Document:

Exhibit 10.1

 

THIRD AMENDMENT TO
CREDIT AGREEMENT

THIS AMENDMENT TO
CREDIT AGREEMENT (this “Amendment”) is entered into as of September 29, 2006,
by and between INTERNATIONAL HOUSE OF PANCAKES, INC., a Delaware corporation (“Borrower”),
and WELLS FARGO BANK, NATIONAL ASSOCIATION (“Bank”).

RECITALS

WHEREAS, Borrower
is currently indebted to Bank pursuant to the terms and conditions of that
certain Credit Agreement between Borrower and Bank dated as of June 28, 2001,
as amended from time to time (“Credit Agreement”);

WHEREAS, Bank and
Borrower have agreed to certain changes in the terms and conditions set forth
in the Credit Agreement and have agreed to amend the Credit Agreement to
reflect said changes;

NOW, THEREFORE,
for valuable consideration, the receipt and sufficiency of which are hereby
acknowledged, the parties hereto agree that the Credit Agreement shall be
amended as follows:

1.    The definition of “Line of Credit Maturity
Date” in Section 1.1 is hereby amended and restated in its entirety to
read as follows:

“Line of Credit
Maturity Date” means September 28, 2007, or such later date as may then be
in effect pursuant to Section 2.1(d).

2.    Section 2.1(b) is hereby amended by deleting
the reference therein to “ninety (90) days beyond Line of Credit Maturity Date”
as the latest date on which a Letter of Credit may expire, and by substituting
in its place “one hundred twenty (120) days beyond the Line of Credit Maturity
Date.”

3.    Section 6.3 is hereby amended by deleting
the reference therein to “0.45 to 1.00” and by substituting in its place “ 0.50
to 1.00”.

4.    Section 6.6 is hereby deleted in its
entirety, without substitution therefor.

5.    Except as specifically provided herein, all
terms and conditions of the Credit Agreement remain in full force and effect,
without waiver or modification.  All
terms defined in the Credit Agreement shall have the same meaning when used in
this Amendment.  This Amendment and the
Credit Agreement shall be read together, as one document.

6.    The effectiveness of this Amendment shall be conditioned upon
receipt by Bank of an original counterpart of this Amendment executed by
Borrower, together with such other documents as Bank may reasonably require in
connection with this Amendment and the transactions described herein.

 1
 

 

7.    Borrower hereby remakes all representations
and warranties contained in the Credit Agreement and reaffirms all covenants
set forth therein.  Borrower further
certifies that as of the date of this Amendment there exists no Event of
Default as defined in the Credit Agreement, nor any condition, act or event
which with the giving of notice or the passage of time or both would constitute
any such Event of Default.

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

	
  INTERNATIONAL HOUSE

  	
  WELLS FARGO BANK,

  
	
  OF PANCAKES, INC.

  	
  NATIONAL ASSOCIATION

  
	
   

  	
   

  
	
  By:

  	
  /s/ Julia A. Stewart

  	
   

  	
  By:

  	
  /s/ John N. Cate

  	
   

  
	
   

  	
  Julia A. Stewart

  	
   

  	
  John N. Cate

  
	
   

  	
  President and CEO

  	
   

  	
  Vice President

  
						

 

 2Exhibit 10.2

LICENSE AGREEMENT

THIS LICENSE AGREEMENT (“Agreement”) is dated
as of September 29, 2006 (“Effective Date”), by and between Catalytica
Energy Systems, Inc., a Delaware corporation (“CESI”), and Kawasaki
Heavy Industries, Ltd., a Japanese corporation (“Kawasaki”).

WHEREAS, CESI and Kawasaki have entered into that
certain Asset Purchase Agreement dated simultaneously herewith (“Asset
Purchase Agreement”);

WHEREAS, CESI has developed expertise and technology
of a catalytic combustion system that incorporates catalytic modules that are
utilized to oxidize hydrocarbon fuels in the combustion system of gas turbines;

WHEREAS, Kawasaki desires to obtain from CESI certain
patents and technical materials associated with such CESI catalytic combustion
system that are necessary or useful in the manufacturing, operation,
distribution, sales, and support of such catalytic combustion systems for Small
Gas Turbines; and

WHEREAS, CESI desires to grant a license of such
patents and technical materials to Kawasaki.

NOW, THEREFORE, in consideration of the covenants
contained herein and other good and valuable consideration, the receipt and
sufficiency of which is hereby acknowledged, the parties agree as follows:

1.                                       Definitions. Capitalized terms not otherwise
defined herein shall have the meanings specified in the Asset Purchase
Agreement.

1.1.                              “Affiliate”
shall have the meaning set forth in the Asset Purchase Agreement.

1.2.                              “Assigned
Patents” shall have the meaning set forth in the Asset Purchase Agreement.

1.3.                              “Patents”
means patents (including utility models, as well as divisions, reissues,
continuations, continuations-in-part, renewals and extensions of any of the
foregoing) and provisional and regular applications therefor, and patents which
may be issued on such applications.

