Document:

EX-10.140

Exhibit 10.140

AMENDMENT NO. 1 TO PURCHASE AND EXCHANGE AGREEMENT

This Amendment No. 1 to Purchase and Exchange Agreement, is dated as of November      , 2006
(this “Amendment”), among Halo Technology Holdings, Inc., a Nevada corporation (“Halo”) and Unify
Corporation, a Delaware corporation (the “Unify”).

WITNESSETH:

WHEREAS, Halo and Unify are parties to that certain Purchase and Exchange Agreement, dated as
of September 13, 2006 (as amended, the “Purchase Agreement”), and desire to amend the Purchase
Agreement as set forth herein.

NOW, THEREFORE, in consideration of the premises and of the mutual covenants and agreements
herein contained, and intending to be legally bound hereby, the parties hereto do hereby agree as
follows (capitalized terms used but not defined herein have the meanings ascribed to such terms in
the Purchase Agreement):

1. Amendment to Section 2.2(b). Section 2.2(b) is hereby amended and replaced by the following:

(b) At the Closing, Unify will deliver to Halo $5,600,000 paid by wire transfer or other
means as specified by Halo to the accounts specified by Halo (together with the Deposit, the
“cash Purchase Price”);

2. Amendment to Section 2.2(d). Section 2.2(d) is hereby eliminated in its entirety.

3. Amendment to Section 2.2(e). Section 2.2(e) is hereby amended and replaced by the following:

“(e) At the closing, Unify will deliver to Halo the NavRisk Business, including, without
limitation, all of the outstanding shares of capital stock of Acuitrek and the other NavRisk
Assets, and the ViaMode Product and the other ViaMode Assets; and”

4. Amendment to Section 2.2(f). Section 2.2(f) is hereby eliminated in its entirety.

5. Amendment to Section 4.22, 4.23 and 4.24. Sections 4.22, 4.23 and 4.23 are hereby eliminated
in their entirety.

6. Amendment to Section 5.1. Section 5.1 is hereby amended by adding the following to the end
thereof:

“Acuitrek is a corporation duly organized, validly existing, and in good standing under
the Laws of its state of formation with full power and authority to own and operate its
properties and to carry on its business as it is now being conducted. Acuitrek is
authorized to transact business in its state of formation and in all other jurisdictions in
which the nature of its business and the ownership of its properties makes such
qualification necessary, except where the failure to so qualify or be in good standing has
not had and would not be likely to have a Material Adverse Effect on the NavRisk Business. ”

7. Amendment to Section 5.2. Section 5.2 is hereby amended and replaced by the following:

“Authority. Unify has the full power, authority and legal capacity to enter into this
Agreement and the other Acquisition Documents to which Unify is a party and to perform its
obligations hereunder and thereunder.”

8. Amendment to Section 5.3. Section 5.3 is hereby amended and replaced by the following:

“Due Authorization; Enforceability. The execution and delivery of this Agreement and the
other Acquisition Documents to which Unify is a party and the performance of the obligations
of Unify under this Agreement and such other Acquisition Documents have been duly authorized
by all necessary corporate action. This Agreement and the other Acquisition Documents to
which Unify is a party have been duly and validly executed and delivered by Unify and
constitute legal, valid and binding obligations of Unify and are enforceable against Unify
in accordance with their terms.”

9. Amendment to Section 5.4. Section 5.4 is hereby eliminated in its entirety.

10. Amendment to Section 5.5. Section 5.5 of the Agreement is hereby amended and replaced by the
following:

“No Conflicts: The execution, delivery, and performance of this Agreement and the other
Acquisition Documents to which Unify or Acuitrek is a party: (a) will not conflict with or
will not result in a breach of any provision contained in the Organizational Documents of
Unify or Acuitrek; (b) will not result in any conflict with, breach of, or default (or give
rise to any right of termination, cancellation or acceleration or loss of any right or
benefit) under or require any notice, consent or approval which has not been obtained with
respect to any of the terms, conditions or provisions of any Contracts, and (c) will not
violate any Law applicable to Unify Acuitrek, or to the NavRisk Assets or the ViaMode
Assets. No action, consent or approval by, or filing by Unify or Acuitrek with any
Governmental Authority is required in connection with the execution, delivery or performance
by Unify of this agreement or the consummation o the sale of the NavRisk Assets or the
ViaMode Assets and the other transactions contemplated hereby. Neither the execution of
this Agreement nor the consummation of the transactions herein contemplated will result in
the creation of any Lien on any of the NavRisk Assets or the ViaMode Assets.”

