AMENDMENT NO. 2 TO INVESTOR’S RIGHTS AGREEMENT
EXHIBIT 4.4
AMENDMENT NO. 2 TO INVESTOR’S RIGHTS AGREEMENT
THIS AMENDMENT NO. 2 TO INVESTOR’S RIGHTS AGREEMENT is entered into effective this 19th day of
September, 2007 (this “Amendment No. 2”), by and among Cardiovascular Systems, Inc., a Minnesota
Corporation (the “Company”) , the Series A-1 Convertible Preferred Stockholders listed on Exhibit A
hereto (“Series A-1 Investors”), and the Investors signatory hereto.
RECITALS
WHEREAS, this Amendment No. 2 amends an Investor’s Rights Agreement, dated July 19, 2006 (the
"Investor’s Rights Agreement”) by and between the Company and the “Investors” set forth on Schedule
A thereto and “Stockholders” set forth on Schedule B thereto, as amended by Amendment No. 1 to
Investor’s Rights Agreement, dated October 3, 2006 by and between the Company, ITX International
Equity Corp. and the “Investors” signatory thereto;
WHEREAS, the Company has agreed to sell up to 2,941,177 shares of Series A-1 Convertible
Preferred Stock to the Series A-1 Investors (the “Offering”) in accordance with the terms of that
certain Private Placement Memorandum dated May 16, 2007, as supplemented on August 8, 2007, and
those certain Subscription Agreements by and between the Company and the Series A-1 Investors
received in connection with the Offering (the “Subscription Agreements”);
WHEREAS, on May 21, 2007, the Company’s Board of Directors approved the sale of up to
1,175,000 shares of Series A-1 Convertible Preferred Stock to the Series A-1 Investors and the
transactions contemplated by the Subscription Agreements including this Amendment No. 2, and on
August 7, 2007 the Board further authorized that the Offering be increased to not more than
2,941,177 shares of Series A-1 Convertible Preferred Stock; and
WHEREAS, Investors executing this Amendment No. 2 hold at least 66 2/3% of the combined voting
power of the outstanding shares of Series A Preferred Stock and any Common Stock issued upon
conversion of the Series A Preferred Stock.
NOW THEREFORE, in consideration of the mutual covenants and agreements contained in this
Amendment No. 2, the sufficiency of which is hereby acknowledged, the parties hereto agree as set
forth below:
1. | Defined Terms. Capitalized terms not defined herein shall have the meanings ascribed to them in the Investor’s Rights Agreement. | ||
2. | The Series A-1 Convertible Preferred Stock sold in the Offering shall be deemed additional shares of Series A Convertible Preferred Stock for purposes of the Investor’s Rights Agreement. |
1
3. | Schedule A is hereby amended in its entirety as follows and each of the Series A-1 Investors shall be deemed an Investor as that term is used in the Investor’s Rights Agreement: |
Investors
Series A | Series A | Series A-1 | ||||||||||||||
Preferred | Preferred | Preferred | Aggregate | |||||||||||||
Name of Investor | Shares | Warrant | Shares | Purchase Price | ||||||||||||
Easton Xxxx Capital Partners, L.P. |
612,960 | 87,040 | — | — | ||||||||||||
Easton Xxxx Partners, LP |
612,960 | 87,040 | — | — | ||||||||||||
Maverick Fund, L.D.C. |
770,212 | 109,370 | 103,524 | $ | 879,954.00 | |||||||||||
Maverick Fund USA, Ltd. |
310,952 | 44,155 | 41,795 | $ | 355,257.50 | |||||||||||
Maverick Fund II, Ltd. |
670,149 | 95,161 | 90,075 | $ | 765,637.50 | |||||||||||
Mitsui & Co. Venture Partners II, L.P. |
675,148 | 95,871 | 117,647 | $ | 999,999.50 | |||||||||||
ITX International Equity Corp. |
350,263 | 49,737 | 47,079 | $ | 400,171.50 | |||||||||||
Abrasive Technology, Inc. Profit Shar Pl |
— | — | 32,000 | $ | 272,000.00 | |||||||||||
Xxxxxxx Xxxxxx |
8,943 | 1,270 | 3,552 | $ | 30,200.00 | |||||||||||
Xxxx X. Xxxxx |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxxx Xxxxx |
— | — | 5,000 | $ | 42,500.00 | |||||||||||
Xxxxxxx Xxxxxxxx |
— | — | 12,000 | $ | 102,000.00 | |||||||||||
Xxxxxxx X. Xxxxxxxxx |
35,937 | 5,103 | 18,255 | $ | 155,167.50 | |||||||||||
Xxxxxxx Xxxxxxxxxx, MD |
— | — | 5,882 | $ | 49,997.00 | |||||||||||
Xxxxx Xxxxxx |
— | — | 28,000 | $ | 238,000.00 | |||||||||||
Xxxxxxx X. Xxxxxx |
44,474 | 6,315 | 11,928 | $ | 101,388.00 | |||||||||||
Xxxxxxxxx X. Xxxx and
Xxxxxxx X. Xxxx, JTWROS |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
RBC Xxxx Xxxxxxxx Cust
FBO Xxxxxxxxx X. Xxxx XXX |
— | — | 9,500 | $ | 80,750.00 | |||||||||||
Xxxxxxx Xxxxxx & Co. Cust
FBO Xxxx X. Xxxxx XXX |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxx X. Xxxx and
Xxxxx X. Xxxx, JTWROS |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx X. Xxxxxxx |
— | — | 5,900 | $ | 50,150.00 | |||||||||||
Pensco Trust Company Cust
FBO Xxxxxxx X. Xxxxxx XXX |
— | — | 4,900 | $ | 41,650.00 | |||||||||||
Xxxxxxx Bold |
— | — | 3,600 | $ | 30,600.00 | |||||||||||
Xxxx X. Xxxxxxx |
— | — | 11,764 | $ | 99,994.00 | |||||||||||
Xxxxxx Xxxxx |
— | — | 9,000 | $ | 76,500.00 | |||||||||||
Xxxxx Xxxxxx and Xxxx Xxxxxx JTWROS |
8,943 | 1,270 | 4,120 | $ | 35,020.00 | |||||||||||
Xxxxx Xxxxx |
10,260 | 1,457 | 17,000 | $ | 144,500.00 | |||||||||||
Xxxxxx X. Xxxxxxx |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxx X. Xxxxx, Xx. |
— | — | 7,500 | $ | 63,750.00 | |||||||||||
Xxxxxx and Xxxxxxxx Xxxx, Trustees,
Xxxxxx and Xxxxxxxx Xxxx Rev.
