AMENDMENT NO. 1 TO REGISTRATION RIGHTS AGREEMENT

EX-10.1 2 q32014exhibit101.htm EXHIBIT 10.1 Q3 2014 Exhibit 10.1


Exhibit 10.1
AMENDMENT NO. 1
TO
REGISTRATION RIGHTS AGREEMENT
This AMENDMENT NO. 1 TO REGISTRATION RIGHTS AGREEMENT (this “Amendment”) is made and entered into as of July 8, 2014 among Noodles & Company, a Delaware corporation (the “Company”), Catterton-Noodles, LLC, a Delaware limited liability company (“Catterton-Noodles”), Argentia Private Investments Inc., a Canadian corporation (“Argentia”), and the other stockholders of the Company named on the signature pages hereto (the “Rollover Holders”).
RECITALS
WHEREAS, the parties hereto are parties to that certain REGISTRATION RIGHTS AGREEMENT (the “Agreement”) made and entered into as of December 27, 2010 by and among the Company, Catterton-Noodles, Argentia and the Rollover Holders;
WHEREAS, the Company desires to amend the terms of the Agreement as set forth in greater detail below (such amendment, the “Proposed Amendment”); and
WHEREAS, Section 4.1(a) of the Registration Rights Agreement provides that the Proposed Amendments require the approval of the Company together with a majority in interest of the Holders and a majority in interest of the Non-Investor Holders (as such terms are defined by the Agreement).
AGREEMENT
NOW, THEREFORE, the parties hereto agree hereby as follows:
1.    Definitions. Capitalized terms used herein and not defined herein have the meanings ascribed thereto in the Agreement.
2.    Amendments.
(a)    The Definition of “Holder” or “Holders” within Section 1.1 of the Agreement is amended and restated in its entirety as follows:
“‘Holder’ or ‘Holders’ means Catterton-Noodles, Argentia and any of their transferees who or that shall acquire and hold Registrable Securities in accordance with the terms of this Agreement, and any Rollover Holder who (i) holds Registrable Securities in accordance with the terms of this Agreement and (ii) is a member of the Company’s





Board of Directors or is an Executive Officer of the Company, as such term is defined by Rule 3b-7 promulgated pursuant to the Securities Exchange Act of 1934, as amended.”
3.    Effectiveness. This Amendment shall become effective as of the date first above written (the “Amendment Effective Date”).
4.    Reference to and Effect on the Registration Rights Agreement.
(a)    On and after the Amendment Effective Date, each reference in the Registration Rights Agreement to “this Agreement”, “hereunder”, “hereof” or words of like import referring to the Registration Rights Agreement shall mean and be a reference to the Registration Rights Agreement as amended by this Amendment.
(b)    Except to the extent certain provisions of the Registration Rights Agreement are amended as specified herein, the Registration Rights Agreement is and shall continue to be in full force and effect and is hereby in all respects ratified and confirmed.
5.    Counterparts. This Amendment may be executed by one or more of the parties hereto on any number of separate counterparts, and all of said counterparts taken together shall be deemed to constitute one and the same instrument. Delivery of an executed signature page of this Amendment by facsimile or electronic transmission shall be effective as delivery of a manually executed counterpart hereof.
6.    Governing Law. This Amendment and all disputes or controversies arising out of or relating to this Amendment or the transactions contemplated hereby shall be governed by, and construed in accordance with, the internal laws of the State of New York, without regard to the laws of any other jurisdiction that might be applied because of the conflicts of laws principles of the State of New York.
[Signature page follows]



2



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

 
NOODLES & COMPANY

By: /s/ Paul Strasen         
Name: Paul Strasen
Title: Executive Vice President, General Counsel & Secretary

 
CATTERTON-NOODLES, LLC
By: CP6 management, L.L.C.
Its: Manager

By: /s/ J. Michael Chu         
Name: J. Michael Chu
Title: Authorized Person

 
ARGENTIA PRIVATE INVESTMENTS INC

By: /s/ Derek Murphy         
Name: Derek Murphy
Title: Vice President

By: /s/ Jim Pittman         
Name: Jim Pittman
Title: Vice President



[Amendment No. 1 to Registration Rights Agreement]




