Document:

TEN-2015.3.31-10Q Exhibit 10.5

EXHIBIT 10.5

FIRST AMENDMENT TO
TENNECO INC. EXCESS BENEFIT PLAN
WHEREAS, Tenneco Inc. (the “Company”) maintains the Tenneco Inc. Excess Benefit Plan (the “Plan”); 
WHEREAS, the Plan was most recently amended and restated effective as of January 1, 2013; and
WHEREAS, it is now desirable to amend the Plan to add a Supplement to the Plan to reflect benefits granted to a newly hired executive in connection with his commencement of employment; 
NOW, THEREFORE, the Plan is hereby amended, effective as of January 6, 2015, by adding the following new Supplement C to the Plan immediately following Supplement B thereof:

“SUPPLEMENT C
TO
TENNECO INC.
EXCESS BENEFIT PLAN

		
	Application
	C-1.  This Supplement C to Tenneco Inc. Excess Benefit Plan shall apply as of January 6, 2015 to the benefits of Participant Brian J. Kesseler (“Kesseler”).

		
	Definitions
	C-2.  Unless the context clearly implies or indicates the contrary, a word, term or phrase used or defined in the Plan is similarly used or defined for purposes of this Supplement C.

		
	Employer Retirement
	C-3.  Kesseler’s benefits under Section 3.2 of the Plan shall be 

		
	Contributions
	calculated in accordance with Section 3.2 of the Plan except as follows: 

		
	(a)
	The Employer Bonus Contributions (as defined in Section 3.2(b) of the Plan) to which Kesseler shall be entitled for any Plan Year shall be calculated in accordance with Section 3.2(b) of the Plan; provided, however, that the Company Retirement Contribution percentage that will be applied to determine the amount of the Employer Bonus Contributions shall be 3%. 

		
	(b)
	The Employer Retirement Contributions (as defined in Section 3.2(c) of the Plan) to which Kesseler shall be entitled for any Plan Year shall be calculated in accordance with Section 3.2(c) of the Plan; provided, however, that the Company Retirement Contribution percentage that will be applied to determine the amount of the Employer Retirement Contributions shall be 3%.

		
	Other Terms of Plan
	C-4.  Except as otherwise provided in this Supplement C the terms and conditions of the Plan shall apply to Kesseler.

    

IN WITNESS WHEREOF, the Company has caused the Plan to be amended as set forth herein by its authorized officer, effective as of January 6, 2015.

	
				
	 
	TENNECO INC.
	 
	 

	 
	By:
	/s/Gregg A. Bolt
	 

	 
	 
	 
	 

	 
	 
	Gregg A. Bolt
	 

	 
	 
	 
	 

	 
	Its:
	Senior Vice President,
	 

	 
	 
	 
	 

	 
	 
	Global Human Resources and AdministrationEX4.1-Mattson-RightsAgreementAmendmentMay52015

Exhibit 4.1
 
AMENDMENT NO. 3 TO RIGHTS AGREEMENT
 
This Amendment No. 3 (this “Amendment”) to Rights Agreement dated as of July 28, 2005 (the “Rights Agreement”), between Mattson Technology, Inc., a Delaware corporation (the “Company”), and Computershare Trust Company, N.A. (the “Rights Agent”), as successor to Mellon Investor Services, LLC, is effective as of May 5, 2015. Capitalized terms not defined herein shall have the meanings given them in the  Rights Agreement.
 
WHEREAS, the Board of Directors of the Company has previously approved an Amendment No. 1 to the Rights Agreement, which was approved on or around June 21, 2006 and an Amendment No. 2 to the Rights Agreement, which was approved on or around July 14, 2008; and

WHEREAS, the Board of Directors of the Company has determined that it is in the best interests of the Company and its stockholders to further amend the Rights Agreement to advance the Final Expiration Date of the Agreement from July 27, 2015 to May 5, 2015; 
 
WHEREAS, the Company has delivered to the Rights Agent an appropriate certificate pursuant to Section 27 of the Agreement; and
 
WHEREAS, pursuant to Section 27 of the Rights Agreement, the Company and the Rights Agent may, so long as the Rights are then redeemable, amend any provision of the Rights Agreement, as determined by the Company in its sole discretion.
 