1.4.                              “SGT
Catalytic Module” means a catalytic container module designed for use
solely with Small Gas Turbines to reduce the nitrous oxide emissions of such
Small Gas Turbines.

1.5.                              “Small
Gas Turbines” shall have the meaning set forth in the Asset Purchase
Agreement and shall include the term “SGT.”

1.6.                              “Technical
Information” means all technical information, know-how, trade secrets,
manufacturing techniques, software and other copyrightable works, engineering

 1
 

 

and other data, drawings,
material and process specifications (whether patented or unpatented, whether in
written, printed, oral or other form) that are required or reasonably necessary
for Kawasaki to continue the manufacturing of SGT Catalytic Modules from and
after the Closing Date.

2.                                       License.

2.1.                              Multi-Use
Patents. The parties acknowledge that the patents listed in Exhibit A (“Multi-Use
Patents” or “Licensed Patents”) are applicable to both Small Gas
Turbines and to other products and technologies, including, without limitation,
gas turbines that are not Small Gas Turbines. Kawasaki may request in writing
from time to time that CESI identify which Multi-Use Patents, if any, that it
has decided to abandon, and CESI shall respond in writing to such requests.
Subject to the terms and conditions of this Agreement, with respect to any
Multi-Use Patents that CESI indicates in any such response that it has decided
to abandon (“Abandoned Multi-Use Patents”), CESI shall, upon Kawasaki’s
written request, and without additional consideration, assign such Abandoned
Multi-Use Patents to Kawasaki. Notwithstanding anything to the contrary, the
obligations of CESI under this Section 2.1 (a) shall not apply to any third
parties, including, without limitation, any successors or assigns of CESI or any
acquirers or other assignees of any Multi-Use Patents, and (b) shall terminate
with respect to any Multi-Use Patent upon the acquisition or other transfer of
such Multi-Use Patent (including, without limitation, as a result of a
voluntary assignment of such Multi-Use Patent to a third party, an acquisition
by a third party of CESI assets that include such Multi-Use Patent, or a merger
involving CESI).

2.2.                              Licenses.

(a)                                  Patents. 
Subject to the terms and conditions of this Agreement, CESI hereby
grants to Kawasaki a perpetual, fully paid-up, royalty-free, worldwide,
irrevocable license, under the Multi-Use Patents, to make, have made, test,
use, sell, offer to sell, import, export, distribute, market, promote,
sublicense, create improvements, and commercially exploit SGT Catalytic
Modules.

(b)                                 Technical Materials. Subject to the terms and
conditions of this Agreement, CESI hereby grants to Kawasaki a perpetual, fully
paid-up, royalty-free, worldwide, irrevocable license to:

(i)                                     use, modify, create derivative works
of, and reproduce the technical materials listed in Exhibit B (“New
Technical Materials”), Technical Information associated with the Multi-Use
Patents (the “Multi-Use Technical Information”), and the Technical
Information and Xonon Control Algorithms (as such terms are defined in the
TDTA) owned by CESI and previously delivered by CESI to Kawasaki pursuant to
the TDTA (the New Technical Materials, Multi-Use Technical Information, and
such Technical Information and Xonon Control Algorithms, collectively, “Licensed
Technical Materials”) as reasonably necessary to design, develop,
manufacture, have made, test, use, sell, offer to sell, import, export,
distribute, market, promote, sublicense, create improvements, and commercially
exploit SGT Catalytic Modules;

 2
 

 

(ii)                                  distribute
the Licensed Technical Materials to Kawasaki’s Affiliates, and sublicense to
such Affiliates the rights granted in subsection (i) above;

(iii)                               distribute the Licensed Technical
Materials to contractors and consultants of Kawasaki and its Affiliates
(collectively, “Kawasaki Contractors”), and sublicense to such
contractors and consultants the rights granted in subsection (i) above solely
on behalf of Kawasaki and its Affiliates; and

(iv)                              distribute the Licensed Technical
Materials to customers and potential customers of SGT Catalytic Modules and
associated Small Gas Turbines (collectively, “Kawasaki Customers”) as
Kawasaki reasonably deems appropriate in the Small Gas Turbine market, and
sublicense to such customers and potential customers the right to use such
Licensed Technical Materials in the offering for sale, sale, service and repair
of SGT Catalytic Modules and associated Small Gas Turbines.

CESI shall use commercially reasonable efforts to
deliver the New Technical Materials to Kawasaki in both hardcopy and in
electronic form.

(c)                                  Authorized Users. Kawasaki shall be responsible for
compliance by its Affiliates, Kawasaki Contractors and Kawasaki Customers
(collectively, “Authorized Users”) with the terms and conditions of
Sections 2.2 and 2.3 of this Agreement to the same extent as Kawasaki itself,
and any act or omission of any Authorized User shall constitute an act or
omission of Kawasaki. Kawasaki and the Authorized Users shall not use or
disclose any Licensed Technical Information except as permitted in Section 2.2.