Living Trust dated 4/12/04 |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Wedbush Xxxxxx Securities Cust
FBO Xxxxxxx X. Xxx XXX |
— | — | 7,050 | $ | 59,925.00 | |||||||||||
Xxxxxxx Xxxxx and Xxxxxx Xxxxx,
Trustees, Xxxxx Family Trust |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxxxxxxx Xxxxxxxx |
— | — | 2,941 | $ | 25,000.00 |
2
Series A | Series A | Series A-1 | ||||||||||||||
Preferred | Preferred | Preferred | Aggregate | |||||||||||||
Name of Investor | Shares | Warrant | Shares | Purchase Price | ||||||||||||
H. Xxxxxx Xxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxxx Xxxxxx & Co., Inc. Cust
FBO Xxxxxxxx X. Xxxxxxxxxx XXX |
— | — | 5,800 | $ | 49,300.00 | |||||||||||
Xxxxxx Xxxxxxx Xxxxxxxx |
— | — | 29,400 | $ | 249,900.00 | |||||||||||
Xxxxxx X. Xxxxxxx Family Foundation |
43,783 | 6,217 | 29,414 | $ | 250,019.00 | |||||||||||
Xxxxxxx Xxxxxx & Co., Inc. Cust
FBO Xxxxxx X. Xxxxxx XXX |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
CAVA Partners, LLC |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxx X. Xxxxxxxxx |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxxx X. Xxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxx |
— | — | 17,647 | $ | 150,000.00 | |||||||||||
Xxxxxxx X. Xxxxxx and
XxXxx Xxxxxx, JTWROS |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxxx Xxxx Xxxxxxx |
— | — | 6,777 | $ | 57,604.50 | |||||||||||
Xxxxxxx Xxxxxx & Co., Inc. Cust
FBO Xxxxx X. Xxxxxx XXX |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Pershing LLC Custodian
FBO Xxxxxx Xxxxxxx Xxxxx XXX |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx X. Xxxxx, M.D. |
— | — | 5,884 | $ | 50,014.00 | |||||||||||
Xxxx Xxxxxxx |
— | — | 11,765 | $ | 100,002.50 | |||||||||||
Wachovia Securities Cust
FBO Xxxx Xxxxxxx XXX |
— | — | 12,941 | $ | 110,000.00 | |||||||||||
Xxx Xxxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx X. Xxxxxxxx |
— | — | 11,750 | $ | 99,875.00 | |||||||||||
Xxxxx X. Xxxx |
— | — | 590 | $ | 5,015.00 | |||||||||||
Xxxxxx X. Xxxxx, MD |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx X. Xxxxxx, M.D. |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxxxxxx Xxxxxx & Co., Inc. Cust
FBO Xxxx X. XxXxxx XXX |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxx X. Xxxxxxx |
— | — | 4,000 | $ | 34,000.00 | |||||||||||
Xxxxx Xxxxx and
Xxxxx Xxxxx JTWROS |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxx X. Xxxxx |
— | — | 5,883 | $ | 50,005.50 | |||||||||||
Xxxx Xxx Xxxxxxxx, MD |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxxxx Xxxxxxx |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxx Xxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx X. Xxxxxx |
17,890 | 2,540 | 2,404 | $ | 20,434.00 | |||||||||||
Xxxxxxx X. Xxxxx, M.D. |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxxxxxx Xxxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxxxx X. Xxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxx X. Xxxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
GDN Holdings, LLC |
131,349 | 18,652 | 41,913 | $ | 356,260.50 | |||||||||||
Xxxxxxx X. Xxxxx, MD and
Xxxxxxx X. Xxxxx JTWROS |
— | — | 2,950 | $ | 25,075.00 | |||||||||||
Xxxxx Xxxx Xxxxxxx |
— | — | 19,059 | $ | 162,001.50 | |||||||||||
UBS Financial Services, Inc. Cust
FBO X. Xxxx Xxxxxx XXX |
— | — | 6,500 | $ | 55,250.00 |
3
Series A | Series A | Series A-1 | ||||||||||||||
Preferred | Preferred | Preferred | Aggregate | |||||||||||||