NOW, THEREFORE, in consideration of the premises and the mutual agreements herein set forth, the parties hereby agree as follows:
 
Section 1. Amendment to the Agreement.
 
(a) Section 7(a)(i) of the Agreement is hereby amended by replacing the reference to the date “July 27, 2015” with “May 5, 2015.”
 
Section 2. Amendment of Exhibits.
 
(a) The exhibits to the Agreement shall be deemed to be amended by replacing any reference to the date “July 27, 2015” with “May 5, 2015.”
 
Section 3. Governing Law.
 
This Amendment shall be deemed to be a contract made under the internal laws of the State of Delaware and for all purposes shall be governed by and construed in accordance with the laws of such state; provided however, that all provisions regarding the rights, duties, obligations and immunities of the Rights Agent shall be governed by and construed in accordance with the laws of the State of New York applicable to contracts made and to be performed entirely within such state.
 

Section 4. Severability.
 
If any term, provision, covenant or restriction of this Amendment is held by a court of competent jurisdiction or other authority to be invalid, void or unenforceable, the remainder of the terms, provisions, covenants and restrictions of this Amendment shall remain in full force and effect and shall in no way be affected, impaired or invalidated.
  
Section 5. Effect of Amendment.
 
This Amendment is effective immediately upon execution by the Company, whether or not also executed by the Rights Agent. In the event of a conflict or inconsistency between this Amendment and the Agreement and the exhibits thereto, the provisions of this Amendment will govern. Any reference to the Agreement after the date first set forth above shall be deemed to be a reference to the Rights Agreement, as amended by this Amendment.
 
Section 6. Counterparts.
 
This Amendment may be executed in any number of counterparts and each of such counterparts shall for all purposes be deemed to be an original, and all such counterparts shall together constitute but one and the same instrument.
 
[Signature Page Follows]
 
  

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

MATTSON TECHNOLOGY, INC.

By:         /s/ TYLER PURVIS
Tyler Purvis
Senior Vice President, Chief Accounting Officer and Corporate Controller
        

COMPUTERSHARE TRUST COMPANY, N.A.

By:    /s/ JOSEPH S. CAMPBELL 
Name:    Joseph S. Campbell
Title:    Vice PresidentEX-10.1

 Exhibit 10.1 
  

 
 RETENTION AWARD 
 TERMS AND CONDITIONS 
 These Retention Award Terms and Conditions describe terms and
conditions of Restricted Stock Unit Awards granted under the 2014 Omnibus Stock and Performance Incentive Plan of ConocoPhillips (referred to as the Plan) by ConocoPhillips (Company) to
             (Employee). These Terms and Conditions, together with the Award Summary given to Employee, form the Award Agreement (the Agreement) relating to the Award described.

  

	1.	Type and Size of Grant. Subject to the Plans and this Agreement, the Company grants to Employee Restricted Stock Units. The number of units will be as set
forth in the Award Summary given to Employee. The Award Summary for Employee is made a part of this Agreement. 

  

	2.	Grant Date, Price, and Plan. The Grant Date is              and the Grant Price is
$            . Awards are made under the 2014 Omnibus Stock and Performance Incentive Plan. 

 

	3.	Restrictions, Forfeiture, and Lapse of Restrictions. The Restricted Stock Units subject hereto may be canceled or forfeited as set forth herein. Except as
otherwise noted in this Agreement, the following summary table describes restrictions and terms, forfeiture, and lapse of restrictions, subject to the more detailed provisions set forth below: 

Summary Table 
  

					
	 Summary of Termination
Rules
  

	 Status
	  	 Termination

Date
	  	 Forfeiture or Lapsing of
Restrictions

			
	 Layoff
	  	 Prior to 6
 months from
 grant date
	  	Canceled upon termination
	  	 6 months from

grant date &

after
	  	Restrictions lapse on Termination date
			
	 Disability
	  	 Any date after

grant date
	  	Restrictions lapse on Termination date
			
	 Death
	  	 Any date after

grant date
	  	Restrictions lapse on Termination date
			
	 Divestitures, outsourcing, and moves to joint ventures
	  	 Any date after

grant date
	  	Canceled upon Termination, unless approval otherwise
			
	 All other Terminations, including Retirement
	  	 	  	Canceled upon Termination

  

	(a)	Restrictions and Terms. 