(d)                                 Exclusivity. CESI agrees that Kawasaki’s
licenses as to the Licensed Patents and Licensed Technical Materials under
Sections 2.2(a) and 2.2(b) shall be EXCLUSIVE
to Kawasaki as to SGT Catalytic Modules. CESI agrees that as of the Effective
Date, CESI shall have no right to manufacture, make, have made, license,
sublicense, distribute, or otherwise commercially exploit the Licensed
Technical Materials in connection with any SGT Catalytic Modules without the
prior written consent of Kawasaki.

(e)                                  Marking; Requests for Disclosure. 
Kawasaki shall (and shall cause its Affiliates and Kawasaki Contractors
to) mark substantially permanently and legibly, and shall require the permanent
and legible marking of, all SGT Catalytic Modules and related documentation
with such patent notice as may be required under Title 35, United States Code
or other applicable rules or regulations in foreign jurisdictions.  With respect to the Licensed Patents,
Kawasaki shall respond to any request for disclosure under 35 U.S.C.
§ 287(b)(4)(B) only by notifying CESI of the request for disclosure.

2.3.                              Sublicense Limitations. If Kawasaki grants any sublicense to the
Licensed Patents or the Licensed Technical Materials: (A) Kawasaki shall
be responsible for compliance by the sublicensee with the terms and conditions
of Sections 2.2 and 2.3 of this Agreement to the same extent as Kawasaki
itself, (B) any act or omission of a sublicensee shall constitute an act
or omission of Kawasaki, and (C) each sublicensee shall agree in writing that
it is subject to the terms and conditions of Sections 2.2 and 2.3 of this
Agreement (without the right to further sublicense), and that CESI shall be
third party beneficiary of each such sublicense as necessary

 3
 

 

to enforce its rights in
the Licensed Patents and Licensed Technical Materials. Notwithstanding
subsection (C) to the contrary, Kawasaki shall have the right to include in its
specifications sheets, product data sheets, support manuals and other
marketing, sales and support materials for SGT Catalytic Modules any Licensed
Technical Materials that are customarily included in such materials, without
entering into any writing with the recipients of such materials.

2.4.                              No
Implied Rights. Each party hereby retains all rights not expressly granted
by this Agreement.  Each party hereby
disclaims any and all implied licenses, rights and obligations, including any
licenses, rights or obligations that may be deemed granted by this Agreement or
the activities of the parties hereunder.

3.                                       Xonon Trademark.

3.1.                              License.
During the term of this Agreement, subject to the terms and conditions of this
Agreement, CESI hereby grants to Kawasaki the EXCLUSIVE
right to use the marks listed in Exhibit C (the “CESI Trademarks”) on and
in relation to its sale of the SGT Catalytic Modules.  Kawasaki shall have the right to sublicense
the foregoing right to its Affiliates and contractors; provided that (a)
Kawasaki shall be responsible for compliance by its sublicensees with the terms
and conditions of Section 3 of this Agreement to the same extent as Kawasaki
itself, (b) any act or omission of any sublicensee shall constitute an act
or omission of Kawasaki, and (c) each sublicensee shall agree in writing
that it is subject to the terms and conditions of Section 3 of this Agreement
and that CESI shall have a right of action against the sublicensee as necessary
to enforce the terms and conditions of this Section 3.  Nothing in this Agreement requires Kawasaki
to use any CESI Trademarks.

3.2.                              Quality
Control.

(a)                                  Kawasaki shall ensure that all use
of the CESI Trademarks shall be in accordance with the reasonable instructions
and guidelines of CESI as provided to Kawasaki from time to time.

(b)                                 All SGT Catalytic Modules that are
marked using a CESI Trademark and are manufactured by Kawasaki or any of its
sublicensees (“Marked Modules”) shall be of such quality as will, in CESI’s
reasonable judgment, protect and enhance the goodwill, image and reputation
adhering to the CESI Trademarks. Kawasaki shall cooperate reasonably with CESI
in enabling CESI to ascertain that the Marked Modules meet CESI’s quality
standards.  Such cooperation shall
include, without limitation, upon CESI’s written request, providing CESI with
communications from third parties regarding the quality of the Marked Modules,
and upon at least ten (10) days prior written notice, providing CESI with
access to the Marked Module packaging and distribution facilities during normal
business hours for reasonable inspection by CESI.

(c)                                  From time to time and upon CESI’s
written request, Kawasaki shall submit to CESI samples of all materials bearing
any CESI Trademark, including, without limitation, any advertising, packaging
and other publicly disseminated materials. If CESI discovers any improper use
of any CESI Trademark on any such submission and delivers a

 4
 

 

writing describing in
detail the improper use to Kawasaki, Kawasaki shall promptly remedy the
improper use.

3.3.                              Protection
of Mark.

(a)                                  Kawasaki shall conduct its business
associated with Marked Modules in a manner that will reflect positively on the
CESI Trademarks.

(b)                                 Kawasaki shall use the CESI
Trademarks in a manner that does not derogate CESI’s rights in the CESI
Trademarks or the value of the CESI Trademarks, and shall take no action that
would interfere with, diminish or tarnish those rights or value.