Name of Investor | Shares | Warrant | Shares | Purchase Xxxxx | ||||||||||||
Xxxxxx Xxxxxxx Xxxxxxxxx and
Xxxxx Xxxxxxx Xxxxxxxxx |
— | — | 10,000 | $ | 85,000.00 | |||||||||||
Xxxxx X. Xxxxxxxx |
— | — | 18,750 | $ | 159,375.00 | |||||||||||
Xxxxx Xxxxxxxxx |
— | — | 7,060 | $ | 60,010.00 | |||||||||||
Xxxxx X. Xxxxxxx |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxx Xxxxxx |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Fiserv ISS & Co. Cust
FBO Xxx Xxxxxx XXX |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxxx Xxxxxx |
— | — | 11,764 | $ | 100,000.00 | |||||||||||
Xxxxx Xxxxx Xxxxxx |
— | — | 600 | $ | 5,100.00 | |||||||||||
Xxxxxx X. Xxxxx |
8,815 | 1,252 | 9,431 | $ | 80,173.50 | |||||||||||
Syntel, LLC Profit Sharing Plan FBO
Xxxxxx Xxxxx Xxxxxx, Xxxxxx Xxxxx
Xxxxxx, Trustee |
— | — | 5,882 | $ | 49,997.00 | |||||||||||
Xxxxxxx X. Xxxxxx and Xxxxxx X.Xxxxxx,
Trustees, R&S Trust dated 8/3/99 |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxxx Xxxxxx & Co., Inc. Cust
FBO Xxxxx Xxxxxxx Xxxxxx XXX |
— | — | 13,000 | $ | 110,500.00 | |||||||||||
Xxxxxx X. Xxxxxxx |
— | — | 17,647 | $ | 150,000.00 | |||||||||||
Xxxxxxx Xxxxxxx and
Xxxxx Xxxxx Xxxxxxx JTWROS |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxx Xxxxxxxx |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxx X. Xxxx |
— | — | 8,000 | $ | 68,000.00 | |||||||||||
Xxxxx X. Xxxxxx, Trustee,
Xxxxxx Living Trust dtd 12/10/96 |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Innovasc, LLC |
— | — | 4,500 | $ | 38,250.00 | |||||||||||
Xxxxxxx Xxxxxxx and
Xxxxx Xxxxxxx, JTWROS |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxxxxx X.
Xxxxxx and Xxxxxx X. Xxxxxx JTWROS |
17,657 | 2,507 | 7,108 | $ | 60,418.00 | |||||||||||
Xxxx Xxxxxx |
— | — | 11,765 | $ | 100,000.00 | |||||||||||
Xxxx Xxx |
— | — | 5,900 | $ | 50,150.00 | |||||||||||
Takemito Jimbo |
— | — | 11,765 | $ | 100,002.50 | |||||||||||
Xxxxxxx Xxxxx Xxxxx, MD |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxx X. Xxxxxxx and
Xxxx X. Xxxxx JTWROS |
— | — | 3,529 | $ | 30,000.00 | |||||||||||
Xxxxx X. Xxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Salva Xxxxxx and
Xxxx Xxxxxx JTWROS |
— | — | 3,529 | $ | 30,000.00 | |||||||||||
KD Holding, Inc. |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxxx X. Xxxxxx and
Xxxxxx Xxxxxx JTWROS |
— | — | 17,647 | $ | 150,000.00 | |||||||||||
Xxxxx Xxxxxx |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxxxxx Xxxxxxxx, Ttee, Xxxxxx Xxxxxxxx
and Xxxxx Xxxxxxx Xxxxxxxx Trust U/A |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxxx X. Xxxxx |
— | — | 10,000 | $ | 85,000.00 | |||||||||||
E*Trade as Cust
FBO Xxxxxx X. Xxxxxx XXX |
— | — | 5,883 | $ | 50,005.50 |
4
Series A | Series A | Series A-1 | ||||||||||||||
Preferred | Preferred | Preferred | Aggregate | |||||||||||||
Name of Investor | Shares | Warrant | Shares | Purchase Price | ||||||||||||
Xx Xxxxx and
Xxxxxx Xxxxx JTWROS |
— | — | 8,825 | $ | 75,012.50 | |||||||||||
Xx Xxxxx |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxx Xxxxx, M.D. |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxxx Xxxxx |
— | — | 22,600 | $ | 192,100.00 | |||||||||||
Xxxx X. Xxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Habib Xxxx Xxxxxxx |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxx Xxxxxxxx |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxx Xxx |
— | — | 17,000 | $ | 144,500.00 | |||||||||||
MLPF&S Cust FBO Xxxxx Xxx XXX |
— | — | 23,529 | $ | 199,996.50 | |||||||||||