  

	 	(i)	 The Award shall be held in escrow by the Company until the lapsing of restrictions placed upon the Award. The Employee shall not have the right to
sell, transfer, assign, or 

  
 Page 1 of 10

 Exhibit 10.1 

 

	 	
otherwise dispose of Restricted Stock Units granted in the Award until the escrow is terminated. Except as set forth below, the Award shall be forfeited and the related Restricted Stock Units
cancelled upon the Employee’s Termination of Employment with the Company prior to the lapsing of restrictions. Restrictions shall lapse on one-third of the Restricted Stock Units granted in the Award (rounded down to the nearest whole share)
on the first anniversary of the grant date of the award; restrictions shall lapse on one-third of the Restricted Stock Units granted in the Award (rounded down to the nearest whole share) on the second anniversary of the grant date of the award and
restrictions shall lapse on the remaining Restricted Stock Units granted in the Award on the third anniversary of the grant date of the award. Upon the lapsing of restrictions, the number of shares of unrestricted Stock equal to the number of
shares of Restricted Stock Units for which the restrictions have so lapsed shall be registered in the Employee’s name, and the related shares of Restricted Stock Units shall be canceled; provided, however, that in places where it is determined
by the Administrator that payout in the form of unrestricted Stock is prohibited by law, regulation, or decree, or where the cost of legal compliance to issue the unrestricted Stock would be unreasonably expensive, the Fair Market Value of such
unrestricted Stock shall be paid in cash instead of settlement of the Award in unrestricted Stock. Cash payouts are only permitted where such legal restrictions exist. Settlement of the Award in unrestricted Stock or cash payout, if any, shall be
made when the restrictions lapse, but in any event, shall be made no later than March 15 of the year following the year in which such restrictions lapse. 

 

	 	(ii)	Restricted Stock Units do not have any voting rights or other rights generally associated with Stock, and are merely an obligation of the Company to make settlement in
accordance with the terms and conditions applicable to such Restricted Stock Units. Restricted Stock Units shall accrue a dividend equivalent at such times as an ordinary quarterly cash dividend is paid on the Stock of the Company, which dividend
equivalent shall be paid in cash to the Employee to whom the Award was made. Payment of a dividend equivalent, if any, shall be made on the first day of the third month of each calendar quarter (or, if the New York Stock Exchange is not open on such
day, the first day that the New York Stock Exchange is open thereafter), but in any event, shall be made no later than March 15 of the year following the year in which the dividend related to the dividend equivalent is paid.

  

	(b)	Termination of Employment. 

  

	 	(i)	General Rule for Termination. If, prior to the date on which restrictions lapse in accordance with the schedule set forth in the Award, the Employee’s
employment with a Participating Company shall be terminated for any reason except death, Disability, or Layoff, any Restricted Stock Units remaining in escrow pursuant to such Award shall be canceled and all rights thereunder shall cease; provided
that the Authorized Party may, in its or his sole discretion, determine that all or any portion of an Award shall not be canceled due to Termination of Employment. 

 

	 	(ii)	Layoff. If, after the date the Award is granted, the Employee’s employment with a Participating Company shall be terminated by reason of Layoff, the
Employee shall retain all rights provided by the Award at the time of such Termination of Employment. In such case, the restrictions on the Award shall lapse on the date of Termination of the Employee from the employ of the Company and its
subsidiaries, and settlement shall be made in accordance with the settlement provisions above. 

  

	 	(iii)	 Disability. If, after the date the Award is granted, the Employee shall terminate employment following Disability of the Employee, the Employee
shall retain all rights provided by the Award at the time of such Termination of Employment. In such case, the restrictions on the Award shall lapse on the date of Termination of Employment from the

  
 Page 2 of 10

 Exhibit 10.1 

 

	 	
employ of the Company and its subsidiaries, and settlement shall be made in accordance with the settlement provisions above. 

