on behalf of any governmental, regulatory or other authority or other Person in relation to Roivant Guarantor or the Loan Parties or any of their respective assets; or"
(x)    Section 11.20.  Section 11.20 is hereby amended and restated in its entirety as follows:  
"Subject to Schedule 7.24 to the Disclosure Letter, Parent, Axovant England, Axovant Switzerland and each Subsidiary that is organized outside of the United States of America shall appoint Corporation Service Company, or other agent reasonably acceptable to Agent, as its agent for the purpose of accepting service of any process in the United States of America, evidenced by a service of process letter in form and substance satisfactory to Agent (each, a "Process Letter").  Each Loan Party shall take all actions, including payment of fees to such agent, to ensure that each Process Letter remains effective at all times."
(b)    References Within Loan and Security Agreement.  Each reference in the Loan and Security Agreement to "this Agreement" and the words "hereof," "herein," "hereunder," or words of like import, shall mean and be a reference to the Loan and Security Agreement as amended by this Amendment.
SECTION 3    Conditions of Effectiveness.  The amendments set forth in Section 2 of this Amendment shall each become effective on the date (the "Amendment Effective Date") on which each of the following conditions precedent are satisfied: 
(a)    Fees and Expenses.  The Parent shall have paid (i) all attorney fees and other costs and expenses then due in accordance with Section 5(e), and (iii) all other fees, costs and expenses, if any, due and payable as of the Amendment Effective Date under the Loan and Security Agreement.
(b)    This Amendment.  Agent shall have received this Amendment, executed by Agent, Lender and the Loan Parties.

3

(c)    Roivant Guaranty Documentation.  Roivant shall have delivered to Agent the following, each in form and substance satisfactory to Agent:
(i)    that certain Unconditional Guaranty (the "Roivant Guaranty"), dated as of the Amendment Signing Date, executed by Agent and Roivant Sciences Ltd., an exempted company organized under the laws of Bermuda ("Roivant");
(ii)    a service of process letter, evidencing that Roivant has appointed Corporation Service Company, or other agent reasonably acceptable to Agent, as its agent for the purpose of accepting service of any process in the United States of America; and 
(iii)    a copy of the resolutions of Roivant’s board of directors evidencing (A) approval of the Roivant Guaranty and the transactions evidenced thereby, and (B) authorization of a specified person or persons to execute the Roivant Guaranty; and  
(iv)    all other documents and instruments reasonably required by Agent to effectuate the transactions contemplated by the Roivant Guaranty.
(d)    Prepayment.  The Borrowers shall prepay a portion of the principal balance of the outstanding Advances equal to Fifteen Million Seven Hundred and Thirty Thousand Five Hundred and Forty-Nine and 65/100 Dollars ($15,730,549.65), all accrued and unpaid interest with respect to such principal balance being prepaid, plus all fees and other amounts owing under the Loan Documents as of the Amendment Effective Date.  For the avoidance of doubt, notwithstanding Section 2.6 of the Loan and Security Agreement, Agent and Lender agree to waive the Prepayment Charge associated with the prepayment under this Section 3(d).  
(e)    Representations and Warranties; No Default.  On the Amendment Effective Date, after giving effect to the amendment of the Loan and Security Agreement contemplated hereby:
(i)    The representations and warranties contained in Section 4 shall be true and correct on and as of the Amendment Effective Date as though made on and as of such date; and
(ii)    There exist no Events of Default or events that with the passage of time would result in an Event of Default.
(f)    Agent shall have received such other documents as Agent may reasonably request to effectuate the transactions contemplated hereby.
SECTION 4    Representations and Warranties.  To induce Agent and Lender to enter into this Amendment, each Loan Party hereby confirms, as of the Amendment Signing Date and the Amendment Effective Date, as applicable, (a) that the representations and warranties made by it in Section 5 of the Loan and Security Agreement and in the other Loan Documents are true and correct in all material respects; provided, however, that such materiality qualifier shall not be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof; and (b) that there has not been and there does not exist a Material Adverse Change.  For the purposes of this Section 4, (i) each reference in Section 5 of the Loan and Security Agreement to "this Agreement," and the words "hereof," "herein," "hereunder," or words of like import in such Section, shall mean and be a reference to the Loan and Security Agreement as amended by this Amendment, and (ii) any representations and warranties which relate solely to an earlier date shall not be deemed confirmed and restated as of the, as applicable, Amendment Signing Date and Amendment Effective Date (provided that such representations and warranties shall be true, correct and complete as of such earlier date).  
SECTION 5    Post-Amendment Effective Date.  Notwithstanding any provision herein to the contrary, to the extent not actually delivered on or prior to the Amendment Effective Date, Borrower shall deliver to Agent (or its designated agent) within twenty (20) Business Days of the Amendment Effective Date (or such longer period as Agent shall agree in writing in its sole discretion):