Xxxxxx Xxxxxxxxx and
Xxxxxx Xxxxxxxxx |
— | — | 11,764 | $ | 100,000.00 | |||||||||||
Xxxxxxx Xxxxxx Xxxxxxxxx and
Xxxxx X. Xxxxxxxxx JTWROS |
— | — | 5,000 | $ | 42,500.00 | |||||||||||
Xxxxx Fargo Bank, N.A. as Trustee of the
Xxxxxx X. Xxxxxxx Rev Trust |
— | — | 11,764 | $ | 99,994.00 | |||||||||||
Xxxxx Xxxxx, MD |
— | — | 11,765 | $ | 100,000.00 | |||||||||||
Xxxxxxx X. Xxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxxxx X. Xxxxxxx |
— | — | 600 | $ | 5,100.00 | |||||||||||
Xxxxxxx X. Xxxxxxx and
Xxxxxxxxx X. Xxxxxxx JTWROS |
— | — | 4,706 | $ | 40,001.00 | |||||||||||
Xxxxxxxxxxxx Xxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxxxxx and
Xxxxxxxxx Xxxxxxxx JTWROS |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxx X. Xxxxxx, Sole Trustee of the
Xxxxxx Family Revocable Trust |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxxx and
Xxxxx X. Xxxxxx III |
— | — | 1,200 | $ | 10,200.00 | |||||||||||
MaxBee Holding Company LLC |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxx XxXxxx |
— | — | 17,647 | $ | 150,000.00 | |||||||||||
Xxxxxxxxxxx X. XxXxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxx X. Xxxxxxxxx |
— | — | 11,765 | $ | 100,002.50 | |||||||||||
Xxxxx X. Xxxxxx |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxx Xxxxxxxxx, Trustee of the Xxxx
Xxxxxxxxx Profit Sharing Plan FBO
Xxxx Xxxxxxxxx |
— | — | 5,882 | $ | 49,997.00 | |||||||||||
Xxxxxxx Xxxxxxxxx and
B. R. Natarajan JTWROS |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Fiserv ISS & Co. Cust
FBO Xxxxxx X. Xxxxxxx XXX |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxx X. Xxxxxxx |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxxxxx Xxxxxx |
— | — | 2,400 | $ | 20,400.00 | |||||||||||
Xxxxx Xxxxxxx and
Xxxxxxxxx Xxxxxxx, JTWROS |
— | — | 8,823 | $ | 75,000.00 | |||||||||||
Xxxxxx Xxx |
— | — | 30,000 | $ | 255,000.00 | |||||||||||
Xxx Pardubeck |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxxx X. Xxxxxxxx |
1,027 | 146 | 5,000 | $ | 42,500.00 | |||||||||||
Loyal X. Xxxxxxxx, Xx. |
20,564 | 2,920 | 16,124 | $ | 137,054.00 | |||||||||||
Xxxx X. Xxxxxxxx |
— | — | 5,882 | $ | 50,000.00 |
5
Series A | Series A | Series A-1 | ||||||||||||||
Preferred | Preferred | Preferred | Aggregate | |||||||||||||
Name of Investor | Shares | Warrant | Shares | Purchase Price | ||||||||||||
Xxxxxxxxx Xxxxxx |
— | — | 589 | $ | 5,006.50 | |||||||||||
Pinnacle Investment Group, LLC |
— | — | 9,000 | $ | 76,500.00 | |||||||||||
Xxxxxxx Xxxxxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxxx X. Xxxxxx |
— | — | 2,941 | $ | 24,998.50 | |||||||||||
Xxxx X. Xxxxxxxx |
7,203 | 1,023 | 25,169 | $ | 213,936.50 | |||||||||||
Xxxxxx X. Xxxxx |
— | — | 2,941 | $ | 24,998.50 | |||||||||||
Xxxxxx Xxxxxxxxx |
— | — | 12,000 | $ | 102,000.00 | |||||||||||
Redmile Capital, LP |
— | — | 7,569 | $ | 64,341.00 | |||||||||||
Redmile Ventures, LLC |
— | — | 5,882 | $ | 49,997.00 | |||||||||||
Redmile Capital Offshore, Ltd. |
— | — | 27,725 | $ | 235,658.00 | |||||||||||
Xxxxxxx Xxxxxx and Xxxx Xxxxxx |
— | — | 11,764 | $ | 99,994.00 | |||||||||||
Xxxxxx Xxxxx and
Xxxx Xxxxx JTWROS |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxxxx Xxxxxxx |
— | — | 10,000 | $ | 85,000.00 | |||||||||||
Xxxxxxxx X. Xxxxxx |
— | — | 4,000 | $ | 34,000.00 | |||||||||||
Xxxxx Xxxxxx |
— | — | 2,940 | $ | 24,990.00 | |||||||||||
Xxxxxx Xxxx Xxxxxxx |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxxxxxx X.
