Document:

EX-4.1

 Exhibit 4.1 

AMENDMENT NO. 1 TO WARRANT 

THIS AMENDMENT NO. 1 TO WARRANT (this “Amendment”) is entered into as of March 31, 2016 by and between Identiv,
Inc. (f/k/a Identive Group, Inc.), a Delaware corporation (the “Company”), and Opus Bank, a California commercial bank (together with each of its successors and assigns, the “Warrantholder”). 

WHEREAS, on March 31, 2014, the Company issued to the Warrantholder a warrant (the “Warrant”) to purchase the
Company’s common stock at an exercise price of $0.99 per share; 
 WHEREAS, as a result of a 1:10 reverse stock split in May
2014, the Warrant became exercisable for 100,000 shares of common stock at an exercise price of $9.90 per share; and 
 WHEREAS, in
connection with entering into a Third Amendment to Credit Agreement and Waiver on or about the date hereof, the Warrantholder and the Company desire to amend the Warrant as set forth in this Amendment. 

NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as
follows: 
 1. Amendments to Warrant. 
  

	 	a.	The first sentence of Section 1 of the Warrant is hereby amended and restated in its entirety to read as follows: 

“For value received, the Company hereby grants to the Warrantholder, and the Warrantholder is entitled, upon the terms and subject to the
conditions hereinafter set forth, to subscribe for and purchase, from the Company up to 200,000 fully paid and non-assessable shares (giving effect to the Company’s 1:10 reverse stock split in May 2014) of the Common stock (as defined
below).” 
  

	 	b.	The definition of “Exercise Price” in Section 1 of the Warrant is hereby amended and restated in its entirety to read as follows: 

““Exercise Price” means $2.19 per share, subject to adjustment pursuant to Section 8.” 

2. Confirmation. Except as expressly modified by the terms and provisions of this Amendment, all of the terms and provisions of
the Warrant are unchanged and continue in full force and effect and all rights, remedies, liabilities and obligations evidenced by the Warrant are hereby acknowledged by the Company and the Warrantholder to be valid and in full force and effect.

 3. Counterparts. This Amendment may be executed in any number of counterparts, by facsimile if necessary, each of which shall
be an original, but all of which together shall constitute one instrument. 

 4. Governing Law. This Amendment 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. 

[remainder of page intentionally left blank] 

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed and
delivered as of the date first above written. 
  

			
	IDENTIV, INC.
		
	By:	 	 /s/ Steven Humphreys

	Name:	 	Steven Humphreys
	Title:	 	CEO
	
	OPUS BANK
		
	By:	 	 /s/ Kevin McBride

	Name:	 	Kevin McBride
	Title:	 	SENIOR MANAGING DIRECTOREX-4.2

 Exhibit 4.2 

AMENDMENT NO. 1 TO REGISTRATION RIGHTS AGREEMENT 

THIS AMENDMENT NO. 1 TO REGISTRATION RIGHTS AGREEMENT (this “Amendment”) is entered into as of March 31, 2016
by and between Identiv, Inc. (f/k/a Identive Group, Inc.), a Delaware corporation (the “Company”), and Opus Bank, a California commercial bank (“Bank”). Capitalized but otherwise undefined terms herein have the
meanings given to them in the Rights Agreement (as defined below). 
 WHEREAS, the Company and Bank are party to that certain
Registration Rights Agreement, dated March 31, 2014 (the “Rights Agreement”) governing the Company’s obligations to register certain of its shares of Common Stock issued or issuable to Bank; and 

WHEREAS, in connection with entering into a Third Amendment to Credit Agreement and Waiver on or about the date hereof, Bank and the
Company desire to amend the Rights Agreement as set forth in this Amendment. 
 NOW, THEREFORE, for good and valuable consideration,
the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows: 
 1. Amendments to Rights Agreement.