4

(a)    an updated Perfection Certificate, executed by the Loan Parties, in form and substance satisfactory to Agent; and
(b)    all other documents and instruments, each in form and substance satisfactory to Agent, reasonably required by Agent to obtain, maintain, perfect, and keep in force its Lien on and security interest in the Collateral.
SECTION 6    Miscellaneous.
(a)    Loan Documents Otherwise Not Affected; Reaffirmation.  Except as expressly amended pursuant hereto or referenced herein, the Loan and Security Agreement and the other Loan Documents shall remain unchanged and in full force and effect and are hereby ratified and confirmed in all respects.  Lender’s and Agent’s execution and delivery of, or acceptance of, this Amendment shall not be deemed to create a course of dealing or otherwise create any express or implied duty by any of them to provide any other or further amendments, consents or waivers in the future.  Each Loan Party hereby reaffirms the grant of security under Section 3.1 of the Loan and Security Agreement and hereby reaffirms that such grant of security in the Collateral secures all Secured Obligations under the Loan and Security Agreement and the other Loan Documents.  Each Loan Party further reaffirms each grant of security under each Bermuda Security Document, English Security Document and Swiss Security Document.
(b)    Conditions.  For purposes of determining compliance with the conditions specified in Section 3, each Lender that has signed this Amendment shall be deemed to have consented to, approved or accepted or to be satisfied with, each document or other matter required thereunder to be consented to or approved by or acceptable or satisfactory to a Lender unless Agent shall have received notice from such Lender prior to the Amendment Signing Date specifying its objection thereto.
(c)    Release.  In consideration of the agreements of Agent and each Lender contained herein and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, each Loan Party, on behalf of itself and its successors, assigns, and other legal representatives, hereby fully, absolutely, unconditionally and irrevocably releases, remises and forever discharges Agent and each Lender, and its successors and assigns, and its present and former shareholders, affiliates, subsidiaries, divisions, predecessors, directors, officers, attorneys, employees, agents and other representatives (Agent, Lenders and all such other persons being hereinafter referred to collectively as the "Releasees" and individually as a "Releasee"), of and from all demands, actions, causes of action, suits, covenants, contracts, controversies, agreements, promises, sums of money, accounts, bills, reckonings, damages and any and all other claims, counterclaims, defenses, rights of set-off, demands and liabilities whatsoever of every name and nature, known or unknown, suspected or unsuspected, both at law and in equity, which any Loan Party, or any of its successors, assigns, or other legal representatives may now or hereafter own, hold, have or claim to have against the Releasees or any of them for, upon, or by reason of any circumstance, action, cause or thing whatsoever which arises at any time on or prior to the day and date of this Amendment, including, without limitation, for or on account of, or in relation to, or in any way in connection with the Loan Agreement, or any of the other Loan Documents or transactions thereunder or related thereto.  Each Loan Party understands, acknowledges and agrees that the release set forth above may be pleaded as a full and complete defense and may be used as a basis for an injunction against any action, suit or other proceeding which may be instituted, prosecuted or attempted in breach of the provisions of such release.  Each Loan Party agrees that no fact, event, circumstance, evidence or transaction which could now be asserted or which may hereafter be discovered shall affect in any manner the final, absolute and unconditional nature of the release set forth above.
(d)    No Reliance.  Each Loan Party hereby acknowledges and confirms to Agent and Lender that such Loan Party is executing this Amendment on the basis of its own investigation and for its own reasons without reliance upon any agreement, representation, understanding or communication by or on behalf of any other Person.
(e)    Costs and Expenses.  Each Loan Party agrees to pay to Agent on the Amendment Effective Date the out-of-pocket costs and expenses of Agent and Lenders party hereto, and the fees and disbursements of counsel to Agent and Lenders party hereto (including allocated costs of internal counsel), in connection with the negotiation, preparation, execution and delivery of this Amendment and any other documents to be delivered in connection herewith on the Amendment Effective Date or after such date.