STOCKHOLDERS
 
Jason & Elizabeth R. Albright
Name
/s/ Jason & Elizabeth R. Albright
Signature

Nicolas Assouad
Name
/s/ Nicolas Assouad
Signature

Andrew Bonoss
Name
/s/ Andrew Bonoss
Signature


John Cervini Jr.
Name
/s/ John Cervini Jr.
Signature

Nancy Cervini
Name
/s/ Nancy Cervini
Signature

Davco Management, LLC
Name
/s/ E. D. David
Signature
Title: President of LLC Mgr Ltd., Manager

John P. Doley Roth IRA
Name
/s/ John P. Doley
Signature

David R. Duncan
Name
/s/ David R. Duncan
Signature

Liz S. Doley
Name
/s/ Liz S. Doley
Signature

Michael J. Duncan
Name
/s/ Michael J. Duncan
Signature

Raymond T. Duncan Revocable Trust
Name
/s/ Raymond T. Duncan
Signature

John P. Doley
Name
/s/ John P. Doley
Signature

Paul A. Dresser, Jr.
Name
/s/ Paul A. Dresser, Jr., TTEE
Signature

Karynne O. Duncan
Name
/s/ Karynne O. Duncan
Signature



[Amendment No. 1 to Registration Rights Agreement]



E. D. David Revocable Trust
Name
/s/ E. D. David, Trustee
Signature

Michael L. Finnin
Name
/s/ Michael L. Finnin
Signature




Carrie Hart
Name
/s/ Carrie Hart
Signature

Estate of W. Scott Hedrick
Name
/s/ Thomas F. Hyde, Executor
Signature


Martin H. Herzog
Name
/s/ Martin H. Herzog
Signature

Larry D. Jacobson and Pamela J. Jacobson, Trustees, Larry and Pamela Jacobson Joint Revocable Trust U/A/D 8/05/2013      
Name
/s/ Larry D. Jacobson / Pamela J. Jacobson
Signature (LDJ) (PJJ)


BMO Harris Bank, Custodian, 
Pamela J. Jacobson IRA
         
Name
/s/ Chris Jauch / Pamela J. Jacobson
Signature

BMO Harris Bank, Custodian, 
Larry D. Jacobson SEP IRA
         
Name
/s/ Chris Jauch / Larry D. Jacobson
Signature


Dwight Kasperbauer 
Pamela Kasperbauer            
Name
/s/ Dwight Kasperbauer, Pamela Kasperbauer
Signature

Aaron S. Kennedy
Name

/s/ Aaron S. Kennedy
Signature

Stewart M. Kume
Name
/s/ Stewart M. Kume
Signature

Mark Larter, Tina Gini Larter
Name
/s/ Mark Larter, Tina Gini Larter
Signature



[Amendment No. 1 to Registration Rights Agreement]



Elizabeth McLaughlin
Name
/s/ Elizabeth McLaughlin
Signature

Karen Merriam
Name
/s/ Karen Merriam
Signature


Tim Mosbacher
Name
/s/ Tim Mosbacher
Signature

Mary L. Orlando
Name
/s/ Mary L. Orlando
Signature

Marcie Pregulman
Name
/s/ Marcie Pregulman
Signature

James T. Rand
Name
/s/ James T. Rand
Signature





Paul L. Richards
Name
/s/ Paul L. Richards
Signature

Donald E. Rocop
Name
/s/ Donald E. Rocop
Signature


Edgar B. Roesch, Jr. IRA
Name
/s/ Edgar B. Roesch, Jr.
Signature

Steve Sanders, Cheryl Sanders
Name
/s/ Steve Sanders, Cheryl Sanders
Signature


Scott & Lauri Sax
Name
/s/ Scott & Lauri Sax
Signature

Faye F. Shealy
Name
/s/ Faye F. Shealy
Signature




[Amendment No. 1 to Registration Rights Agreement]



Lee G. Weldone
Name
/s/ Lee G. Weldone TTEE
Signature

Keith Kinsey
Name
/s/ Keith Kinsey
Signature



[Amendment No. 1 to Registration Rights Agreement]