WAIVER AND AMENDMENT NO. 1 TO THE AMENDED AND RESTATED INVESTORSRIGHTS AGREEMENT, THE AMENDED AND RESTATED VOTING AGREEMENT AND THE AMENDED AND RESTATED FIRST REFUSAL AND CO-SALE AGREEMENT
Exhibit 4.4
WAIVER AND AMENDMENT NO. 1 TO
THE AMENDED AND RESTATED INVESTORS RIGHTS AGREEMENT,
THE AMENDED AND RESTATED VOTING AGREEMENT AND
THE AMENDED AND RESTATED FIRST REFUSAL AND CO-SALE AGREEMENT
THIS WAIVER AND AMENDMENT NO. 1 TO THE AMENDED AND RESTATED INVESTORS RIGHTS AGREEMENT, THE AMENDED AND RESTATED VOTING AGREEMENT AND THE AMENDED AND RESTATED FIRST REFUSAL AND CO-SALE AGREEMENT (the Amendment) is made as of November 12, 2010, by and among RPX Corporation, a Delaware corporation (the Company) and the undersigned holders of the Companys capital stock (the Stockholders).
RECITALS
WHEREAS, the Company and the Stockholders are parties to that certain Amended and Restated Investors Rights Agreement, that certain Amended and Restated Voting Agreement and that certain Amended and Restated First Refusal and Co-Sale Agreement, each dated July 15, 2009 (the Investors Rights Agreement, the Voting Agreement and the Co-Sale Agreement, respectively, and together, the Transaction Documents);
WHEREAS, pursuant to Section 3.8 of the Investors Rights Agreement, the Investors Rights Agreement may be amended only with the written consent of (i) the Company and (ii) the holders of at least fifty-five percent (55%) of the Registrable Securities (as defined in the Investors Rights Agreement);
WHEREAS, pursuant to Section 16 of the Voting Agreement, the Voting Agreement may be amended only with the written consent of (i) the Company, (ii) the holders of a majority of the then outstanding voting securities held by the Founders (as defined in the Voting Agreement) who are then providing services to the Company as an employee or consultant and (iii) the holders of at least fifty-five percent (55%) of the then outstanding voting securities held by the Investors (as defined in the Voting Agreement);
WHEREAS, pursuant to Section 10 of the Co-Sale Agreement, the Co-Sale Agreement may be amended only with the written consent of (i) the Company, (ii) the Founders (as defined in the Co-Sale Agreement) holding a majority of the Common Stock of the Company then held by the Founders who are then providing services to the Company as an employee or consultant and (iii) Investors (as defined in the Co-Sale Agreement) holding at least fifty-five percent (55%) of the Common Stock issuable or issued upon conversion of the shares of Preferred Stock;
WHEREAS, the Company is selling shares of Series C Preferred Stock to certain of the Stockholders;
WHEREAS, the Company and the Stockholders desire to amend the Transaction Documents as set forth herein to include shares of Series C Preferred Stock in the definitions of Preferred Stock; and
WHEREAS, the Stockholders represent the voting power required under each of the Transaction Documents to amend the Transaction Documents.
NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereby agree to the following:
1. Definitions. All capitalized terms used herein without definition shall have the meanings ascribed to them in the respective Transaction Documents, as applicable.
2. Amendment to the Investors Rights Agreement.
(a) Pursuant to Section 3.8 of the Investors Rights Agreement, the definition of Preferred Stock, as set forth in the recitals of the Investors Rights Agreement, is hereby amended and restated to include the following: Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock.
(b) Pursuant to Section 3.8 of the Investors Rights Agreement and upon the execution of a counterpart signature page, Schedule A of the Investors Rights Agreement is hereby amended to add SLF Partners 10, LLC as a party, such that SLF Partners 10, LLC shall be deemed an Investor under the Investors Rights Agreement, with all accompanying rights, privileges and obligations.
3. Amendments to the Voting Agreement.
(a) Pursuant to Section 16 of the Voting Agreement, the definition of Preferred Stock, as set forth in the first paragraph of the Voting Agreement, is hereby amended and restated to include the following: Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock.
(b) Pursuant to Section 16 of the Voting Agreement and upon the execution of a counterpart signature page, Schedule A of the Voting Agreement is hereby amended to add SLF Partners 10, LLC as a party, such that SLF Partners 10, LLC shall be deemed an Investor under the Voting Agreement, with all accompanying rights, privileges and obligations.
4. Amendments to the Co-Sale Agreement. Pursuant to Section 10 of the Co-Sale Agreement and upon the execution of a counterpart signature page, Exhibit A of the Co-Sale Agreement is hereby amended to add SLF Partners 10, LLC as a party, such that SLF Partners 10, LLC shall be deemed an Investor under the Co-Sale Agreement, with all accompanying rights, privileges and obligations.