(c)                                  On each product, document,
advertisement or other material on which Kawasaki uses a CESI Trademark,
Kawasaki shall mark the first prominent use of the CESI Trademark with a “TM” or
“®” trademark legend, as applicable, and include a trademark notice in a form
reading, “[CESI Trademark] is a trademark
of Catalytica Energy Systems, Incorporated” at least once on such document,
advertisement or other material.

(d)                                 Kawasaki shall not use as its own
any service mark, service name, trade name or trademark confusingly similar to
any CESI Trademark.

(e)                                  Kawasaki shall reasonably cooperate
with CESI’s preparation and filing of any applications, renewals or other
documentation necessary or useful to protect CESI’s intellectual property
rights in the CESI Trademarks. Kawasaki shall not register any CESI Trademark
without CESI’s express prior written consent, and CESI shall retain the
exclusive right to apply for and obtain registrations for the CESI Trademarks
throughout the world.

(f)                                    Kawasaki shall notify CESI promptly
of any actual or threatened infringements, imitations or unauthorized uses of
any CESI Trademark of which Kawasaki becomes aware.

(g)                                 Kawasaki shall not challenge the
validity of any CESI Trademark, CESI’s ownership of any CESI Trademark, or the
enforceability of CESI’s rights therein.

3.4.                              License
Termination. CESI may terminate the license granted to Kawasaki in Section
3.1, and all sublicenses granted thereunder, upon any breach of Section 3 by
Kawasaki or any of its sublicensees if such breach is not cured within thirty
(30) days of CESI notifying Kawasaki of such breach.

3.5.                              Reservation
of Rights. All rights of CESI in and to the CESI Trademarks not expressly
granted under Section 3.1 are reserved by CESI. Kawasaki shall not, and
shall have no right to, reproduce or use (or authorize the reproduction or use
of) any CESI Trademark in any manner whatsoever other than as expressly
authorized by Section 3.1.  All use of
the CESI Trademarks by Kawasaki and its sublicensees, and all goodwill
associated with such use, shall inure to the benefit of CESI.

 5
 

 

4.                                       Training.
In consideration of the Training Fee (defined below), CESI agrees to provide
the training services described on Exhibit D to Kawasaki, its Affiliates, and
its and their subcontractors or sublicensees (including, without limitation,
Tanaka Kikinzoku Kogyo K.K.).

5.                                       Purchase Price. As consideration of the
assignment, license, and training described in this Agreement, Kawasaki agrees
to pay CESI, as part of the Purchase Price provided under the Asset Purchase
Agreement, a one time payment as allocated in the Asset Purchase Agreement.

6.                                       Disclaimer of Warranties. The Asset Purchase Agreement sets
forth all of the representations and warranties made by the parties in
connection with this Agreement. Except as otherwise set forth in the Asset
Purchase Agreement, neither party makes any representations or warranties in
connection with the Assigned Patents, Multi-Use Patents, Licensed Technical
Materials or any other aspects of this Agreement, whether express or implied,
including, without limitation, any implied warranties of merchantability,
fitness for a particular purpose, title or non-infringement, or any warranties
that may arise from course of performance, course of dealing or usage of trade.

7.                                       Limitation of Liability.

7.1.                              NOTWITHSTANDING
ANYTHING HEREIN TO THE CONTRARY, EXCEPT FOR LIABILITY FOR INFRINGEMENT,
MISAPPROPRIATION OR OTHER UNAUTHORIZED USE OF THE OTHER PARTY’S INTELLECTUAL
PROPERTY, NEITHER PARTY SHALL HAVE ANY LIABILITY WHATSOEVER FOR ANY INCIDENTAL,
INDIRECT, CONSEQUENTIAL, PUNITIVE, OR SPECIAL DAMAGES OF ANY KIND, OR ANY LOSS
OF REVENUE OR PROFITS, LOSS OF BUSINESS, OR LOSS OF DATA, ARISING OUT OF OR
RELATED TO THIS AGREEMENT OR THE SUBJECT MATTER HEREOF, HOWEVER CAUSED AND
REGARDLESS OF THE THEORY OF LIABILITY (INCLUDING CONTRACT, TORT, OR OTHERWISE),
EVEN IF INFORMED IN ADVANCE OF THE POSSIBILITY OF SUCH DAMAGES.

7.2.                              Each
party’s liability arising out of or in connection with this Agreement shall be
subject to the limits set forth in Section 8.5 of the Asset Purchase Agreement.

8.                                       Confidentiality. 
The terms and conditions of Section 6.6 and 6.13 of the Asset Purchase
Agreement shall apply to this Agreement and the terms and conditions hereof.

9.                                       Waiver. 
The waiver by either party of a breach of any provision of this
Agreement by the other party will operate or be construed as a waiver of any
other or subsequent breach by the other party. 
No failure or delay by either party in exercising any right, remedy,
power or privilege hereunder, nor any single or partial exercise thereof, shall
operate as a waiver of any right, remedy, power or privilege hereunder.

10.                                 Severability. 
If any part of this Agreement is found invalid or unenforceable, that
part will be amended to achieve as nearly as possible the same economic effect
as the original provision and the remainder of this Agreement will remain in
full force.

