Document:

Exhibit

SECOND AMENDMENT TO
AMENDED AND RESTATED
EXCLUSIVE LICENSE AGREEMENT

by and between

BIOCLASSIFIER, LLC

and

NANOSTRING TECHNOLOGIES, INC.

THIS SECOND AMENDMENT TO AMENDED AND RESTATED EXCLUSIVE LICENSE AGREEMENT (this “Amendment”) is entered into and effective as of June 24, 2016 (the “Amendment Date”), by and between Bioclassifier, LLC, a Missouri limited liability company having an address at 226 Spencer Road, Saint Louis, MO, 63119 (“Bioclassifier”) and NanoString Technologies, Inc., a Delaware corporation having an address at 530 Fairview Avenue North, Seattle, WA 98109 (“NanoString”). 
WHEREAS, Bioclassifier and NanoString are parties to that certain Amended and Restated Exclusive License Agreement dated July 7, 2010 (the “Original Agreement”) as amended on March 31, 2015; and
WHEREAS, Bioclassifier and NanoString now wish to amend certain provisions of the Original Agreement, in each case, as specifically set forth in this Amendment;
NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants contained herein, Bioclassifier and NanoString agree as follows:
		
	1.
	Capitalized terms used but not otherwise defined in this Amendment shall have the meanings provided in the Original Agreement.

		
	2.
	A new row number 6 shall be added to Exhibit A and shall read as follows: 

	
				
	“6.
	USSN 61/875,373 filed Sept. 9, 2013
	METHODS OF
PREDICTING
OUTCOME
AND
METHODS
OF
TREATING
BREAST
CANCER
WITH
RADIATION
THERAPY
	CHEANG,
Maggie Chon U.,
ELLIS,
Matthew J.
PEROU,
Charles M. 
BERNARD,
Philip S. 
NIELSEN,
Torsten O.”

	 
	USSN 61/990,948, filed May 9, 2014

	 
	USSN 14/480,942 filed Sept. 9, 2014

	 
	PCT/US2014/054760 filed Sept. 9, 2014

	 
	 

	
		
	 
	and the following nationalized applications:

	 
	 

	 
	AU 2014317843

	 
	CA 2923166

	 
	EP 14781977.5

	 
	IL 244421

	 
	JP (App. No. TBD)

		
	3.
	Except as specifically amended by this Amendment, the Original Agreement shall remain in full force and effect in accordance with its terms.  The terms of this Amendment shall form an integral part of the Original Agreement.

		
	4.
	This Amendment may be executed in one or more counterparts, and by the parties hereto in separate counterparts, each of which when executed shall be deemed to be an original and all of which, together with this writing, shall be deemed one and the same instrument.  This Amendment may be executed by facsimile or PDF signatures, which signatures shall have the same force and effect as original signatures.

		
	5.
	This Amendment, and all disputes and claims arising under this Amendment, will be interpreted and governed by the laws of the State of New York, without regard to its conflict of laws principles, and the parties hereby consent to venue and to the exercise of personal jurisdiction of a court, federal or state, within the State of New York.

IN WITNESS WHEREOF, the parties hereto have duly executed this Amendment as of the Amendment Date.
	
		
	NANOSTRING TECHNOLOGIES, INC.
	BIOCLASSIFIER, LLC

	 
	 

	By: /s/ Kathy Surace-Smith
	By: /s/ Matthew Ellis

	(signature)
	(signature)

	 
	 

	Name: Kathy Surace-Smith
	Name: Matthew Ellis

	(printed name)
	(printed name)

	 
	 

	Title:  Vice President & General Counsel
	Title:  CEO

	 
	 

	Date:  August 1, 2016
	Date:  August 1, 2016

	 
	[NOTARY SEAL]

	 
	/s/ Candyce Cummings

	 
	Notary Public, State of Texas

	 
	My Commission Expires August 04, 2018Exhibit 10.1

 

EXECUTION COPY

 

SECOND AMENDMENT

TO SENIOR SECURED REVOLVING CREDIT AGREEMENT

 

THIS SECOND AMENDMENT TO
SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of May 31, 2016 (this “Amendment”), to the Existing Credit
Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I)
is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party
hereto and SUNTRUST BANK, as Administrative Agent.