 

	 	(iv)	Death. If, after the date an Award is granted, the Employee shall die while in the employ of a Participating Company, or after Termination of Employment
by reason of Disability, or Layoff (and prior to the cancellation of the Award), the executor or administrator of the estate of the Employee or the person or persons to whom the Award shall have been validly transferred by the executor or the
administrator pursuant to will or the laws of descent and distribution shall have the right to settlement of the Award to the same extent the Employee would have, had the Employee not died. In such case, the restrictions on the Award shall lapse
upon the determination of death by the Administrator, and settlement shall be made in accordance with the settlement provisions above. No transfer of an Award, or of the unrestricted Stock or other proceeds of an Award, by the Employee by will or by
the laws of descent and distribution shall be effective to bind the Company unless the Administrator shall have been furnished with written notice thereof and a copy of the will and such other evidence as the Administrator may deem necessary to
establish the validity of the transfer and the acceptance by the transferee or transferees of the terms and conditions of such Award. 

  

	 	(v)	Transfers and Leaves. Transfer of employment between Participating Companies shall not constitute Termination of Employment for the purpose of any Award granted
under the Program. Whether any leave of absence shall constitute Termination of Employment for the purposes of any Award granted under the Program shall be determined by the Administrator, in each case in accordance with applicable law and by
application of the policies and procedures adopted by the Company in relation to such leave of absence. 

  

	 	(vi)	Divestiture, Outsourcing, or Move to Joint Venture. If, after the date the Award is granted, the Employee ceases to be employed by Participating Company as a
result of (a) the outsourcing of a function, (b) the sale or transfer of all or a portion of the equity interest of such Participating Company (removing it from the controlled group of companies of which the Company is a part),
(c) the sale of all or substantially all of the assets of such Participating Company to another employer outside of the controlled group of corporations (whether the Employee is offered employment or accepts employment with the other employer),
(d) the Termination of the Employee by a Participating Company followed by employment within a reasonable time with a company or other entity in which the Company owns, directly or indirectly, at least a 50% interest, prior to exercise of an
Award, or (e) any other sale of assets determined by the Authorized Party to be considered a divestiture under this program, the Authorized Party may, in its or his sole discretion, determine that all or a portion of any such Award shall not be
canceled. In such cases, the restrictions on the Award shall lapse on the date of Termination of the Employee from the employ of the Company and its subsidiaries, and settlement shall be made in accordance with the settlement provisions above.

  

	 	(vii)	Change of Control. Upon a Change of Control, the following shall apply to any Award: 

 

	 	(1)	Each Employee shall immediately become fully vested in such Award that is not assumed, or substituted for, by the an acquirer in connection with the Change of Control,
and such Award shall not thereafter be forfeitable for any reason, except as set forth in Section 3(c). 

  

	 	(2)	With regard to any other Award, each Employee shall become fully vested in such Award upon incurring a Severance following such Change of Control, and such Award shall
not thereafter be forfeitable for any reason, except as set forth in Section 3(c). 

  
 Page 3 of 10

 Exhibit 10.1 

 
  

	 	(3)	In the event of vesting of an Award pursuant to either Section 3(vii)(1) or Section 3(vii)(2), all restrictions and other limitations applicable to the
Restricted Stock Units shall lapse and the Restricted Stock Units shall be settled in unrestricted Stock or cash at the same times and upon the same events as it would otherwise have been made in accordance with the settlement provisions above.

  

	 	(viii)	Notwithstanding anything herein to the contrary, in the event that this Award or the dividend equivalents associated with this Award are includible in income pursuant
to section 409A of the Internal Revenue Code, settlement of the Award or any other distribution hereunder due to Separation from Service with the Company and its subsidiaries shall not be made to a “specified employee” (as that term is
defined in section 409A(a)(2)(B)(i)) prior to six months after the specified employee’s Separation from Service from the Company and its subsidiaries (or, if earlier, the date of death of the specified employee). 

 

	(c)	Detrimental Activities and Suspension of Award. 