 6
 

 

11.                                 Governing
Law.  This Agreement, and all the rights
and duties of the parties arising out of, in connection with, or relating in
any way to the subject matter of this Agreement or the transactions
contemplated by it, shall be governed by, construed, and enforced in accordance
with the laws of the State of California (excluding its conflict of laws rules
which would refer to and apply the substantive laws of another
jurisdiction).  Any suit or proceeding
hereunder shall be brought exclusively in the United States District Court for
the Northern District of California and state courts located in Santa Clara
County, California. Each party consents to the personal jurisdiction of such
courts and waives any objection that such courts are an inconvenient forum.

12.                                 Injunctive Relief. Each party acknowledges that a
breach of its obligations under this Agreement would cause the other party
irreparable damage. Accordingly, each party agrees that in the event of such
breach or threatened breach by the other party, in addition to remedies at law,
the non-breaching party shall have the right to injunctive or other equitable
relief to prevent violations by the breaching party of the terms and conditions
of this Agreement, without the necessity of posting bond or other security.

13.                                 Assignment. Neither party shall, or shall have
the right to, assign, delegate or otherwise transfer (whether voluntarily, by
operation of law, or otherwise) this Agreement, or any of its rights or
obligations hereunder, without the prior written consent of the other party,
which consent shall not be unreasonably withheld or delayed.  Any purported assignment, delegation or other
transfer made in contravention of this Section shall be null and void for all
purposes. Notwithstanding the foregoing, (a) either party may assign this
Agreement to any Affiliate or third party that acquires all or substantially
all of such party’s assets, (b) CESI may assign this Agreement to any Affiliate
or third party that acquires all or substantially all of the intellectual
property rights licensed to Kawasaki under this Agreement, and (c) Kawasaki may
assign this Agreement to any Affiliate, or third party that acquires all or
substantially all of its Small Gas Turbine business and assets.

14.                                 Entire Agreement. 
This Agreement, together with the Asset Purchase Agreement, including
all Exhibits to any of the foregoing, constitutes the entire agreement between
the parties relating to this subject matter and supersedes all prior or
simultaneous representations, discussions, negotiations, and agreements,
whether written or oral.  This Agreement
may be amended or modified only with the written consent of both Kawasaki and
CESI.  No oral waiver, amendment or
modification will be effective under any circumstances whatsoever.

 7
 

 

In WITNESS
WHEREOF, the parties hereto have caused this Agreement to be signed by their
respective duly authorized representatives.

 

 

	
  Kawasaki:

  	
   

  	
  CESI:

  
	
   

  	
   

  	
   

  
	
  Kawasaki Heavy
  Industries, Ltd.

  	
   

  	
  Catalytica Energy Systems, Incorporated

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  By:

  	
  /s/ K. Daikoku

  	
   

  	
   

  	
  By:

  	
  /s/Rob Zack

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Name:

  	
  K. Daikoku

  	
   

  	
   

  	
  Name:

  	
  Rob Zack

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Title:

  	
    Deputy General Manager of Gas

  	
   

  	
   

  	
  Title:

  	
  CEO

  	
   

  
	
  Turbine Division

  	
   

  	
   

  	
   

  	
   

  	
   

  
												

 8

 

EXHIBIT A

MULTI-USE PATENTS

	
  TITLE

  	
   

  	
  COUNTRY

  	
   

  	
  PATENT, APPLICATION,

  OR PUBLICATION

  NUMBER

  
	
  Graded Palladium Containing Partial Combustion
  Catalyst and a Process for Using It

  	
   

  	
  US

  	
   

  	
  5,248,251

  
	
  Graded Palladium Containing Partial Combustion
  Catalyst

  	
   

  	
  US

  	
   

  	
  5,258,349

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  CA

  	
   

  	
  2,096,950

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  CH

  	
   

  	
  EP0559808

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  DE

  	
   

  	
  EP0559808

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  ES

  	
   

  	
  EP0559808

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  FR

  	
   

  	
  EP0559808

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  GB

  	
   

  	
  EP0559808

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  IT

  	
   

  	
  EP0559808

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  KR

  	
   

  	
  234887

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  NL

  	
   

  	
  EP0559808

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  RU

  	
   

  	
  2065766

  
	
  (*) Catalyst Structure Having Integral Heat Exchange

  	
   

  	
  US

  	
   

  	
  5,250,489

  
	
  Palladium Partial Combustion Catalysts and a Process
  for Using Them

  	
   

  	
  DE

  	
   

  	
  EP0559844

  
	
  Palladium Partial Combustion Catalysts and a Process
  for Using Them

  	
   

  	
  FR

  	
   

  	
  EP0559844

  
	
  Palladium Partial Combustion Catalysts and a Process
  for Using Them

  	
   

  	
  GB

  	
   

  	
  EP0559844

  
	
  Palladium Partial Combustion Catalysts and a Process
  for Using Them

  	
   

  	
  IT

  	
   

  	
  EP0559844

  
	
  (*) Palladium Partial Combustion Catalysts and a
  Process for Using Them

  	
   

  	
  JP

  	
   

  	
  3191013

  

 

 A-1
 

 

 

	
  TITLE

  	
   