11. Amendment to Section 5.6. Section 5.6 of the Agreement is hereby amended and replaced by the
following:

“Real Property. Neither Unify nor Acuitrek owns any real property. The Real Property
Schedule is a true and complete list of all real property leases to which Unify or Acuitrek
is a party and which are used in the NavRisk Business (the “Unify Leased Properties”). Halo
is not assuming any obligation relating to any of Unify Leased Property.”

12. Amendment to Section 5.7. Section 5.7 of the Agreement is hereby amended and replaced by the
following:

“Environmental Representations. There has been no use by Unify or Acuitrek during their
respective tenancies of Hazardous Materials on the premises of the Unify Leased Properties.”

13. Amendment to Section 5.8. Section 5.8 of the Agreement is hereby amended and replaced by the
following:

“5.8 Tax Matters.

A. Unify and/or Acuitrek have filed, on a timely basis, all Tax returns and
reports of any nature whatsoever which are required to be filed with any
Governmental Authority and such Tax returns are complete, correct, and accurate in
all respects. Except as disclosed on the Unify Tax Returns Schedule, neither Unify
nor Acuitrek has requested an extension of time within which to file any Tax return.
Unify or Acuitrek, as applicable, has paid in full or established an adequate
reserve for all assessments received and all Taxes of any nature whatsoever which
have become due under Law with respect to all periods beginning prior to the Closing
Date. No Claims have been made against Unify or Acuitrek by any Governmental
Authority in a jurisdiction where Unify or Acuitrek does not file tax returns and
reports that it is or may be subject to Taxation by that jurisdiction. There are,
and will hereafter be, no Tax deficiencies (including penalties, interest and
additions to Tax) of any kind against or relating to Unify or Acuitrek with respect
to any taxable periods (or portions thereof) ending on or before, or including, the
Closing Date of a character or nature which would result in any Lien on Acuitrek,
the NavRisk Assets or Viamode Assets or Halo’s title thereto or use thereof, or
would result in any claim against Halo or Acuitrek. There are no current pending,
to Unify’s knowledge, or threatened audits or assessments with respect to any
liability in respect of Taxes that are likely to result in any additional liability
for Taxes by Unify or Acuitrek.

B. Unify or Acuitrek, as applicable, has withheld and paid timely all Taxes required
to have been withheld and paid in connection with amounts paid or owing to any
employee, independent contractor, creditor or other third party relating to the
NavRisk Business.

C. Niether Unify nor Acuitrek is a party to any Tax allocation or Tax sharing
agreement.”

14. Amendment to Section 5.9. Section 5.9 of the Agreement is hereby amended and replaced by the
following:

“5.9 Employee Benefit Plans and Other Plans.

A. The Unify Employee Benefits Schedule contains a true, correct and
complete list of all Employee Plans which cover or have covered employees or
former employees of the NavRisk Business (including, without limitation, all
Employee Plans which cover or have covered employees of Acuitrek). True and
complete copies of each of the following documents have been made available
by Unify to Halo: (i) the current version of each Welfare Plan and Pension
Plan and the current summary plan description and any subsequent summaries
of material modifications thereof, and (ii) the current version of each
Employee Plan and the current summary plan description and any subsequent
summaries of material modifications thereof and a complete description of
any Employee Plan which is not in writing.

B. Neither Unify, Acuitrek nor any ERISA Affiliate contributes to or has any
obligation to contribute, or has contributed to or had any obligation to
contribute, to any Multiemployer Plan with respect to any current or former
employee.

C. Each Welfare Plan which covers or has covered employees or former
employees of the NavRisk Business (including, without limitation, all
Employee Welfare Plans which cover or have covered employees of Acuitrek)
and which is a “group health plan,” as defined in Section 607(1) of ERISA,
has been operated in compliance with provisions of COBRA (if applicable) at
all times.

D. No event has occurred in connection with, or arising out of, the
establishment, operation, administration, or termination of any Employee
Plan or the transactions contemplated by this Agreement which could subject
Unify, Acuitrek or any ERISA Affiliate or any Employee Plan or any NavRisk
Assets or ViaMode Assets, directly or indirectly, to any material liability
(i) under any Law relating to any Employee Plans or (ii) pursuant to any
obligation of Unify or Acuitrek to indemnify any person against liability
incurred under any such Law as they relate to the Employee Plans.