 

WITNESSETH:

 

WHEREAS, the Borrower,
the Lenders and the Administrative Agent are parties to the Senior Secured Revolving Credit Agreement, dated as of November 13,
2012 (the “Existing Credit Agreement”; as amended by this Amendment and that certain First Amendment to Senior
Secured Revolving Credit Agreement dated as of November 21, 2014 and as the same may be further amended, supplemented, amended
and restated or otherwise modified from time to time, the “Credit Agreement”); and

 

WHEREAS, the Borrower has
requested that the Lenders agree to amend the Existing Credit Agreement, and the Lenders are willing, on the terms and subject
to the conditions hereinafter set forth, to agree to the amendment set forth below and the other terms hereof;

 

NOW, THEREFORE, the parties
hereto hereby covenant and agree as follows:

 

ARTICLE
I

 

DEFINITIONS

 

SECTION
1.1. Certain Definitions. The following terms when used in this Amendment shall have the following meanings (such
meanings to be equally applicable to the singular and plural forms thereof):

 

“Amendment” is defined in the preamble.

 

“Borrower” is defined
in the preamble.

 

“Credit Agreement” is defined in the
first recital.

 

“Existing Credit Agreement” is defined
in the first recital.

 

“Second Amendment Effective Date” is
defined in Article III.

 

SECTION
1.2. Other Definitions. Capitalized terms for which meanings are provided in the Existing Credit Agreement are, unless
otherwise defined herein or the context otherwise requires, used in this Amendment with such meanings.

 

     

     

    

  

ARTICLE
II

 

AMENDMENT
TO EXISTING CREDIT AGREEMENT

 

Subject to the occurrence
of the Second Amendment Effective Date (as hereinafter defined), the Existing Credit Agreement is amended in accordance with this
Article II.

 

Clause (d) of Section 4.02
of the Existing Credit Agreement is hereby amended and restated to read as follows:

 

“(d)until the
borrower shall have cumulatively raised at least $250,000,000 in gross proceeds from the sale of equity securities in one or more
offerings (including rollover equity, preferred stock or convertible notes), the borrower shall not be permitted to increase the
Revolving Credit Exposure unless, after giving effect to such increase, the Asset Coverage Ratio would equal or exceed (x) for
the period commencing on May 31, 2016 and ending on July 31, 2016, 2.20 to 1 and (y) on and after August 1, 2016, 2.25 to 1.”.

 

ARTICLE
III

 

CONDITIONS TO EFFECTIVENESS

 

SECTION
3.1. Effective Date. This Amendment shall become effective on the date (the “Second Amendment Effective
Date”) when the Administrative Agent shall have received counterparts of this Amendment duly executed and delivered on
behalf of the Borrower and each of the Lenders party hereto.

 

ARTICLE
IV

 

MISCELLANEOUS

 

SECTION
4.1. Representations. The Borrower hereby represents and warrants that (i) this Amendment constitutes a legal, valid
and binding obligation of it, enforceable against it in accordance with its terms, (ii) upon the effectiveness of this Amendment,
no Event of Default shall exist and (iii) its representations and warranties as set forth in the Loan Documents, as applicable,
are true and correct in all material respects (except those representations and warranties qualified by materiality or by reference
to a material adverse effect, which are true and correct in all respects) on and as of the date hereof as though made on and as
of the date hereof (unless such representations and warranties specifically refer to a previous day, in which case, they shall
be complete and correct in all material respects (or, with respect to such representations or warranties qualified by materiality
or by reference to a material adverse effect, complete and correct in all respects) on and as of such previous day).

 

SECTION
4.2. Cross-References. References in this Amendment to any Article or Section are, unless otherwise specified, to
such Article or Section of this Amendment.