  	
  COUNTRY

  	
   

  	
  PATENT, APPLICATION,

  OR PUBLICATION

  NUMBER

  
	
  Palladium Partial Combustion Catalysts and a Process
  for Using Them

  	
   

  	
  KR

  	
   

  	
  261782

  
	
  Partial Combustion Process and a Structure for Use
  in the Process

  	
   

  	
  US

  	
   

  	
  5,326,253

  
	
  Partial Combustion Process and a Structure for Use
  in the Process

  	
   

  	
  US

  	
   

  	
  5,511,972

  
	
  (*) Partial Combustion of Palladium on a Zirconia
  Support and a Process for Using it

  	
   

  	
  US

  	
   

  	
  5,259,754

  
	
  (*) Partial Combustion of Palladium on a Zirconia
  Support and a Process for Using it

  	
   

  	
  US

  	
   

  	
  5,405,260

  
	
  Improved Process and Catalyst Structure Employing
  Integral Heat Exchange With Optional Downstream Flameholder

  	
   

  	
  DE

  	
   

  	
  EP0745180

  
	
  Improved Catalyst Structure Employing Integral Heat
  Exchange

  	
   

  	
  DE

  	
   

  	
  EP0746674

  
	
  Improved Process and Catalyst Structure Employing
  Integral Heat Exchange With Optional Downstream Flameholder

  	
   

  	
  FR

  	
   

  	
  EP0745180

  
	
  Improved Catalyst Structure Employing Integral Heat
  Exchange

  	
   

  	
  FR

  	
   

  	
  EP0746674

  
	
  Improved Process and Catalyst Structure Employing
  Integral Heat Exchange With Optional Downstream Flameholder

  	
   

  	
  GB

  	
   

  	
  EP0745180

  
	
  Improved Catalyst Structure Employing Integral Heat
  Exchange

  	
   

  	
  GB

  	
   

  	
  EP0746674

  
	
  Improved Process and Catalyst Structure Employing
  Integral Heat Exchange With Optional Downstream Flameholder

  	
   

  	
  IT

  	
   

  	
  EP0745180

  
	
  Improved Catalyst Structure Employing Integral Heat
  Exchange

  	
   

  	
  IT

  	
   

  	
  EP0746674

  
	
  (*) Improved Catalyst Structure Employing Integral
  Heat Exchange

  	
   

  	
  JP

  	
   

  	
  3705298

  
	
  (*) Improved Catalyst Structure Employing Integral
  Heat Exchange

  	
   

  	
  JP

  	
   

  	
  3705299

  
	
  Improved Catalyst Structure Employing Integral Heat
  Exchange

  	
   

  	
  KR

  	
   

  	
  373887

  
	
  Improved Catalyst Structure Employing Integral Heat
  Exchange

  	
   

  	
  SE

  	
   

  	
  EP0746674

  
	
  Improved Catalyst Structure Employing Integral Heat
  Exchange

  	
   

  	
  TW

  	
   

  	
  295551

  

 

 A-2
 

 

 

	
  TITLE

  	
   

  	
  COUNTRY

  	
   

  	
  PATENT, APPLICATION,

  OR PUBLICATION

  NUMBER

  
	
  (*) Process and Catalyst Structure for Employing
  Integral Heat Exchange with Optional Downstream Flameholder

  	
   

  	
  US

  	
   

  	
  5,512,250

  
	
  Process and Catalyst Structure for Employing
  Integral Heat Exchange with Optional Downstream Flameholder

  	
   

  	
  US

  	
   

  	
  5,518,697

  
	
  (**) Support Structure for a Catalyst

  	
   

  	
  US

  	
   

  	
  6,116,014

  
	
  Mixed Oxide Solid Solutions

  	
   

  	
  US

  	
   

  	
  6,521,566

  

 A-3

 

EXHIBIT B

NEW TECHNICAL MATERIALS

	
  Media

  	
   

  	
  Rev

  	
   

  	
  Title

  
	
  MaterialSpec-001

  	
   

  	
  C

  	
   

  	
  Kawasaki River Lite 20-5USR Foil (BM-012)
  Specification

  
	
  MaterialSpec-002

  	
   

  	
  B

  	
   

  	
  RC-100P Zirconium Oxide Powder (BM-005)
  Specification

  
	
  MaterialSpec-003

  	
   

  	
  B

  	
   

  	
  Pt Diammine Nitrate Solution (BM-001) Specification

  
	
  MaterialSpec-004

  	
   

  	
  B

  	
   

  	
  Pd Dissolved in Nitrate Acid (BM-002) Specification

  
	
  MaterialSpec-005

  	
   

  	
  C

  	
   

  	
  Al Coated Haynes 214 Foil (BM-013) Specification

  
	
  MaterialSpec-006

  	
   

  	
  B

  	
   

  	
  Haynes 214 2B #3 Edge Foil (BM-014) Specification

  
	
  MaterialSpec-007

  	
   

  	
  new

  	
   

  	
  Tetraethyl Orthosilicate (BM-006) Specification

  
	
  MaterialSpec-008

  	
   

  	
  new

  	
   