E. No Employee Plan is subject to Title IV of ERISA or Section 412 of the
Code.”

15. Amendment to Section 5.10. Section 5.10 of the Agreement is hereby amended and replaced by
the following:

“Contracts. The Unify Contracts Schedule is a true and correct list of each
Contract (i) to which Unify or Acuitrek is a party and which Halo is assuming
pursuant to this Agreement, or (ii) by which any of the NavRisk Assets or ViaMode
Assets are bound or affected (except ViaMode contracts not being assigned to Halo
which Unify will be permitted to retain subject to the License Agreements to be
entered into between the parties). Each written, and a description of each oral,
Contract so listed have been delivered to Halo. Each Contract is legal, valid,
binding, enforceable (except as such enforceability may be limited by (a)
bankruptcy, insolvency, moratorium, reorganization and other similar Laws affecting
creditors’ rights generally and (b) the general principles of equity, regardless of
whether asserted in a proceeding in equity or at Law) and in full force and effect.
Neither Unify or Acuitrek, nor to Unify’s knowledge, any other party, is in material
breach or default, and no event has occurred which with notice or lapse of time
could constitute a material breach or default or permit termination, modification or
acceleration, under any Contracts. No party has repudiated any term of any
Contracts, and there are no renegotiations of, attempts to renegotiate, or
outstanding rights to renegotiate any material amounts paid or payable to Unify or
Acuitrek under current or completed Contracts with any Person, and no such Person
has made written demand for such renegotiation. Other than as set forth on the
Unify Contracts Schedule, each Contract set forth on the Unify Contracts Schedule is
fully assignable to Halo at the Closing.”

16. Amendment to Section 5.11. Section 5.11A of the Agreement is hereby amended by adding the
following sentences to the end thereof:

“The stock in Acuitrek which is being sold and transferred to Halo as part of the NavRisk
Assets is owned, of record and beneficially, by Unify and represents the only outstanding
stock in Acuitrek. There are no options, warrants, or other securities convertible or
exchangeable for stock or other securities in Acuitrek. All the stock in Acuitrek, when
transferred to Halo at the Closing, will be duly and validly issued, fully paid and
nonassessable. There are no restrictions on transfer, rights of first refusal or other
restrictions or obligations relating to the Acuitrek stock. As of the Closing Date, there
will be no outstanding subscription, option, warrant, call right, preemptive right,
securities convertible or exchangeable for stock, or other agreement or commitment
obligating the Acuitrek to issue, sell, deliver or transfer (including any right of
conversion or exchange under any outstanding security or other instrument) any common or
preferred stock or any other economic, voting, ownership or any other type of interest or
security in the Acuitrek, other than this Agreement.”

17. Amendment to Section 5.12. Section 5.12 of the Agreement is hereby amended and replaced by
the following:

“Employee Matters. Attached hereto as the Employees Schedule is a list of all current
employees and persons on leave of absence, interim layoff or other temporary suspension of
employment, in each case of Acuitrek or of the NavRisk Business and ViaMode Product, stating
the salary, wages, bonuses, severance pay, expenses, allowances, benefits and date of hire of
each such person, and Unify agrees, on or prior to the Closing Date, to the extent permissible
under applicable law to make available to Halo, the employment records of all current
employees. Unify and Acuitrek will, as of the Closing Date, have paid all salaries, wages,
bonuses, expenses, allowances, benefits, severance pay and other compensation owed to their
respective employees and agents in connection with the NavRisk Business and ViaMode Product to
the extent the same is due and payable in respect of periods on or prior to the Closing Date
other than as reflected as Accrued Compensation on the NavRisk Closing Balance Sheet.”

18. Amendment to Section 5.13. Section 5.13 of the Agreement is hereby amended and replaced by
the following:

“Violations of Law. Neither Unify nor Acuitrek has received any notice of any claimed
violation of any Laws or Permits relating to or affecting Acuitrek, the NavRisk Business, the
ViaMode Product, the NavRisk Assets or the ViaMode Assets or any Employee Plan; and there is
no investigation by any person or a Governmental Authority of any claimed violation of Laws
pending or, to the knowledge of Unify, threatened or anticipated or any basis therefor
relating to or affecting Acuitrek, the NavRisk Business, the ViaMode Product, the NavRisk
Assets or the ViaMode Assets or any Employee Plan.”