  

	 	(i)	If the Authorized Party determines that, subsequent to the grant of any Award, the Employee has engaged or is engaging in any activity which, in the sole judgment of
the Authorized Party, is or may be detrimental to the Company or a subsidiary, the Authorized Party may cancel all or part of the Restricted Stock or Restricted Stock Units held in escrow pursuant to the Award or Awards granted to that Employee.

  

	 	(ii)	If the Authorized Party, in its or his sole discretion, determines that the lapsing of restrictions on Restricted Stock or Restricted Stock Units held in escrow
pursuant to any Award has the possibility of violating any law, regulation, or decree pertaining to the Company or Employee, the Authorized Party may freeze or suspend the Employee’s right to settlement or payout of the Award until such time as
the lapse of restrictions would no longer, in the sole discretion of the Authorized Party, have the possibility of violating such law, regulation, or decree. 

 

	4.	Assignment of Award Upon Death. Rights under the Plans and this Agreement cannot be assigned or transferred other than by (i) will or (ii) the
laws of descent and distribution. 

  

	5.	 Tax Withholding. In all cases the Employee will be responsible to pay all required withholding taxes applicable to the Award. Should a
withholding tax obligation arise with regard to the Award or the lapsing of restrictions on Restricted Stock Units granted in the Award, the withholding tax may be satisfied by withholding shares of Stock. The value of the shares of Stock withheld
for this purpose shall not exceed the minimum withholding amount required by applicable laws and regulations. In cases where a withholding tax obligation arises prior to the lapse of restrictions on Restricted Stock Units granted in the Award, the
withholding tax may be satisfied instead by payment of cash by the Employee. Payment of cash shall not be allowed unless the Employee has elected to make such payment by payroll withholding over a period of six months following the date the
obligation shall arise, which election must be made within thirty days of the Grant Date of the relevant Award. If any interest is required under local laws, regulations, or decrees to be charged on or imputed against the payroll withholding, the
Employee shall be responsible for paying such interest, which shall be withheld from pay over the same six-month period. In cases where payment by payroll withholding cannot be made due to circumstances arising after the election or where the
Administrator has determined that such withholding would violate any applicable law, regulation, or decree, shares of Stock shall be withheld instead. When necessary, lapsing of restrictions may be accelerated by the Authorized Party to the extent
necessary to provide shares of Stock to satisfy any withholding tax obligation. This withholding tax obligation includes, but is not limited to, federal, state, and local taxes, including applicable non-U.S. taxes.

  
 Page 4 of 10

 Exhibit 10.1 

 
  

	6.	Shareholder Rights for Restricted Stock Units. The Employee shall not have the rights of a shareholder until the Restricted Stock Unit has been canceled
and ownership of shares of Stock has been transferred to the Employee. As described above, the Company may pay dividend equivalents with regard to Restricted Stock Units in certain circumstances. 

 

	7.	Certain Adjustments. In the event certain corporate transactions, recapitalizations, or stock splits occur while Restricted Stock or Restricted Stock
Units are outstanding, the Grant Price and the number of shares of Restricted Stock Option Shares or Restricted Stock Units shall be correspondingly adjusted. 

 

	8.	Relationship to the Plan. In addition to the terms and conditions described in this Agreement, Awards are subject to all other applicable provisions of
the Plan. The decisions of the Committee with respect to questions arising as to the interpretation of the Plan or this Agreement and as to findings of fact shall be final, conclusive, and binding. 

 

	9.	No Employment Guarantee. No provision of this Agreement shall confer any right upon the Employee to continued employment with any Participating Company.

  

	10.	Governing Law. This Agreement shall be governed by, construed and enforced in accordance with the laws of the State of Delaware. 

 

	11.	Amendment. Without the consent of the Employee, this Agreement may be amended or supplemented (i) to cure any ambiguity or to correct or supplement
any provision herein which may be defective or inconsistent with any other provision herein, or (ii) to add to the covenants and agreements of the Company for the benefit of an Employee or to add to the rights of an Employee or to surrender any
right or power reserved to or conferred upon the Company in this Agreement, provided, in each case, that such changes or corrections shall not adversely affect the rights of the Employee with respect to the grant of an Award evidenced hereby without
the Employee’s consent, or (iii) to make such other changes as the Company, upon advice of counsel, determines are necessary or advisable because of the adoption or promulgation of, or change in or of the interpretation of, any law or
governmental rule or regulation, including any applicable federal or state securities or tax laws. 