Xxxxxxx, Trustee Xxxxx X. Xxxxxxx Residuary Trust |
— | — | 21,200 | $ | 180,200.00 | |||||||||||
Xxxxx X. Xxxxxxx |
— | — | 11,800 | $ | 100,300.00 | |||||||||||
Xxxx X. Xxxxxxx and
Xxxxx X. Xxxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxx Xxxxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxx X. Xxxxxxxx |
10,216 | 1,451 | 20,000 | $ | 170,000.00 | |||||||||||
Xxxxx X. Xxxxxxxxx and
Xxxx Xxxxxxxx |
— | — | 7,059 | $ | 60,001.50 | |||||||||||
Xxxx X. Xxxxxxxxxxxx |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Xxxx X. Xxxxx and Xxxxxx X. Xxxxx, Ttees
of the Xxxx and Xxxxxx Xxxxx Rev
Trust |
— | — | 29,500 | $ | 250,750.00 | |||||||||||
R. Xxxxxxxx Xxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxx X. Xxxxxxx, MD |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxx Xxxx and
Xxxxx Xxxx JTWROS |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxx X. Xxxxxxx |
— | — | 2,000 | $ | 17,000.00 | |||||||||||
Chiemsee Money Purchase Plan, dtd
03/11/97, FBO Xxxxxx X. Xxxxxxx |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxxx Xxxxxxx and Xxxxx Xxxxxxx, Ttees
of the Xxxxxxx Family Trust dated
2/1/99 |
— | — | 6,000 | $ | 51,000.00 | |||||||||||
Xxxxxxxxx Xxxx Xxxxx, MD |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxxxx |
— | — | 1,200 | $ | 10,200.00 | |||||||||||
Xxxxxxxx X. Xxxxxxx |
— | — | 1,775 | $ | 15,087.50 | |||||||||||
Xxxxxx Xxxxxxxx, Trustee, Teledata
Financial Services Corp. Profit Shar Plan |
— | — | 23,529 | $ | 200,000.00 | |||||||||||
Xxxxxxx Xxxxxx & Co., Inc. Cust
FBO Xxxxxx X. Xxxxxxxx XXX |
— | — | 12,000 | $ | 102,000.00 | |||||||||||
Xxxxxxxxx X. Xxxxxx and
A. Xxxxxxx Xxxxxx JTWROS |
— | — | 5,890 | $ | 50,065.00 |
6
Series A | Series A | Series A-1 | ||||||||||||||
Preferred | Preferred | Preferred | Aggregate | |||||||||||||
Name of Investor | Shares | Warrant | Shares | Purchase Price | ||||||||||||
TMP, LLLP |
53,217 | 7,557 | 56,768 | $ | 482,529.00 | |||||||||||
Top Medical Holding B.V. |
— | — | 4,000 | $ | 34,000.00 | |||||||||||
Xxxxxx Xxxxx and Xxxxxxx Xxxxx,
Trustees,
Xxxxx Family Trust |
— | — | 2,942 | $ | 25,007.00 | |||||||||||
Xxxxx X. Xxxxx |
— | — | 11,765 | $ | 100,000.00 | |||||||||||
Xxxxxx X. Xxxxxxx and
Xxxxxx X. Xxxxxxx |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxx Xxxxx and Xxxxxxxx Xxxxx, Ttees,
Xxxx Xxxxx and Xxxxxxxx Xxxxx Family
Tr |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxx Xxxxxx |
— | — | 4,588 | $ | 39,000.00 | |||||||||||
Xxxxxxx X. Xxxxx, MD |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxxxx X. Xxxxxxxx and Xxxxxx Xxxxx |
— | — | 2,941 | $ | 24,998.50 | |||||||||||
Xxxxxxx Xxxxxx & Co., Inc. Cust
FBO Xxxxxx X. Xxxxxx XXX |
— | — | 7,058 | $ | 60,000.00 | |||||||||||
Wellspring Capital |
— | — | 176,470 | $ | 1,500,000.00 | |||||||||||
Wellspring Management, LLC |
— | — | 58,823 | $ | 500,000.00 | |||||||||||
Xxxxxx X. Xxxxxx |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Fiserv ISS & Co. Cust
FBO Xxxxxxxx Xxxxxxxxxx XXX |
— | — | 5,882 | $ | 50,000.00 | |||||||||||
Xxxxxx Xxxxxxx |
— | — | 3,000 | $ | 25,500.00 | |||||||||||
Xxxxxx X. Xxxxxxx |
— | — | 2,941 | $ | 25,000.00 | |||||||||||
Total |
4,002,644 | 568,374 | 2,188,425 | $ | 18,601,821.50 |
4. | This Amendment No. 2 may be executed in any number of original or facsimile counterparts, and each such counterpart hereof shall be deemed to be an original instrument, but all such counterparts together shall constitute but one agreement. Any counterpart or other signature to this Amendment No. 2 that is delivered by facsimile shall be deemed for all purposes as constituting good and valid execution and delivery by such party of this Amendment No. 2. | ||
5. | Except as set forth herein, all other terms and conditions of the Investor’s Rights Agreement remain the same. |
[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
7
IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 2 to Investor’s Rights
Agreement effective the date first written above.