19. Amendment to Section 5.14. Section 5.14 of the Agreement is hereby amended and replaced by
the following:

“Litigation. (a) There is no Action pending or, to the knowledge of Unify, threatened or
anticipated by or before any Governmental Authority or private arbitration tribunal against
Unify, or Acuitrek or which relates to or affects Acuitrek, the NavRisk Business, the ViaMode
Product, the NavRisk Assets or the ViaMode Assets or any Employee Plan or the transactions
contemplated hereby, (b) neither Unify, nor Acuitrek, nor, to the knowledge of Unify, any
affiliate, officer, director or employee or any corporate partner or joint venture with Unify
or Acuitrek, has been permanently or temporarily enjoined or barred by order, judgment or
decree of any Governmental Authority or private arbitration tribunal from engaging in or
continuing any conduct or practice in connection with the NavRisk Business, the ViaMode
Product, the NavRisk Assets or the ViaMode Assets or any Employee Plan, and (c) there is not
in existence any order, judgment or decree of any private arbitration tribunal with respect to
or binding upon Acuitrek, the NavRisk Business, the ViaMode Product, the NavRisk Assets or the
ViaMode Assets or any Employee Plan. Neither Unify, nor Acuitrek nor any Employee Plan or is
in default with respect to any judgment, order, writ, injunction or decree of any Governmental
Authority, and there are no unsatisfied judgments against Acuitrek, the NavRisk Business, the
ViaMode Product, the NavRisk Assets or the ViaMode Assets or any Employee Plan.”

20. Amendment to Section 5.15. Section 5.15 of the Agreement is hereby amended and replaced by
the following:

“Indebtedness. The Unify Debts Schedule is a true and complete list of all Claims
against Unify or Acuitrek relating to the NavRisk Business, the ViaMode Product,the NavRisk
Assets or the ViaMode Assets, including, without limitation, trade accounts payable in excess
of Five Thousand Dollars ($5,000), including a description of the terms of payment, and, if
such claim is secured, a description of all properties or other assets pledged, mortgaged or
otherwise hypothecated as security, and if a lease of equipment, the imputed rate of interest
on such lease.”

21. Amendment to Section 5.16. Section 5.16 of the Agreement is hereby amended and replaced by
the following:

“Insurance. The Unify Insurance Schedule is a true and correct list of all the policies of
insurance covering Acuitrek, the NavRisk Business, or the NavRisk Assets or the ViaMode
Assets presently in force (including as to each (a) risk insured against, (b) name of
carrier, (c) policy number, (d) amount of coverage, (e) amount of premium, (f) expiration
date and (g) the property, if any, insured, indicating as to each whether it insures on an
“occurrence” or a “claims made” basis. All of the insurance policies set forth on the Unify
Insurance Schedule are in full force and effect and all premiums, retention amounts and
other related expenses due have been paid, and neither Unify nor Acuitrek has received any
notice of cancellations with respect to any of the policies.”

22. Amendment to Section 5.17. Section 5.17 of the Agreement is hereby amended and replaced by
the following:

“Compliance with Laws. Unify and Acuitrek have operated the NavRisk Business and owned
the NavRisk Assets and the ViaMode Assets in compliance with all Laws and Permits.”

23. Amendment to Section 5.19. Section 5.19 of the Agreement is hereby amended and replaced by
the following:

“Absence of Changes. Since July 31, 2006, there has not been:

A. Any Material Adverse Change;

B. Any material damage, destruction or loss (whether or not covered by insurance) affecting
Acuitrek, the NavRisk Assets or the ViaMode Assets;

C. Any increase in the compensation, bonus, sales commission or fee arrangement payable or
to become payable by Unify or Acuitrek to any employee of the NavRisk Business, except increases
in the ordinary course of business and consistent with past practice;

D. Any work interruptions, labor grievances or Claims filed, or, to the knowledge of Unify,
proposed Law or any event or condition of any character, reasonably likely to have a Material
Adverse Effect on the NavRisk Business;

E. Any sale or transfer, or any agreement to sell or transfer, any material assets, property
or rights of Unify or Acuitrek relating to the NavRisk Business or the ViaMode Product to any
person;

F. Any material purchase or acquisition, or agreement, plan or arrangement to purchase or
acquire, any property, rights or assets relating to the operation of the NavRisk Business or the
ViaMode Product;