  
 Page 5 of 10

 Exhibit 10.1 

 
 DEFINITIONS 

Capitalized terms not defined below shall have the meanings set forth in the Plan. 
 Authorized Party means the person who is authorized to approve an Award, exercise discretion or take action under the Administrative Procedure for the Restricted Stock Program and pursuant
to the Program. With regard to Senior Officers, the Committee is the Authorized Party. With regard to other Employees, the Chief Executive Officer is the Authorized Party, although the Committee may act concurrently as the Authorized Party.

 Award means the Restricted Stock Units granted to the Employee pursuant to the foregoing terms, conditions, and limitations.

 Change of Control has the meaning set forth in Attachment A to these Terms and Conditions. 

Committee means the Compensation Committee of the Board of Directors of the Company. 

Company means ConocoPhillips a Delaware corporation. 
 Disability means a disability for which the employee in question has been determined to be entitled to either (i) benefits under the applicable plan of long-term disability of the
Company or its subsidiaries or (ii) disability benefits under the Social Security Act. In the absence of any such determination, the Authorized Party may make a determination that the employee has a Disability. 

Fair Market Value means, as of a particular date, the mean between the highest and lowest sales price per share of such Stock on the
consolidated transaction reporting system for the principal national securities exchange on which shares of Stock are listed on that date, or, if there shall have been no such sale so reported on that date, on the next preceding date on which such a
sale was so reported, or, at the discretion of the Committee, the price prevailing on the exchange at a designated time. 
 Grant
Price means the Fair Market Value for one share of Stock as of the date of the grant of an Award. Grant price is not adjusted for any restrictions applicable to the Award. 
 Layoff means an applicable Termination of Employment due to layoff under the ConocoPhillips Severance Pay Plan, the ConocoPhillips Executive Severance Plan, or the ConocoPhillips Key
Employee Change in Control Severance Plan, or layoff or redundancy under any similar layoff or redundancy plan which the Company or its subsidiaries may adopt from time to time. If all or any portion of the benefits under the redundancy or layoff
plan are contingent on the employee’s signing a general release of liability, such Termination shall not be considered as a “Layoff” for purposes of this Award unless the employee executes and does not revoke a general release of
liability, acceptable to the Company, under the terms of such layoff or redundancy plan. In order to be considered a layoff for purposes of this Award, the Termination of Employment must also be considered a Separation from Service. 

Participating Company includes ConocoPhillips and its 100% owned subsidiaries, including both those directly owned and
those owned through subsidiaries, whose participation has been approved by the Authorized Party. 
 Restricted Stock Unit means a
unit equal to one share of Stock (as determined by the Authorized Party) that is subject to forfeiture provisions or that has certain restrictions attached to the ownership thereof. 
 Retirement means Termination at age 55 or older with a minimum of 5 years service with a Participating Company; provided, however, that with regard to an Employee not on the United States
payroll, the CEO may approve the use of a different definition. Service is defined by the policies of the Participating 

  
 Page 6 of 10

 Exhibit 10.1 

 
 
Company. 
 Senior Officer means the Chairman of the Board, the CEO, all
other executive officers of the Company (determined in accordance with the Company’s custom and practice pursuant to section 16(b) of the Securities Exchange Act of 1934, as amended), all other employees of the Company who report directly to
the CEO and whose salary grade is 23 or higher, and all other employees of the Company whose salary grade is 26 or higher. 
 Separation
from Service means “separation from service” as that term is used in section 409A of the Internal Revenue Code. 

Stock means shares of common stock of the Company, par value $.01. Stock may also be referred to as “Common Stock.” 

Termination and Termination of Employment each mean cessation of employment with the Participating Companies, determined in accordance with
the policies and practices of the Participating Company for whom the Employee was last performing services. 