  

	 	a.	Section 1.3 of the Rights Agreement is hereby amended and restated in its entirety to read as follows: 

“1.3 “Registrable Securities” means any and all shares of the Common Stock issued or issuable upon exercise of the Warrant and
the New Warrants (each as defined in that certain Third Amendment to Credit Agreement and Waiver between Bank and the Company dated as of March 30, 2016); provided, however, that the foregoing shall cease to be Registrable Securities once
registration rights, with respect to such shares, have terminated pursuant to Section 2.8 or to the extent transferred by Bank.” 
  

	 	b.	Section 2.2 of the Rights Agreement is hereby amended and restated in its entirety to read as follows: 

“2.2 Demand Registration. The Company shall effect a registration on Form S-3 or a successor form and any related qualification or
compliance with respect to all of the Registrable Securities within forty-five (45) days after receipt of a written request therefor by Bank following such time as the Company is eligible to effect a registration on Form S-3 or a successor
form.” 
 2. Confirmation. Except as expressly modified by the terms and provisions of this Amendment, all of the terms and
provisions of the Rights Agreement are unchanged and continue in full force and effect and all rights, remedies, liabilities and obligations evidenced by the Rights Agreement are hereby acknowledged by the Company and Bank to be valid and in full
force and effect. 

 3. Counterparts. This Amendment may be executed in any number of counterparts, by
facsimile if necessary, each of which shall be an original, but all of which together shall constitute one instrument. 
 4. Governing
Law. This Amendment 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. 

[remainder of page intentionally left blank] 

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed and
delivered as of the date first above written. 
  

			
	IDENTIV, INC.
		
	By:	 	 /s/ Steven Humphreys

	Name:	 	Steven Humphreys
	Title:	 	CEO
	
	OPUS BANK
		
	By:	 	 /s/ Kevin McBride

	Name:	 	Kevin McBride
	Title:	 	SENIOR MANAGING DIRECTOREX-10.1

 Exhibit 10.1 

EXECUTION 
  

 
 THIRD
AMENDMENT TO CREDIT AGREEMENT AND WAIVER 
 dated
as of March 31, 2016 
 Among 

IDENTIV, INC., 

as the Borrower, 

IDONDEMAND, INC., 

as the Guarantor 
 and 

OPUS BANK 

as Lender 
  

 
  

Re Credit Agreement dated as of March 31, 2014 
  

 
  

 THIRD AMENDMENT TO CREDIT
AGREEMENT AND WAIVER 
 THIS THIRD AMENDMENT
TO CREDIT AGREEMENT AND WAIVER dated as of March 31, 
 2016 (this
“Amendment”) is by and among (a) IDENTIV, INC., a Delaware corporation formerly known as Identive Group, Inc. (the “Borrower”), (b)
IDONDEMAND, INC., a Delaware corporation (the “Guarantor”), and (c) OPUS BANK, a California
commercial bank, as Lender (“Lender”). All capitalized terms used herein without definition shall have the same meanings herein as such terms are defined in the below defined Loan Agreement. 

WITNESSETH: 

WHEREAS, Borrower and Lender entered into that certain Credit Agreement dated as of March 31, 2014 (as amended, the
“Loan Agreement”). 
 WHEREAS, the parties hereto wish to (a) decrease the Revolving Loan Commitment, (b)
add new covenants as set forth below, (c) waive Borrower’s compliance with Section 7.11(c) (Minimum Asset Coverage Ratio) for the fiscal months ended January 31, 2016 and February 29, 2016, (d) waive Borrower’s compliance with Section
6.02(a) (Compliance Certificate) for the fiscal months ended January 31, 2016 and February 29, 2016, (e) amend said Section 7.11(c) (Minimum Asset Coverage Ratio), and (f) provide for additional Warrants and certain amendments to the existing
Warrants. 
 NOW, THEREFORE, in consideration of the mutual covenants and agreements herein contained, the
parties hereto agree as follows: 
 Section 1. Amendment. From and after the Amendment Effective Date the Loan Agreement is hereby
amended as follows: 
 (a) Section 1.01 of the Loan Agreement is hereby amended by deleting the definition of
“Revolving Loan Commitment” in its entirety and inserting the following in lieu thereof: 

““Revolving Loan Commitment” means the commitment of the Lender to make Revolving Loans in an aggregate
outstanding amount not to exceed $10,000,000, as such amount may be reduced from time to time pursuant to Section 2.05.” 