G. Any waiver of any material rights or Claims under any Contract or Permit;

H. Any breach, amendment or termination of any Contract or Permit;

I. Any issuance of any equity interests in the NavRisk Business (including, without
limitation, Acuitrek), or any securities convertible into or exercisable for, or any rights,
warrants or options to acquire, any such equity interests, or any agreement with respect to any
of the foregoing;

J. Any incurrence of any indebtedness for borrowed money, any assumption, guarantee,
endorsement or other agreement to become responsible for the material obligations of any other
individual, corporation or other entity, except for indebtedness to trade creditors in the
ordinary course of business consistent with past practice; or

K. Except as specifically contemplated by this Agreement, any transaction relating to
Acuitrek, the NavRisk Business or the ViaMode Product outside the ordinary course of business.”

24. Amendment to Section 5.20. Section 5.20 of the Agreement is hereby amended and replaced by
the following:

“No Undisclosed Liabilities. Except as and to the extent disclosed in the Halo Assumed
Liabilities Schedule, the Disclosure Letter or the NavRisk Financial Statements, neither Unify
nor Acuitrek has any liabilities or obligations whatsoever, whether accrued, absolute,
secured, unsecured, contingent or otherwise except liabilities which have been incurred after
the date of the most recent Financial Statements in the ordinary course of business,
consistent with past practice, or which are obligations to perform under executory contracts
in the ordinary course of business.”

25. Amendment to Section 5.21. Section 5.21 of the Agreement is hereby amended and replaced by
the following:

“Permits. Unify and/or Acuitrek possesses all Permits necessary to permit it to engage in
the NavRisk Business or the ViaMode Product as presently conducted in and at all locations and
places where it is presently operating. All Permits related to the NavRisk Business or the
ViaMode Product are listed on the Unify Permits Schedule.”

26. Amendment to Section 5.22. Section 5.22 of the Agreement is hereby amended and replaced by
the following:

“Customer Relations. Except as otherwise set forth on the Customer Relations Schedule, at
no time prior to the Closing Date, no customer of the NavRisk Business or the ViaMode Product has
stated, advised, or otherwise indicated to Unify that it intends to terminate or cancel any
Contract with Unify or Acuitrek.”

27. Amendment to Section 5.23. Section 5.23 of the Agreement is hereby amended and replaced by
the following:

“Intellectual Property. (a) Either Unify or Acuitrek has, and Halo shall receive, good,
valid and marketable title to the Intellectual Property assumed by Halo pursuant to this
Agreement, including but not limited to the Software and all components of the Software, free and
clear of all title defects, liens, restrictions, claims charges, security interests or other
encumbrances of any nature whatsoever, and (b) the Software is in good operating order, condition
and repair.”

28. Amendment to Section 6.6. Section 6.6 is hereby eliminated in its entirety.

29. Amendment to Section 6.7. Section 6.7 is hereby eliminated in its entirety.

30. Amendment to Section 7.8. Section 7.8 is hereby eliminated in its entirety.

31. Amendment to Section 7.9. Section 7.9 is hereby eliminated in its entirety.

32. Amendment to Section 7.13. Section 7.13 is hereby eliminated in its entirety.

33. Amendment to Glossary Schedule. The Glossary Schedule definition “Acquisition Documents” is
hereby amended and replaced by the following:

“Acquisition Documents” shall mean this Agreement, and any and all agreements, deeds,
assignments, bills of sale, endorsements, powers of attorney, and other documents, otherwise
required by this Agreement, or executed and delivered pursuant hereto or in connection
herewith.”

The Glossary Schedule definition “NavRisk Assets” is hereby amended by adding the following
sentence to the end of the paragraph:

“Without limiting the foregoing, NavRisk Assets shall include all outstanding shares of
capital stock of Acuitrek.”

The Glossary Schedule definition “ViaMode Assets” is hereby amended by adding the following
sentence to the end of the paragraph:

“ViaMode Assets” means Unify’s right, title and interest in and to ViaMode Product and all
Intellectual Property and Software owned by Unify in or related to the ViaMode Product, and
also includes the License Agreements and any rights which may arise thereunder.