 

     

     

    

  

SECTION
4.3. Loan Document Pursuant to Existing Credit Agreement. This Amendment is a Loan Document executed pursuant to
the Existing Credit Agreement and shall (unless otherwise expressly indicated therein) be construed, administered and applied in
accordance with all of the terms and provisions of the Existing Credit Agreement, as amended hereby, including Article IX
thereof.

 

SECTION
4.4. Successors and Assigns. The provisions of this Amendment shall be binding upon and inure to the benefit of the
parties hereto and their respective successors and assigns.

 

SECTION
4.5. Counterparts. This Amendment may be executed in counterparts (and by different parties hereto on different counterparts),
each of which shall constitute an original, but all of which when taken together shall constitute a single contract. Delivery of
an executed counterpart of a signature page of this Amendment by telecopy electronically (e.g. pdf) shall be effective as delivery
of a manually executed counterpart of this Amendment.

 

SECTION
4.6. Governing Law. This Amendment shall be governed by and construed in accordance with the laws of the State of
New York.

 

SECTION
4.7. Full Force and Effect; Limited Amendment. Except as expressly amended hereby, all of the representations,
warranties, terms, covenants, conditions and other provisions of the Existing Credit Agreement and the other Loan Documents shall
remain unchanged and shall continue to be, and shall remain, in full force and effect in accordance with their respective terms.
The amendment set forth herein shall be limited precisely as provided for herein to the provisions expressly amended and shall
not be deemed to be an amendment to, consent to or modification of any other terms or provisions of the Existing Credit Agreement
or any other Loan Document or of any transaction or further or future action on the part of the Borrower which would require the
consent of the Lenders under the Existing Credit Agreement or any of the Loan Documents. Upon and after the execution of this Amendment
by each of the parties hereto, each reference in the Existing Credit Agreement to “this Agreement”, “hereunder”,
“hereof” or words of like import referring to the Existing Credit Agreement, and each reference in the other Loan Documents
to “the Credit Agreement”, “thereunder”, “thereof” or words of like import referring to the
Existing Credit Agreement, shall mean and be a reference to the Existing Credit Agreement as modified hereby.

  

     

     

    

 

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

 

	BORROWER:	STELLUS CAPITAL INVESTMENT CORPORATION
	 	 	 
	 	By:	/s/ W. Todd Huskinson
	 	Name:	W. Todd Huskinson
	 	Title:	Chief Financial Officer

 

SIGNATURE
PAGE TO SECOND AMENDMENT – STELLUS

 

     

     

    

 

	LENDERS:	SUNTRUST BANK
	 	as Administrative Agent, Swingline Lender, Issuing Bank and as a Lender
	 	 	 
	 	By:	/s/ Doug Kennedy
	 	Name:	Doug Kennedy
	 	Title:	Director

 

SIGNATURE
PAGE TO SECOND AMENDMENT – STELLUS

  

     

     

    
  

	 	ZB, N.A. dba AMEGY BANK, N.A., as a Lender
	 	 	 
	 	By:	/s/ Kelly Nash
	 	Name:	Kelly Nash
	 	Title:	Vice President

 

SIGNATURE
PAGE TO SECOND AMENDMENT – STELLUS

 

     

     

    

 

	 	CADENCE BANK, N.A., as a Lender
	 	 	 
	 	By: 	/s/ Phillip Bannon
	 	Name:	Phillip Bannon
	 	Title:	Vice President

 

SIGNATURE
PAGE TO SECOND AMENDMENT – STELLUS

 

     

     

    

  

	 	FROST BANK, as a Lender
	 	 	 
	 	By:	/s/ Jake Fitzpatrick
	 	Name:	Jake Fitzpatrick
	 	Title:	Assistant Vice President

 

SIGNATURE
PAGE TO SECOND AMENDMENT – STELLUS

 

     

     

    

 

	 	STIFEL BANK AND TRUST, as a Lender
	 	 	 
	 	By:	/s/ Joseph L. Sooter, Jr.
	 	Name:	 Joseph L. Sooter, Jr.
	 	Title:	Senior Vice President

 

SIGNATURE
PAGE TO SECOND AMENDMENT – STELLUS

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