5. Waiver of Right of First Offer. Each of the undersigned Stockholders who is a Major Investor (as defined in the Investors Rights Agreement) hereby irrevocably waives, on behalf of itself and all other Major Investors, the right of first offer set forth in Section 2.4 of the Investors Rights Agreement, and all related notice periods or notice rights, with respect to the issuance of Series C Preferred Stock pursuant to the Series C Preferred Stock Purchase Agreement on or about the date hereof.
2
6. Waiver of Right of First Refusal and Co-Sale. Each of the undersigned Stockholders who is an Investor (as defined in that certain Amended and Restated First Refusal and Co-Sale Agreement, dated July 15, 2009 (the Co-Sale Agreement)) hereby irrevocably waives, on behalf of itself and all other Investors, and their successors and assigns, all rights to notice, rights of first refusal and co-sale rights set forth in Sections 2 and 3 of the Co-Sale Agreement or otherwise, with respect to the repurchase of 488,433 shares of Common Stock by the Company from certain stockholders of the Company on or about the date hereof.
7. Effect of Amendment. Except as amended as set forth above, the Transaction Documents shall continue in full force and effect.
8. Counterparts. This Amendment may be signed in counterparts, each of which shall be deemed an original and all of which, taken together, shall be deemed one and the same document.
9. Governing Law. This Amendment shall be governed by and construed under the laws of the State of California as applied to agreements among California residents entered into and to be performed entirely within California.
[Remainder of Page Intentionally Left Blank]
3
IN WITNESS WHEREOF, the parties have executed this Waiver and Amendment No. 1 to the Amended and Restated Investors Rights Agreement, the Amended and Restated Voting Agreement and the Amended and Restated First Refusal and Co-Sale Agreement as of the date first above written.
RPX CORPORATION | ||||||
By: | /s/ John Amster | |||||
Name: | John A. Amster | |||||
Title: | Chief Executive Officer | |||||
Address: | One Market Plaza | |||||
Steuart Tower | ||||||
Suite 700 | ||||||
San Francisco, CA 94105 | ||||||
STOCKHOLDER | ||||||
/s/ John Amster | ||||||
JOHN A. AMSTER | ||||||
[Address] |
SIGNATURE PAGE TO THE WAIVER AND AMENDMENT NO. 1 TO
THE INVESTORS RIGHTS AGREEMENT, THE VOTING AGREEMENT
AND THE CO-SALE AGREEMENT OF RPX CORPORATION
IN WITNESS WHEREOF, the parties have executed this Waiver and Amendment No. 1 to the Amended and Restated Investors Rights Agreement, the Amended and Restated Voting Agreement and the Amended and Restated First Refusal and Co-Sale Agreement as of the date first above written.
STOCKHOLDERS: | ||||
/s/ Geoffrey T. Barker | ||||
GEOFFREY T. BARKER | ||||
[Address] | ||||
/s/ Eran Zur | ||||
ERAN ZUR | ||||
[Address] |
SIGNATURE PAGE TO THE WAIVER AND AMENDMENT NO. 1 TO
THE INVESTORS RIGHTS AGREEMENT, THE VOTING AGREEMENT
AND THE CO-SALE AGREEMENT OF RPX CORPORATION
IN WITNESS WHEREOF, the parties have executed this Waiver and Amendment No. 1 to the Amended and Restated Investors Rights Agreement, the Amended and Restated Voting Agreement and the Amended and Restated First Refusal and Co-Sale Agreement as of the date first above written.
STOCKHOLDERS: | ||||||
INDEX VENTURES GROWTH I (JERSEY), L.P | ||||||
By: its Managing General Partner: | ||||||
Index Venture Growth Associates I Limited | ||||||
By: | /s/ Ian Henderson | |||||
Ian Henderson and/or Nigel Greenwood | ||||||
Director Director | ||||||
INDEX VENTURES GROWTH I PARALLEL ENTREPRENEUR FUND (JERSEY), L.P | ||||||
By: its Managing General Partner: | ||||||
Index Venture Growth Associates I Limited | ||||||
By: | /s/ Ian Henderson | |||||
Ian Henderson and/or Nigel Greenwood | ||||||
Director Director | ||||||
Address: | Index Venture Growth Associates I Limited | |||||
No 1 Seaton Place | ||||||
St Helier | ||||||
Jersey JE4 8YJ | ||||||
Channel Islands | ||||||
Attention: Nicky Barthorp |
SIGNATURE PAGE TO THE WAIVER AND AMENDMENT NO. 1 TO
THE INVESTORS RIGHTS AGREEMENT, THE VOTING AGREEMENT
AND THE CO-SALE AGREEMENT OF RPX CORPORATION
IN WITNESS WHEREOF, the parties have executed this Waiver and Amendment No. 1 to the Amended and Restated Investors Rights Agreement, the Amended and Restated Voting Agreement and the Amended and Restated First Refusal and Co-Sale Agreement as of the date first above written.