34. Amendment to Glossary Schedule. The Glossary Schedule is amended to eliminate the following
definitions in their entirety:

“Purchase Shares”

“Purchase Warrant”

“Registration Agreement”

“Securities Act”

35. Miscellaneous.

(a) The validity, construction and performance of this Amendment, and any action arising out
of or relating to this Amendment shall be governed by the laws of the State of Delaware, without
regard to the laws of the State of Delaware as to choice or conflict of laws.

(b) Except as modified herein, all other terms and provisions of the Purchase Agreement are
unchanged and remain in full force and effect.

(c) The captions contained in this Amendment are for convenience of reference only, shall not
be given meaning and do not form part of this Amendment.

(d) This Amendment may be executed in counterparts, each of which shall be deemed an
original, but all of which taken together shall constitute one and the same instrument. This
Amendment shall become effective when each party to this Amendment shall have received a
counterpart hereof signed by the other parties to this Amendment.

(e) This Amendment shall be binding upon any permitted assignee, transferee, successor or
assign to any of the parties hereto.

IN WITNESS WHEREOF, each of the parties has executed this Amendment as of the date first set
forth above.

HALO TECHNOLOGY HOLDINGS, INC.

By: /s/ Ernest C. Mysogland

Name: Ernest C. Mysogland

Title: Executive Vice President

UNIFY CORPORATION

By: /s/ Todd Wille

Name: Todd Wille

Title: PresidentEX-10.141

EXHIBIT 10.141

THIS AMENDMENT AGREEMENT No. 3 (this Amendment Agreement) is dated as of November      , 2006

BETWEEN:

	(1)	 	HALO TECHNOLOGY HOLDINGS, INC. (formerly Warp Technology Holdings, Inc.), a Nevada
corporation, as borrower (the Company); and

	(2)	 	FORTRESS CREDIT CORP., in its capacity as agent to the Lenders under the Credit Agreement
referred to below (in that capacity, the Agent).

WHEREAS:

	(A)	 	The Company, the Lenders (referred to therein) and the Agent are parties to that certain
credit agreement dated August 2, 2005, as amended by Amendment No. 1 dated as of October 26,
2005 and Amendment No. 2 dated as of October 11, 2006 (the Credit Agreement).

(B) The Company has agreed to sell it all of its equity interest in each of Gupta
Technologies, LLC, Gupta Technologies, Ltd., and Gupta Technologies GmbH (the Gupta
Entities) to Unify Corporation (the Buyer) pursuant to a Purchase and Exchange Agreement
(the Purchase Agreement) dated as of September 13, 2006 between and among the Buyer and
Halo, as amended.

(C) Pursuant to Section 7.2(b) of the Credit Agreement, the Company would be obligated (upon
the sale of the Gupta Entities) to prepay the Loan in an amount equal to the outstanding
principal amount of Advance relating to Tranche A (the Gupta Prepayment).

(D) The Company failed to pay the Agent for the benefit of the Lenders the final installment
of an amendment fee pursuant to Section 10(a) of Amendment No. 2 to the Credit Agreement
(Amendment No. 2) in the amount of US$100,000 on November 10, 2006 (the Outstanding
Amendment Fee).

(E) The Company has acquired, or will acquire pursuant to the Purchase Agreement, direct or
indirect ownership of 100% of the equity interests in the entities set forth in Schedule 1
hereto (the New Subsidiaries).

(F) Pursuant to Sections 18.13, 18.25 and 28.9 of the Credit Agreement, the New Subsidiaries
are obligated to become a Guarantor under the Credit Agreement and the Company and the New
Subsidiaries are obligated to enter into certain Security Documents in favor of the Agent.

(G) The Company has requested that the Agent release its Security Interest in the equity
interests of the Gupta Entities and the assets of the Gupta Entities.

	(H)	 	The Company failed to make the US$270,000 Principal repayment which was due on November 2,
2006 (the November 2nd Payment).

	(I)	 	This Amendment Agreement is supplemental to and amends the Credit Agreement. The Company and
the Agent have agreed that the Credit Agreement should be amended as set forth in this
Amendment Agreement.

IT IS AGREED as follows:

	1.	 	INTERPRETATION

	1.1	 	Definitions

Terms defined in the Credit Agreement (by reference or otherwise) have, unless expressly
defined in this Amendment Agreement, the same meanings in this Amendment Agreement.

	1.2	 	Construction

The provisions of Clause 1.2 (Construction) of the Credit Agreement apply to this
Amendment Agreement as though they were set out in full in this Amendment Agreement, except
that references to “this Agreement” are to be construed as references to this Amendment
Agreement.