CARDIOVASCULAR SYSTEMS, INC. |
||||
By: | /s/ Xxxxx X. Xxxxxxxx | |||
Name: | Xxxxx X. Xxxxxxxx | |||
Title: | Chief Financial Officer |
8
IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 2 to Investor’s Rights Agreement effective the date first written above. |
EASTON XXXX CAPITAL PARTNERS, L.P. | ||||
By: | EHC GP, L.P. its General Partner | |||
By: | EHC GP, Inc., its General Partner | |||
By: | /s/ Xxxx X. Xxxxxxxx | |||
Name: Xxxx X. Xxxxxxxx Title: President |
||||
EASTON CAPITAL PARTNERS, LP | ||||
By: | ECP GP, LLC | |||
By: | ECP GP, Inc., its Manager | |||
By: | /s/ Xxxx X. Xxxxxxxx | |||
Name: Xxxx X. Xxxxxxxx | ||||
Title: President |
9
IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 2 to Investor’s
Rights Agreement effective the date first written above.
MAVERICK FUND, L.D.C. | ||||
By: | Maverick Capital, Ltd. | |||
Its Investment Advisor | ||||
By: | /s/ Xxxx X. XxXxxxxxxx | |||
Name: Xxxx X. XxXxxxxxxx | ||||
Title: Limited Partner and General Counsel | ||||
MAVERICK FUND USA, LTD. | ||||
By: | Maverick Capital, Ltd. | |||
Its Investment Advisor | ||||
By: | /s/ Xxxx X. XxXxxxxxxx | |||
Name: Xxxx X. XxXxxxxxxx | ||||
Title: Limited Partner and General Counsel | ||||
MAVERICK FUND II, LTD. | ||||
By: | Maverick Capital, Ltd. | |||
Its Investment Advisor | ||||
By: | /s/ Xxxx X. XxXxxxxxxx | |||
Name: Xxxx X. XxXxxxxxxx | ||||
Title: Limited Partner and General Counsel |
10
IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 2 to Investor’s Rights
Agreement effective the date first written above.
MITSUI & CO. VENTURE PARTNERS II, L.P. | ||||
By: | Mitsui & Co. Venture Partners, Inc. | |||
Its General Partner | ||||
By: | /s/ Xxxxxx Xxxx | |||
Name: Xxxxxx Xxxx | ||||
Title: President & CEO |
11
IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 2 to Investor’s Rights
Agreement effective the date first written above.
SERIES A-1 CONVERTIBLE PREFERRED INVESTORS |
||||
By: | /s/ Xxxxx X. Xxxxxxxx | |||
Xxxxx X. Xxxxxxxx, as Attorney-in-Fact for the Series A-1 Convertible | ||||
Preferred Investors named on Exhibit A hereto |
12
EXHIBIT A
SERIES A-1 CONVERTIBLE PREFERRED INVESTORS
Abrasive Technology, Inc. Profit Sharing Plan |
Xxxxxxx Xxxxxx |
Xxxx X. Xxxxx |
Xxxxxx Xxxxx |
Xxxxxxx Xxxxxxxx |
Xxxxxxx X. Xxxxxxxxx |
Xxxxxxx Xxxxxxxxxx, MD |
Xxxxx Xxxxxx |
Xxxxxxx X. Xxxxxx |
Xxxxxxxxx X. Xxxx and Xxxxxxx X. Xxxx, JTWROS |
RBC Xxxx Xxxxxxxx Cust FBO Xxxxxxxxx X. Xxxx XXX |
Xxxxxxx Xxxxxx & Co. Cust FBO Xxxx X. Xxxxx XXX |
Xxxxxx X. Xxxx and Xxxxx X. Xxxx, JTWROS |
Xxxxx Xxxxx |
Xxxxx X. Xxxxxxx |
Pensco Trust Company Cust FBO Xxxxxxx X. Xxxxxx XXX |
Xxxxxxx Bold |
Xxxx X. Xxxxxxx |
Xxxxxx Xxxxx |
Xxxxx Xxxxxx and Xxxx Xxxxxx JTWROS |
Xxxxx Xxxxx |