  
 Page 7 of 10

 Exhibit 10.1 

 
 Attachment A 

Change of Control 

The following definitions apply to the Change of Control provision in Section 10 of the Plan. 

“Affiliate” shall have the meaning ascribed to such term in Rule 12b-2 of the General
Rules and Regulations under the Exchange Act, as in effect at the time of determination. 
 “Associate” shall mean,
with reference to any Person, (a) any corporation, firm, partnership, association, unincorporated organization or other entity (other than the Company or a subsidiary of the Company) of which such Person is an officer or general partner (or
officer or general partner of a general partner) or is, directly or indirectly, the Beneficial Owner of 10% or more of any class of equity securities, (b) any trust or other estate in which such Person has a substantial beneficial interest or
as to which such Person serves as trustee or in a similar fiduciary capacity and (c) any relative or spouse of such Person, or any relative of such spouse, who has the same home as such Person. 

“Beneficial Owner” shall mean, with reference to any securities, any Person if: 

(a) such Person or any of such Person’s Affiliates and Associates, directly or indirectly, is the “beneficial
owner” of (as determined pursuant to Rule 13d-3 of the General Rules and Regulations under the Exchange Act, as in effect at the time of determination) such securities or otherwise has the right to vote
or dispose of such securities; 
 (b) such Person or any of such Person’s Affiliates and Associates,
directly or indirectly, has the right or obligation to acquire such securities (whether such right or obligation is exercisable or effective immediately or only after the passage of time or the occurrence of an event) pursuant to any agreement,
arrangement or understanding (whether or not in writing) or upon the exercise of conversion rights, exchange rights, other rights, warrants or options, or otherwise; provided, however, that a Person shall not be deemed the Beneficial Owner of, or to
“beneficially own,” (i) securities tendered pursuant to a tender or exchange offer made by such Person or any of such Person’s Affiliates or Associates until such tendered securities are accepted for purchase or exchange or
(ii) securities issuable upon exercise of Exempt Rights; or 
 (c) such Person or any of such Person’s
Affiliates or Associates (i) has any agreement, arrangement or understanding (whether or not in writing) with any other Person (or any Affiliate or Associate thereof) that beneficially owns such securities for the purpose of acquiring, holding,
voting (except as set forth in the proviso to subsection (a) of this definition) or disposing of such securities or (ii) is a member of a group (as that term is used in Rule 13d-5(b) of the General
Rules and Regulations under the Exchange Act) that includes any other Person that beneficially owns such securities; 
 provided, however, that
nothing in this definition shall cause a Person engaged in business as an underwriter of securities to be the Beneficial Owner of, or to “beneficially own,” any securities acquired through such Person’s participation in good faith in
a firm commitment underwriting until the expiration of 40 days after the date of such acquisition. For purposes hereof, “voting” a 

  
 Page 8 of 10

 Exhibit 10.1 

 
 
security shall include voting, granting a proxy, consenting or making a request or demand relating to corporate action (including, without limitation, a demand for a shareholder list, to call a
shareholder meeting or to inspect corporate books and records) or otherwise giving an authorization (within the meaning of section 14(a) of the Exchange Act) in respect of such security. 

The terms “beneficially own” and “beneficially owning” shall have meanings that are correlative to this definition of
the term “Beneficial Owner.” 
 “Board” shall have the meaning set forth in the Plan. 

“Change of Control” shall mean any of the following occurring on or after January 1, 2015: 

(a) any Person (other than an Exempt Person) shall become the Beneficial Owner of 20% or more of the shares of Common
Stock then outstanding or 20% or more of the combined voting power of the Voting Stock of the Company then outstanding; provided, however, that no Change of Control shall be deemed to occur for purposes of this subsection (a) if such Person
shall become a Beneficial Owner of 20% or more of the shares of Common Stock then outstanding or 20% or more of the combined voting power of the Voting Stock of the Company then outstanding solely as a result of (i) any acquisition directly
from the Company or (ii) any acquisition by a Person pursuant to a transaction that complies with clauses (i), (ii), and (iii) of subsection (c) of this definition; 