	2.	 	EFFECT OF AMENDMENT AGREEMENT

With effect on and from the date of this Amendment Agreement, the Credit Agreement will
be amended by, and the rights and obligations of the parties thereto relating to their
future performance under the Credit Agreement will be governed by and construed in
accordance with, the Credit Agreement as amended, modified and supplemented by this
Amendment Agreement.

	3.	 	AMENDMENTS AND WAIVERS

Notwithstanding anything contained in the Credit Agreement to the contrary, the Company and
the Agent hereby agrees that:

	 	(a)	 	the Company shall partially prepay (as a mandatory prepayment pursuant to Section
7.2 of the Credit Agreement) the Loan as follows: (i) in an amount equal to US$4,600,000
simultaneously with the closing of the sale of the Gupta Entities and (ii) in an amount
equal to US$2,000,000 payable in three installments, with the first installment of
US$500,000 payable on January 31, 2007, the second installment of US$500,000 payable on
February 28, 2007 and the third installment of US$1,000,000 payable on March 30, 2007;

(b) the Company shall pay to the Agent an amount equal to US$500,000 simultaneously
with the closing of the sale of the Gupta Entities, US$270,000 of which shall be
applied towards the November 2nd Payment, US$100,000 of which shall be
applied towards the Outstanding Amendment Fee and US$130,000 of which shall be
applied (i) as a credit against future payment of accrued interest by the Company
under the Credit Agreement, and (ii) towards the payment of Agent’s legal fees
relating to this Amendment Agreement, the documentation contemplated pursuant to
3(d), and any of Agent’s outstanding legal fees relating to prior Amendments to the
Credit Agreement;

(c) on or prior to December 15, 2006, the Company will cause each of (i) the New
Subsidiaries to become a Guarantor under the Credit Agreement and enter into Security
Agreements in favor of the Agent relating to all assets of such New Subsidiary, (ii)
the Company (or its relevant Subsidiary) shall enter into a Pledge Agreement in favor
of the Agent relating to all of the outstanding equity interests in each New
Subsidiary and (iii) the Company and each New Subsidiary shall have satisfied all
other requirements of Sections 18.13, 18.25 and 28.9 of the Credit Agreement;

	 	(d)	 	the Company shall pay the Agent for the benefit of the lenders a reorganization
success fee equal to US$200,000 on or prior to the earlier of (i) the date (if any) on
which the Company sells its equity interest in any of Empagio, Inc., David Corporation
or Process Software, Inc. and (ii) March 30, 2007, which, for the avoidance of doubt
does not constitute a repayment of any portion of the Loan;

	 	(e)	 	the Company ‘s failure or any New Subsidiary’s failure to comply with its
obligations under this Section 3, shall constitute an immediate Event of Default under
the Credit Agreement, and, for the avoidance of doubt, the Company’s failure to comply
with its obligations under Section 3(a), 3(b), 3(d) and 10(a) shall constitute an
immediate Event of Default under Section 19.2 of the Credit Agreement; and

	 	(f)	 	the Agent shall enter into a release letter, in the form attached as Annex A.

	4.	 	REPRESENTATIONS AND WARRANTIES

	4.1	 	Representations and Warranties

The Company makes each representation and warranty set out in Clauses 4.2 (Powers and
Authority) through 4.6 (Credit Agreement) of this Amendment Agreement to each Finance Party.

	4.2	 	Powers and authority

It has the power to enter into and perform, and has taken all necessary action to
authorize the entry into and performance of this Amendment Agreement and the transactions
contemplated by this Amendment Agreement.

	4.3	 	Legal validity

	 	(a)	 	This Amendment Agreement is its legally binding, valid and enforceable
obligation.

	 	(b)	 	This Amendment Agreement is in the proper form for its enforcement in the
jurisdiction of its incorporation.

	4.4	 	Non-conflict

The entry into and performance by it of, and the transactions contemplated by, this
Amendment Agreement do not and will not:

	 	(a)	 	conflict with any law or regulation applicable to it; or

	 	(b)	 	conflict with its constitutional documents; or

	 	(c)	 	conflict with any document which is binding upon it or any of its assets or
constitute a default or termination event (however described) under any such document,
in each case to an extent or in a manner which:

	 	(i)	 	has a Material Adverse Effect;

	 	(ii)	 	could reasonably be expected to result in any liability on the
part of any Finance Party to any third party; or

	 	(iii)	 	could require the creation of any Lien over any asset in favor
of a third party.