5

(f)    Binding Effect.  This Amendment binds and is for the benefit of the successors and permitted assigns of each party.  
(g)    Governing Law.  This Agreement and the other Loan Documents shall be governed by, and construed and enforced in accordance with, the laws of the State of California, excluding conflict of laws principles that would cause the application of laws of any other jurisdiction.
(h)    Complete Agreement; Amendments.  This Amendment and the Loan Documents represent the entire agreement about this subject matter and supersede prior negotiations or agreements with respect to such subject matter.  All prior agreements, understandings, representations, warranties, and negotiations between the parties about the subject matter of this Amendment and the Loan Documents merge into this Amendment and the Loan Documents.  
(i)    Severability of Provisions.  Each provision of this Amendment is severable from every other provision in determining the enforceability of any provision.
(j)    Counterparts.  This Amendment may be executed in any number of counterparts and by different parties on separate counterparts, each of which, when executed and delivered, is an original, and all taken together, constitute one Amendment.  Delivery of an executed counterpart of a signature page of this Amendment by facsimile, portable document format (.pdf) or other electronic transmission will be as effective as delivery of a manually executed counterpart hereof.
(k)    Loan Documents. This Amendment shall constitute a Loan Document.
[Balance of Page Intentionally Left Blank; Signature Pages Follow]

6

IN WITNESS WHEREOF, the parties hereto have duly executed this Amendment, as of the date first above written.
	
		
	BORROWERS:

	 
	 

	AXOVANT GENE THERAPIES LTD.

	 
	 

	Signature:
	/s/ Pavan Cheruvu

	Print Name:
	Pavan Cheruvu

	Title:
	Principal Executive Officer

	
		
	AXOVANT HOLDINGS LIMITED

	 
	 

	Signature:
	/s/ Sunil Masson

	Print Name:
	Sunil Masson

	Title:
	Director

	
		
	AXOVANT SCIENCES GMBH

	 
	 

	Signature:
	/s/ Pavan Cheruvu

	Print Name:
	Pavan Cheruvu

	Title:
	Director

	
		
	AXOVANT SCIENCES AMERICA, INC.

	 
	 

	Signature:
	/s/ Pavan Cheruvu

	Print Name:
	Pavan Cheruvu

	Title:
	President

Signature Page to Third Amendment to Loan and Security Agreement (Hercules/Axovant)

7

	
		
	AXOVANT TREASURY, INC.

	 
	 

	Signature:
	/s/ Pavan Cheruvu

	Print Name:
	Pavan Cheruvu

	Title:
	President

	
		
	AXOVANT TREASURY HOLDINGS, INC.

	 
	 

	Signature:
	/s/ Pavan Cheruvu

	Print Name:
	Pavan Cheruvu

	Title:
	President

	
		
	GUARANTOR:

	 
	 

	AXOVANT SCIENCES, INC.

	 
	 

	Signature:
	/s/ Pavan Cheruvu

	Print Name:
	Pavan Cheruvu

	Title:
	President

Signature Page to Third Amendment to Loan and Security Agreement (Hercules/Axovant)

8

	
		
	AGENT:

	 
	 

	HERCULES CAPITAL, INC.

	 
	 

	By:
	/s/ Zhuo Huang

	Name:
	Zhuo Huang

	Title:
	Associate General Counsel

	
		
	LENDER:

	 
	 

	HERCULES CAPITAL, INC.

	 
	 

	By:
	/s/ Zhuo Huang

	Name:
	Zhuo Huang

	Title:
	Associate General Counsel

	
		
	HERCULES CAPITAL FUNDING TRUST 2018-1

	 
	 

	By:
	Hercules Capital, Inc., as Servicer

	 
	 

	By:
	/s/ Zhuo Huang

	Name:
	Zhuo Huang

	Title:
	Associate General Counsel

	
		
	HERCULES CAPITAL FUNDING TRUST 2019-1

	 
	 

	By:
	Hercules Capital, Inc., as Servicer

	 
	 

	By:
	/s/ Zhuo Huang

	Name:
	Zhuo Huang

	Title:
	Associate General Counsel

Signature Page to Third Amendment to Loan and Security Agreement (Hercules/Axovant)

9

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