Xxxxxx X. Xxxxxxx |
Xxxxx X. Xxxxx, Xx. |
Xxxxxx and Xxxxxxxx Xxxx, Ttees, Xxxxxx and Xxxxxxxx Xxxx Rev. Living Trust |
Wedbush Xxxxxx Securities Cust FBO Xxxxxxx X. Xxx XXX |
Xxxxxxx Xxxxx and Xxxxxx Xxxxx, Trustees, |
Xxxxx Family Trust |
Xxxxxxxxxxx Xxxxxxxx |
X. Xxxxxx Xxxxxx |
Xxxxxxx Xxxxxx & Co., Inc. Cust FBO Xxxxxxxx X. Xxxxxxxxxx XXX |
Xxxxxx Xxxxxxx Xxxxxxxx |
Xxxxxx X. Xxxxxxx Family Foundation |
Xxxxxxx Xxxxxx & Co., Inc. Cust FBO Xxxxxx X. Xxxxxx XXX |
XXXX Partners, LLC |
Xxxx X. Xxxxxxxxx |
Xxxxx X. Xxxx |
Xxxxx Xxxxx |
Xxxxxxx X. Xxxxxx and XxXxx Xxxxxx, XXXXXX |
Xxxxxx Xxxx Xxxxxxx |
Xxxxxxx Xxxxxx & Co., Inc. Cust FBO Xxxxx X. Church XXX |
Xxxxxxxx LLC Custodian FBO Xxxxxx Xxxxxxx Xxxxx XXX |
Xxxxx X. Xxxxx, M.D. |
Xxxx Xxxxxxx |
Wachovia Securities Cust FBO Xxxx Xxxxxxx XXX |
Xxx Xxxxxxx |
Xxxxx X. Xxxxxxxx |
Xxxxx X. Xxxx |
Xxxxxx X. Xxxxx, MD |
Xxxxx Xxxxxx |
Xxxxx X. Xxxxxx, M.D. |
Xxxxxxx Xxxxxx & Co., Inc. Cust FBO Xxxx X. XxXxxx XXX |
Xxxxx X. Xxxxxxx |
Xxxxx Xxxxx and Xxxxx Xxxxx JTWROS |
Xxxx X. Xxxxx |
Xxxx Xxx Xxxxxxxx, MD |
Xxxxxxx Xxxxxxx |
Xxxxx Xxxxx |
Xxxxx X. Xxxxxx |
Xxxxxxx X. Xxxxx, M.D. |
Xxxxxxx Xxxxxxx |
Xxxxxxxx X. Xxxxxx |
Xxxxxx X. Xxxxxxx |
GDN Holdings, LLC |
Xxxxxxx X. Xxxxx, MD and Xxxxxxx X. Xxxxx JTWROS |
Xxxxx Xxxx Xxxxxxx |
UBS Financial Services, Inc. Cust FBO X. Xxxx Xxxxxx XXX |
Xxxxxx Xxxxxxx Xxxxxxxxx and Xxxxx Xxxxxxx Xxxxxxxxx |
Xxxxx X. Xxxxxxxx |
Xxxxx Xxxxxxxxx |
Xxxxx X. Xxxxxxx |
Xxx Xxxxxx |
Fiserv ISS & Co. Cust FBO Xxx Xxxxxx XXX |
Xxxxx Xxxxxx Xxxxxx |
Xxxxx Xxxxx Xxxxxx |
Xxxxxx X. Xxxxx |
Syntel, LLC Profit Sharing Plan FBO Xxxxxx Xxxxx Xxxxxx, Xxxxxx Xxxxx Xxxxxx, Trustee |
Xxxxxxx X. Xxxxxx and Xxxxxx X. Xxxxxx, Trustees, R&S Trust dated 8/3/99 |
Xxxxxxx Xxxxxx & Co., Inc. Cust FBO Xxxxx Xxxxxxx Xxxxxx XXX |
Xxxxxx X. Xxxxxxx |
13
Xxxxxxx Xxxxxxx and Xxxxx Xxxxx Xxxxxxx JTWROS |
Xxxxxx Xxxxxxxx |
Xxxxx X. Xxxx |
Xxxxx X. Xxxxxx, Trustee, Xxxxxx Living Trust dtd 12/10/96 |
Innovasc, LLC |
Xxxxxxx Xxxxxxx and Xxxxx Xxxxxxx, JTWROS |
Xxxxxx X. Xxxxxx and Xxxxxx X. Xxxxxx JTWROS |
ITX International Equity Corp. |
Xxxx Xxxxxx |
Xxxx Xxx |
Takemito Jimbo |
Xxxxxxx Xxxxx Xxxxx, MD |
Xxxxx X. Xxxxxxx and Xxxx X. Xxxxx JTWROS |
Xxxxx X. Xxxxxx |
Salva Xxxxxx and Xxxx Xxxxxx JTWROS |
KD Holding, Inc. |
Xxxxxx X. Xxxxxx and Xxxxxx Xxxxxx JTWROS |
Xxxxx Xxxxxx |
Xxxxxx Xxxxxxxx, Ttee, Xxxxxx Xxxxxxxx and Xxxxx Xxxxxxx Xxxxxxxx Trust U/A |
Xxxxxxx X. Xxxxx |
E*Trade as Cust FBO Xxxxxx X. Xxxxxx XXX |
Xx Xxxxx and Xxxxxx Xxxxx JTWROS |
Xx Xxxxx |
Xxxxx Xxxxx, M.D. |
Xxxxx Xxxxx |
Xxxx X. Xxxxxx |
Habib Xxxx Xxxxxxx |
Xxxxx Xxxxxxxx |
Xxxxx Xxx |
MLPF&S Cust FBO Xxxxx Xxx XXX |
Xxxxxx Xxxxxxxxx and Xxxxxx Xxxxxxxxx |