  	
  Nitric Acid (BM-007) Specification

  
	
  MaterialSpec-010

  	
   

  	
  new

  	
   

  	
  Sulfuric Acid (BM-009) Specification

  
	
  MaterialSpec-011

  	
   

  	
  new

  	
   

  	
  0.25N Sulfuric Acid (BM-011) Specification

  
	
  MaterialSpec-012

  	
   

  	
  B

  	
   

  	
  Zirconium Oxide, grade DK-2 (BM-019) Specification

  
	
  MaterialSpec-013

  	
   

  	
  B

  	
   

  	
  Zirconium Acetate (BM-003) Specification

  
	
  MaterialSpec-017

  	
   

  	
  new

  	
   

  	
  Lattice Specification

  
	
  Mfg-001

  	
   

  	
  C

  	
   

  	
  Corrugation Machine Operating Procedure

  
	
  Mfg-002

  	
   

  	
  B

  	
   

  	
  Foil Cleaning Procedure

  
	
  Mfg-003

  	
   

  	
  F

  	
   

  	
  Operation Procedure for Furnace #2

  
	
  Mfg-004

  	
   

  	
  B

  	
   

  	
  Coating Line 1 Operating Procedure

  
	
  Mfg-005

  	
   

  	
  B

  	
   

  	
  Rolling Machine Operation Procedure

  
	
  Mfg-006

  	
   

  	
  new

  	
   

  	
  Spot Welding Procedure

  
	
  Mfg-008

  	
   

  	
  E

  	
   

  	
  Operation Procedure for Furnace #1

  
	
  Mfg-010

  	
   

  	
  A

  	
   

  	
  Zirconia Sol Production Procedure

  
	
  Mfg-011

  	
   

  	
  C

  	
   

  	
  Prepared Sol Procedure

  
	
  Mfg-012

  	
   

  	
  A

  	
   

  	
  Mixed Metals Preparation Procedure

  
	
  Mfg-018

  	
   

  	
  new

  	
   

  	
  PIFT Powder Procedure

  
	
  Mfg-019

  	
   

  	
  new

  	
   

  	
  PIFT Base Sol Production Procedure

  
	
  Mfg-022

  	
   

  	
  new

  	
   

  	
  Coating Line Operating Procedure

  
	
  Quality-001

  	
   

  	
  B

  	
   

  	
  Process and Manufactured Materials Acceptance
  Criteria

  
	
  ATP-001

  	
   

  	
  A

  	
   

  	
  Kawasaki M1A-13X Acceptance Test Procedure

  
	
  PartSpec-0001

  	
   

  	
  A

  	
   

  	
  Thermally Free Axial (TFA) Support Part Spec

  
	
  PartSpec-0004

  	
   

  	
  B

  	
   

  	
  Kawasaki M1A-13X Module Foilpack Definition

  
	
  PartSpec-0007

  	
   

  	
  new

  	
   

  	
  Catalyst Rings and Seals Qualification Procedure

  
	
  Test-001

  	
   

  	
  D

  	
   

  	
  Testing SQP Procedure

  
	
  Test-002

  	
   

  	
  D

  	
   

  	
  Air Compressor Operating Procedure

  
	
  Test-003

  	
   

  	
  D

  	
   

  	
  Auxillary Gas System Operating Procedure

  
	
  Test-004

  	
   

  	
  D

  	
   

  	
  LEWA Pump Operating Procedure

  
	
  Test-005

  	
   

  	
  D

  	
   

  	
  ISCO Pump Operating Procedure

  
	
  Test-006

  	
   

  	
  D

  	
   

  	
  Low Pressure Reactor Operating Procedure

  
	
  Test-007

  	
   

  	
  D

  	
   

  	
  Catalyst Rolling Procedure

  
	
  Test-008

  	
   

  	
  D

  	
   

  	
  Gas Analyzer Operating Procedure

  
	
  Test-009

  	
   

  	
  D

  	
   

  	
  High Pressure Reactor Operating Procedure

  
	
  Test-010

  	
   

  	
  D

  	
   

  	
  Testing Documentation Procedure

  

 

 B-1
 

 

 

	
  Media

  	
   

  	
  Rev

  	
   

  	
  Title

  
	
  Test-011

  	
   

  	
  C

  	
   

  	
  Common Testing Procedure

  
	
  Test-012

  	
   

  	
  C

  	
   

  	
  Flow Calibration Procedure

  
	
  Test-013

  	
   

  	
  D

  	
   

  	
  Rig Calibration Procedure

  
	
  Test-014

  	
   

  	
  D

  	
   

  	
  Catalyst Handling and Storage Procedure

  
	
  Test-015

  	
   

  	
  B

  	
   

  	
  House Air Compressor Operating Procedure

  
	
  ProductSpec-0005

  	
   

  	
  A

  	
   

  	
  Kawasaki M1A-13X Product Specification

  
	
  OperSpec-0001

  	
   

  	
  A

  	
   

  	
  M1A-13X Fuel Composition Specification

  
	
  OperSpec-0002

  	
   

  	
  B

  	
   

  	
  M1A-13X Air Filtration Specification

  
	