(b) Section 6.01(c) of the Loan Agreement is hereby amended by deleting the same in its entirety and inserting the following in
lieu thereof: 
 “(c) as soon as available, but in any event within 20 days after the end of each calendar month, a
monthly Asset Coverage Ratio Report (as required by Section 7.11(c)), a monthly cash report (as required by Section 7.11(e)), monthly accounts receivable and payable reports with agings and monthly inventory and equipment report, all in reasonable
detail; and” 

 (c) 7.11 of the Loan Agreement is hereby amended by deleting the same in its
entirety and inserting the following in lieu thereof: 
 “7.11 Financial Covenants. 

(a) Tangible Net Worth. Permit the sum of the Consolidated Tangible Net Worth plus the amount shown on the
Borrower’s current balance sheet for the 1994 Settlement Agreement to be less than the sum of $8,000,000 plus, an amount equal to 50% of the amount of any Cash proceeds from any equity or Subordinated Debt issued by the Borrower after
December 1, 2015 as of the end of any fiscal quarter of the Borrower measured quarterly beginning at the end of the fiscal quarter ending December 31, 2015. 

(b) Maximum Senior Leverage Ratio. Permit the Senior Leverage Ratio to be greater than 2.50 to 1.00 at all times
beginning at the end of the fiscal quarter ending March 31, 2017. 
 (c) Minimum Asset Coverage Ratio. Permit
the Asset Coverage Ratio (measured monthly beginning at the end of the first full month after the Amendment Effective Date) to be less than: (i) 0.70 to 1.00 at all times from the Amendment Effective Date through and including the fiscal month
ending August 31, 2016; (ii) 0.80 to 1.00 at all times beginning at the end of the fiscal month ending August 31, 2016 through and including the fiscal month ending November 30, 2016; and (iii) 1.00 to 1.00 at all times after the fiscal month
ending November 30, 2016. 
 (d) Minimum EBITDA. Permit Consolidated EBITDA: (i) for the fiscal quarter
ending on September 30, 2016, to be less than $500,000; (ii) for the fiscal quarter ending on December 31, 2016, to be less than $1,250,000; and (iii) for each fiscal quarter thereafter, to be less than $1,500,000. 

(e) Minimum Cash. Permit, at all times (and reported monthly), the Designated Deposit Account to have an unrestricted
cash balance of less than $7,500,000.” 
 Section 2. Waiver. From and after the Amendment Effective Date, the Lender hereby
waives any Default or Event of Default arising under the Credit Agreement due to the failure of the Borrower to comply with the requirements of (a) Section 7.11(c) of the Credit Agreement (Minimum Asset Coverage Ratio) with respect to the
fiscal months ending January 31, 2016 and February 29, 2016, and (b) Section 6.02(a) of the Credit Agreement with respect to the fiscal months ending January 31, 2016 and February 29, 2016. 

Section 3. Additional Agreements. (a) Existing Warrants. On the date hereof, Borrower agrees that it will deliver to Lender
an amendment to the Warrants that (i) increases the number of shares of Common Stock covered thereby to 200,000 (the “Additional Warrants”), and (ii) revises the Exercise Price to the average closing price of Borrower’s common
stock for the five (5) trading days ending on the Amendment Effective Date. 

 (b) New Warrants. Borrower agrees that it will deliver to Lender (effective upon the date
of Lender’s written request) a common stock purchase warrant or warrants (the “New Warrants”) identical in all respects to the Warrants (other than the number of shares exercisable and the exercise price), initially exercisable
for 100,000 of the same class of shares of common stock as the Warrants delivered to Lender on the Closing Date, duly executed and delivered by an authorized officer of the Borrower, on each of the following dates in the event that the outstanding
principal amount of each Loan exceeds the amount corresponding to such date: 
  

					
	Quarter Ending	  	 Outstanding Principal Balance

Of Loans
	 
		
	 September 30, 2016
	  	$	15,000,000	  
		
	 December 31, 2016
	  	$	10,000,000	  
		
	 March 31, 2017
	  	$	5,000,000	  

 The exercise price of such New Warrants, if issued, shall be the average closing price of Borrower’s common stock for the
five (5) trading days ending on the last trading date of the quarter with respect to which such New Warrants are issued. 
 (c) Amendment
to Registration Rights Agreement. On the date hereof, Borrower agrees that it will deliver to Lender an amendment to the Registration Rights Agreement dated as of March 31, 2014 (the “RRA”) satisfactory in form and
substance to Lender which amendment will cause the Additional Warrants and the New Warrants to be “Registrable Securities” under the RRA, which will provide that upon Lender’s request, Borrower shall promptly register such Warrants
for re-sale at such time as it is eligible to do so on Form S-3 or any successor form of registration statement. 
 Section 4.
Representations and Warranties. The Guarantor and the Borrower each hereby represents and warrants to Lender as follows:  