Xxxxxxx Xxxxxx Xxxxxxxxx and Xxxxx X. Xxxxxxxxx JTWROS |
Xxxxx Fargo Bank, N.A. as Trustee of the Xxxxxx X. Xxxxxxx Rev Tr |
Xxxxx Xxxxx, MD |
Xxxxxxx X. Xxxxx |
Xxxxxxxx X. Xxxxxxx |
Xxxxxxx X. Xxxxxxx and Xxxxxxxxx X. Xxxxxxx JTWROS |
Xxxxxxxxxxxx Xxxxx |
Xxxxx Xxxxxxxx and Xxxxxxxxx Xxxxxxxx JTWROS |
Xxxxx X. Xxxxxx, Sole Trustee, Xxxxxx Family Revocable Trust |
Xxxxx Xxxxxx and Xxxxx X. Xxxxxx III |
Maverick Fund, L.D.C. |
Maverick Fund USA, Ltd. |
Maverick Fund II, Ltd. |
MaxBee Holding Company LLC |
Xxxx XxXxxx |
Xxxxxxxxxxx X. XxXxxxx |
Xxxx X. Xxxxxxxxx |
Xxxxx X. Xxxxxx |
Mitsui & Co. Venture Partners II, LP |
Xxxx Xxxxxxxxx, Trustee, Xxxx Xxxxxxxxx Profit Sharing Plan FBO Xxxx Xxxxxxxxx |
Xxxxxxx Xxxxxxxxx and B. R. Natarajan JTWROS |
Fiserv ISS & Co. Cust FBO Xxxxxx X. Xxxxxxx XXX |
Xxxxxx X. Xxxxxxx |
Xxxxxx Xxxxxx |
Xxxxx Xxxxxxx and Xxxxxxxxx Xxxxxxx, JTWROS |
Ashish Xxx |
Xxx Pardubeck |
Xxxxx X. Xxxxxxxx |
Loyal X. Xxxxxxxx, Xx. |
Xxxx X. Xxxxxxxx |
Xxxxxxxxx Xxxxxx |
Pinnacle Investment Group, LLC |
Xxxxxxx Xxxxxxxxx |
Xxxxxxx X. Xxxxxx |
Xxxx X. Xxxxxxxx |
Xxxxxx X. Xxxxx |
Xxxxxx Xxxxxxxxx |
Xxxxxxx Capital, XX |
Xxxxxxx Ventures, LLC |
Redmile Capital Offshore, Ltd. |
Xxxxxxx Xxxxxx and Xxxx Xxxxxx |
Xxxxxx Xxxxx and Xxxx Xxxxx JTWROS |
Xxxxxx Xxxxxxx |
Xxxxxxxx X. Xxxxxx |
Xxxxx Xxxxxx |
Xxxxxx Xxxx Xxxxxxx |
Xxxxxxx X. Xxxxxxx, Trustee Xxxxx X. Xxxxxxx Residuary Trust |
Xxxxx X. Xxxxxxx |
Xxxx X. Xxxxxxx and Xxxxx X. Xxxxxxx |
Xxxxx Xxxx Xxxxxxxx |
Xxxx X. Xxxxxxxx |
Xxxxx X. Xxxxxxxxx and Xxxx Xxxxxxxx |
Xxxx X. Xxxxxxxxxxxx |
Xxxx X. Xxxxx and Xxxxxx X. Xxxxx, Ttees of the Xxxx and Xxxxxx Xxxxx Rev Trust |
R. Xxxxxxxx Xxxxx |
14
Xxxx X. Xxxxxxx, MD |
Xxxxx Xxxxxxx |
Xxxxxx Xxxx and Xxxxx Xxxx JTWROS |
Xxxx X. Xxxxxxx |
Chiemsee Money Purchase Plan, dtd 03/11/97, FBO Xxxxxx X. Xxxxxxx |
Xxxxxx Xxxxxxx and Xxxxx Xxxxxxx, Ttees of the Xxxxxxx Family Trust dated 2/1/99 |
Xxxxxxxxx Xxxx Xxxxx, MD |
Xxxxx Xxxxxxx |
Xxxxxxxx X. Xxxxxxx |
Xxxxxx Xxxxxxxx, Trustee, Teledata Financial Services Corp. Profit Shar Plan |
Xxxxxxx Xxxxxx & Co., Inc. Cust FBO Xxxxxx X. Xxxxxxxx XXX |
Xxxxxxxxx X. Xxxxxx and A. Xxxxxxx Xxxxxx JTWROS |
TMP, LLLP |
Top Medical Holding B.V. |
Xxxxxx Xxxxx and Xxxxxxx Xxxxx, Trustees, Xxxxx Family Trust |
Xxxxx X. Xxxxx |
Xxxxxx X. Xxxxxxx and Xxxxxx X. Xxxxxxx |
Xxxx Xxxxx and Xxxxxxxx Xxxxx, Ttees, Xxxx Xxxxx and Xxxxxxxx Xxxxx Family Tr |
Xxxxx Xxxxxx |
Xxxxxxx X. Xxxxx, MD |
Xxxxxx X. Xxxxxxxx and Xxxxxx Xxxxx |
Xxxxxxx Xxxxxx & Co., Inc. Cust FBO Xxxxxx X. Xxxxxx XXX |
Xxxxxxxxxx Capital |
Wellspring Management, LLC |
Xxxxxx X. Xxxxxx |
Fiserv ISS & Co. Cust FBO Xxxxxxxx Xxxxxxxxxx XXX |
Xxxxxx Xxxxxxx |
Xxxxxx X. Xxxxxxx |
15