(b) individuals who, as of January 1, 2015, constitute the Board (the “Incumbent Board”) cease for any
reason to constitute at least a majority of the Board; provided, however, that any individual becoming a director subsequent to January 1, 2015 whose election, or nomination for election by the Company’s shareholders, was approved by a
vote of at least a majority of the directors then comprising the Incumbent Board shall be considered as though such individual were a member of the Incumbent Board; provided, further, that there shall be excluded, for this purpose, any such
individual whose initial assumption of office occurs as a result of any actual or threatened election contest with respect to the election or removal of directors or other actual or threatened solicitation of proxies or consents by or on behalf of a
Person other than the Board; 
 (c) the Company shall consummate a reorganization, merger, statutory share
exchange, consolidation, or similar transaction involving the Company or any of its subsidiaries or sale or other disposition of all or substantially all of the assets of the Company, or the acquisition of assets or securities of another entity by
the Company or any of its subsidiaries (a “Business Combination”), in each case, unless, following such Business Combination, (i) 50% or more of the then outstanding shares of common stock of the corporation, or common equity
securities of an entity other than a corporation, resulting from such Business Combination and the combined voting power of the then outstanding Voting Stock of such corporation or other entity are beneficially owned, directly or indirectly, by all
or substantially all of the Persons who were the Beneficial Owners of the outstanding Common Stock immediately prior to such Business Combination in substantially the same proportions as their ownership, immediately prior to such Business
Combination, of the outstanding Common Stock, (ii) no Person 

  
 Page 9 of 10

 Exhibit 10.1 

 
 
(excluding any Exempt Person or any Person beneficially owning, immediately prior to such Business Combination, directly or indirectly, 20% or more of the Common Stock then outstanding or 20% or
more of the combined voting power of the Voting Stock of the Company then outstanding) beneficially owns, directly or indirectly, 20% or more of the then outstanding shares of common stock of the corporation, or common equity securities of an entity
other than a corporation, resulting from such Business Combination or the combined voting power of the then outstanding Voting Stock of such corporation or other entity, and (iii) at least a majority of the members of the board of directors of
the corporation, or the body which is most analogous to the board of directors of a corporation if not a corporation, resulting from such Business Combination were members of the Incumbent Board at the time of the initial agreement or initial action
by the Board providing for such Business Combination; or 
 (d) the shareholders of the Company shall approve a
complete liquidation or dissolution of the Company unless such liquidation or dissolution is approved as part of a transaction that complies with clauses (i), (ii), and (iii) of subsection (c) of this definition. 

“Common Stock” shall have the meaning set forth in the Plan. 

“Company” shall have the meaning set forth in the Plan. 

“Exchange Act” shall mean the Securities Exchange Act of 1934, as amended. 

“Exempt Person” shall mean any of the Company, any entity controlled by the Company, any employee benefit plan (or related
trust) sponsored or maintained by the Company or any entity controlled by the Company, and any Person organized, appointed, or established by the Company for or pursuant to the terms of any such employee benefit plan. 

“Exempt Rights” shall mean any rights to purchase shares of Common Stock or other Voting Stock of the Company if at the time of
the issuance thereof such rights are not separable from such Common Stock or other Voting Stock (i.e., are not transferable otherwise than in connection with a transfer of the underlying Common Stock or other Voting Stock), except upon the
occurrence of a contingency, whether such rights exist as of January 1, 2015 or are thereafter issued by the Company as a dividend on shares of Common Stock or other Voting Securities or otherwise. 

“Person” shall mean any individual, firm, corporation, partnership, association, trust, unincorporated organization, or other
entity. 
 “Voting Stock” shall mean, (1) with respect to a corporation, all securities of such corporation of
any class or series that are entitled to vote generally in the election of, or to appoint by contract, directors of such corporation (excluding any class or series that would be entitled so to vote by reason of the occurrence of any contingency, so
long as such contingency has not occurred) and (ii) with respect to an entity which is not a corporation, all securities of any class or series that are entitled to vote generally in the election of, or to appoint by contract, members of the
body which is most analogous to the board of directors of a corporation. 

  
 Page 10 of 10

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00244-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00244-of-00352.parquet"}], [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00244-of-00352.parquet"}]]