(a) After giving effect to this Amendment, no Default or Event of Default has occurred and is continuing (or would result from
the amendment of the Loan Documents contemplated hereby). 
 (b) The execution, delivery and performance by the Guarantor and
the Borrower of this Amendment has been duly authorized by all necessary corporate and other action and do not and will not require any registration with, consent or approval of, or notice to or action by, any Person (including any Governmental
Authority) in order to be effective and enforceable. 
 (c) This Amendment and each of the other Loan Documents (as amended
by this Amendment) constitute the legal, valid and binding respective obligations of the Guarantor and the Borrower, enforceable against it in accordance with their respective terms. 

 (d) All representations and warranties of the Guarantor and the Borrower in the
Loan Documents (each as amended by this Amendment) are true and correct in all material respects as of the date hereof (except to the extent such representations and warranties expressly refer to an earlier date, in which case they shall be true and
correct in all material respects as of such earlier date). 
 (e) Each of the Guarantor and the Borrower is entering into
this Amendment on the basis of its own investigation and for its own reasons, without reliance upon Lender or any other Person. 

(f) Each of the Guarantor and the Borrower’s respective obligations under the Loan Agreement, each Guaranty and under the
other Loan Documents, as applicable, are not subject to any defense, counterclaim, set-off, right of recoupment, abatement or other claim. 

Section 5. Continuing Effectiveness; Ratification of Loan Documents. As herein amended, each of the Loan Documents (including, without
limitation, each Guaranty) shall remain in full force and effect and each of the agreements, guarantees and obligations contained therein (as amended hereby) is hereby ratified and confirmed in all respects. 

Section 6. Counterparts. This Amendment may be executed in any number of counterparts and by the different parties on separate
counterparts, and each such counterpart shall be deemed to be an original but all such counterparts shall together constitute one and the same Amendment. 

Section 7. Governing Law. THIS AMENDMENT SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAW OF THE STATE OF CALIFORNIA
APPLICABLE TO AGREEMENTS MADE AND TO BE PERFORMED ENTIRELY WITHIN SUCH STATE; PROVIDED THAT LENDER SHALL RETAIN ALL RIGHTS ARISING UNDER FEDERAL LAW. 

Section 8. Successors and Assigns. This Amendment shall be binding upon the parties hereto and their respective successors and assigns,
and shall inure to the benefit of the parties hereto, and their respective successors and assigns. 
 Section 9.
Effectiveness. The agreements set forth herein shall become effective on the date (the “Amendment Effective Date”) when the Lender shall have (a) executed this Amendment, (b) received counterparts of this Amendment executed
by Borrower and the Guarantor, and (c) payment of all reasonable fees and expenses of Lender as required by Section 9.03 of the Loan Agreement. 

 Section 10. Entire Agreement. This Amendment constitutes the entire agreement
and supersedes all prior agreements and understandings, both written and oral, among the parties with respect to the subject matter hereof. 

[signature pages follow] 

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed and
delivered by their duly authorized officers as of the date first set forth above. 
  

					
	IDENTIV, INC., a Delaware corporation, as the Borrower
		
	By:	 	 /s/ Steven Humphreys

		 	Name:	 	Steven Humphreys
		 	Its:	 	Chief Executive Officer
	
	IDONDEMAND, INC., a Delaware corporation, as a Guarantor
		
	By:	 	 /s/ Steven Humphreys

	Name:	 	 Steven Humphreys

	Title:	 	 CEO, Identiv Inc. for IDOnDemand, Inc.

	
	OPUS BANK, as Lender
		
	By:	 	 /s/ Kevin McBride

		 	Kevin McBride
		 	Senior Managing Director

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