STOCKHOLDERS: | ||||||
INDEX VENTURES IV (JERSEY), L.P | ||||||
By: its Managing General Partner: | ||||||
Index Venture Associates IV Limited | ||||||
By: | /s/ Tamara Williams | |||||
Tamara Williams | ||||||
Alternate Director | ||||||
INDEX VENTURES IV PARALLEL ENTREPRENEUR FUND (JERSEY), L.P | ||||||
By: its Managing General Partner: | ||||||
Index Venture Associates IV Limited | ||||||
By: | /s/ Tamara Williams | |||||
Tamara Williams | ||||||
Alternate Director | ||||||
Address: | Index Venture Associates IV Limited Whiteley Chambers Don Street St Helier Jersey JE4 9WG Channel Islands Attention: Giles Johnstone-Scott |
SIGNATURE PAGE TO THE WAIVER AND AMENDMENT NO. 1 TO
THE INVESTORS RIGHTS AGREEMENT, THE VOTING AGREEMENT
AND THE CO-SALE AGREEMENT OF RPX CORPORATION
IN WITNESS WHEREOF, the parties have executed this Waiver and Amendment No. 1 to the Amended and Restated Investors Rights Agreement, the Amended and Restated Voting Agreement and the Amended and Restated First Refusal and Co-Sale Agreement as of the date first above written.
STOCKHOLDERS: | ||||||
CHARLES RIVER PARTNERSHIP XIII, LP | ||||||
By: Charles River XIII GP, LP | ||||||
Its General Partner | ||||||
By: | Charles River XIII GP, LLC | |||||
Its General Partner | ||||||
By: | /s/ Izhar Armony | |||||
Izhar Armony | ||||||
Authorized Manager | ||||||
CHARLES RIVER FRIENDS XIII-A, LP | ||||||
By: Charles River XIII GP, LLC | ||||||
Its General Partner | ||||||
By: | /s/ Izhar Armony | |||||
Izhar Armony | ||||||
Authorized Manager | ||||||
Address: | 1000 Winter Street, Suite 3300 | |||||
Waltham, MA 02451 | ||||||
with a copy to: Sarah Reed |
SIGNATURE PAGE TO THE WAIVER AND AMENDMENT NO. 1 TO
THE INVESTORS RIGHTS AGREEMENT, THE VOTING AGREEMENT
AND THE CO-SALE AGREEMENT OF RPX CORPORATION
IN WITNESS WHEREOF, the parties have executed this Waiver and Amendment No. 1 to the Amended and Restated Investors Rights Agreement, the Amended and Restated Voting Agreement and the Amended and Restated First Refusal and Co-Sale Agreement as of the date first above written.
STOCKHOLDER: | ||||
KPCB HOLDINGS, INC., AS NOMINEE | ||||
By: | /s/ Eric J. Keller | |||
Name: Eric J. Keller | ||||
Its: President |
Address: | 2750 Sand Hill Road Menlo Park, CA 94025 |
SIGNATURE PAGE TO THE WAIVER AND AMENDMENT NO. 1 TO
THE INVESTORS RIGHTS AGREEMENT, THE VOTING AGREEMENT
AND THE CO-SALE AGREEMENT OF RPX CORPORATION
IN WITNESS WHEREOF, the parties have executed this Waiver and Amendment No. 1 to the Amended and Restated Investors Rights Agreement, the Amended and Restated Voting Agreement and the Amended and Restated First Refusal and Co-Sale Agreement as of the date first above written.
STOCKHOLDER: | ||||||
STEVEN L. FINGERHOOD IRA ROLLOVER | ||||||
By: | /s/ Steven L. Fingerhood | |||||
Name: | Steven L. Fingerhood | |||||
Title: | Authorized Signatory | |||||
Address: | Steven L. Fingerhood IRA Rollover | |||||
JPMCC Custodian | ||||||
One Ferry Building, Suite 255 | ||||||
San Francisco, CA 94111 |
SIGNATURE PAGE TO THE WAIVER AND AMENDMENT NO. 1 TO
THE INVESTORS RIGHTS AGREEMENT, THE VOTING AGREEMENT
AND THE CO-SALE AGREEMENT OF RPX CORPORATION