  OperSpec-0003

  	
   

  	
  A

  	
   

  	
  M1A-13X Fuel Filtration Specification

  
	
  OperSpec-0005

  	
   

  	
  A

  	
   

  	
  Lubricating Oil Specification

  
	
  02100100-1

  	
   

  	
  D

  	
   

  	
  Catalyst Module Assy

  
	
  02100101-1

  	
   

  	
  F

  	
   

  	
  Interface ring assy, outlet

  
	
  22010030-1

  	
   

  	
  new

  	
   

  	
  Guide ring, seal assy, outlet

  
	
  02100102-1

  	
   

  	
  F

  	
   

  	
  Guide ring assy, outlet

  
	
  02100119-1

  	
   

  	
  B

  	
   

  	
  Spring seal, outer

  
	
  02100119-2

  	
   

  	
  B

  	
   

  	
  Spring seal, inner

  
	
  22010031-1

  	
   

  	
  new

  	
   

  	
  Guide ring, seal assy, inlet

  
	
  02100103-1

  	
   

  	
  F

  	
   

  	
  Guide ring assy, inlet

  
	
  22010032-1

  	
   

  	
  new

  	
   

  	
  Interface ring, seal assy, inlet

  
	
  02100104-1

  	
   

  	
  C

  	
   

  	
  Interface ring assy, inlet

  
	
  02100118-1

  	
   

  	
  B

  	
   

  	
  Hula seal, outer

  
	
  02100118-2

  	
   

  	
  B

  	
   

  	
  Hula seal, inner

  
	
  02100120-1

  	
   

  	
  C

  	
   

  	
  Axial supports

  
	
  02100115-1

  	
   

  	
  B

  	
   

  	
  Shaft assy, inner support

  
	
  02100116-1

  	
   

  	
  B

  	
   

  	
  Cap, inner support

  
	
  02100114

  	
   

  	
  B

  	
   

  	
  Spindle, 3”

  
	
  02100112

  	
   

  	
  B

  	
   

  	
  Spindle, 4”

  
	
  22010040-02

  	
   

  	
  A

  	
   

  	
  Assembly Operation Sheets

  
	
  22010044

  	
   

  	
  new

  	
   

  	
  Disassembly Operation Sheets

  
	
  08021000

  	
   

  	
  B

  	
   

  	
  Specification, Nameplate

  
	
  EL22010016

  	
   

  	
  A

  	
   

  	
  Equipment List Catalyst Module Assembly

  
	
  22010017

  	
   

  	
  B

  	
   

  	
  Interface Control Definition, Catalyst Module

  
	
  T22010041

  	
   

  	
  A

  	
   

  	
  Lifting Assembly Tool

  
	
  T22010042

  	
   

  	
  new

  	
   

  	
  Spring Seal Check Tool

  
	
  T22010043

  	
   

  	
  new

  	
   

  	
  Spring Seal Wedge Tool

  
	
  Mfg Programs

  	
   

  	
  new

  	
   

  	
  Coating Line Washcoat Loading Worksheet (excel)

  
	
  Mfg Programs

  	
   

  	
  new

  	
   

  	
  DataLogger Plot.xls (excel)

  
	
  Mfg Programs

  	
   

  	
  new

  	
   

  	
  CorrData 1.0 xls (excel)

  
	
  Mfg Programs

  	
   

  	
  new

  	
   

  	
  Simplified Corrugation 062601.vi (labview)

  
	
  Mfg Programs

  	
   

  	
  new

  	
   

  	
  Tracking.mdb (access)

  
	
  Mfg Programs

  	
   

  	
  new

  	
   

  	
  PM SprayCalcs CL2.xls (excel)

  
	
  Mfg Programs

  	
   

  	
  new

  	
   

  	
  Foil Pack Sizing Instructions.xls (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Catalyst Performance and Life Modeling (mathcad)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Operating Window Analysis (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Fuel Assessment (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Operational Tracking Guide (excel)

  

 

 B-2
 

 

 

	
  Media

  	
   

  	
  Rev

  	
   

  	
  Title

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Control Schedule Development (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Combustion System Cycle Analysis (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Adiabatic Combustion Temperature (Tad) calculation
  (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Catalyst Pressure Drop (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Burnout Zone Sizing (excel)

  
	
  Design Tools

  	
   

  	
  new

  	
   

  	
  Ignition Delay and CO Burnout (excel)

  
	
  Summaries

  	
   

  	
  n/a

  	
   

  	
  Design Tool summary sheets

  
	
  Build Records

  	
   

  	
  n/a

  	
   

  	
  Fielded and inventoried module mfg, test and
  assembly records

  
	
  Part Records

  	
   

  	
  n/a

  	
   

  	
  Life tracking data for container hardware in use

  
	
  Specification
  Sheet

  	
   

  	
  n/a

  	
   

  	
  ISOPAR E specification sheet

  

 B-3

EXHIBIT C

CESI TRADEMARKS

XONON

COOL COMBUSTION

XONON COOL COMBUSION

 C-1

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00110-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00110-of-00352.parquet"}]]