	4.5	 	Authorizations

All authorizations required by it in connection with the entry into, performance and
validity and enforceability of, and the transactions contemplated by, this Amendment
Agreement have been obtained or effected (as appropriate) and are in full force and effect.

	4.6	 	Credit Agreement

The Company hereby represents and warrants that, on the date of this Amendment
Agreement, the representations and warranties set out in Clauses 15.2 (Status) through 15.16
(United States laws) of the Credit Agreement:

	 	(a)	 	are true with each such representation and warranty being understood to mean
such representation and warranty as amended (if amended at all) pursuant to Clause 3
(Amendments) of this Amendment Agreement; and

	 	(b)	 	would also be true if references to “this Agreement” were construed as
references to the Credit Agreement as amended by this Amendment Agreement.

	4.7	 	Acknowledgment of Reliance

The Company acknowledges that it makes such representations and warranties with the
intention of persuading Agent (on behalf of the Lenders) to enter into this Amendment
Agreement and that the Agent has entered into this Amendment Agreement on the basis of, and
in full reliance on, each of such representations and warranties.

	5.	 	GOVERNING LAW, ETC.

This Amendment Agreement is governed by the laws of the State of New York. The
provisions of Clauses 36 (Governing Law) and 37 (Enforcement) of the Credit Agreement are
incorporated by reference into this Amendment Agreement as if fully set out herein, with
each reference to “this Agreement” (including in the definition of Finance Documents) being
understood to be a reference to this Amendment Agreement.

	6.	 	SEVERABILITY

If any provision of this Amendment Agreement is or becomes illegal, invalid or
unenforceable in any jurisdiction, that shall not affect:

	 	(a)	 	the legality, validity or enforceability in that jurisdiction of any other
provision of this Amendment Agreement; or

	 	(b)	 	the legality, validity or enforceability in any other jurisdiction of that or
any other provision of this Amendment Agreement.

	7.	 	COUNTERPARTS

This Amendment Agreement may be executed in any number of counterparts, and this has
the same effect as if the signatures on the counterparts were on a single copy of this
Amendment Agreement.

	8.	 	COMPLETE AGREEMENT

This Amendment Agreement, the Credit Agreement and the other Finance Documents contain
the complete agreement between the Parties on the matters to which such agreements relate
and supersede all prior commitments, agreements and understandings, whether written or oral,
with respect to those matters.

	9.	 	NATURE OF THIS AMENDMENT AGREEMENT

	 	(a)	 	By signing this Amendment Agreement, the Parties designate this Amendment
Agreement as a Finance Document.

	 	(b)	 	Except as specifically amended by this Amendment Agreement, the Credit
Agreement is and shall continue to be in full force and effect and is hereby in all
respects ratified and confirmed. The Credit Agreement and this Amendment Agreement
will be read and construed as a single document.

	10.	 	CERTAIN AGREEMENTS REGARDING FEES

The Company hereby irrevocably agrees that:

	 	(a)	 	It shall pay the Agent for the benefit of the Lenders an amendment fee equal to
US$300,000 as consideration for entering into this Amendment Agreement. This amendment
fee shall be payable in 3 installments of US$100,000 each. The first such installment
of US$100,000 shall be due and payable on December 15, 2006, the second installment
shall be due and payable on February 28, 2007 and the third installment of US$100,000
shall be due and payable on March 30, 2007.

	 	(b)	 	It shall promptly pay all reasonable costs and expenses of Allen & Overy LLP,
counsel to the Agent, incurred in connection with this Amendment Agreement.

	11.	 	RELEASE

The Company on behalf of itself, its Subsidiaries and Affiliates hereby acknowledge,
effective upon the date of this Amendment Agreement, that the Company and its Subsidiaries
and Affiliates, have no defense, counterclaim, offset, cross-complaint, claim or demand of
any kind or nature whatsoever that can be asserted to reduce or eliminate all or any part of
any Obligor’s liability to repay all amounts due and owing under the Credit Agreement or to
seek affirmative relief or damages of any kind or nature from the Agent, any Lender or any
of their past and present officers, partners, members, directors, servants, agents,
attorneys, assigns, employees, heirs, parents, subsidiaries, or any other Person acting for
or on behalf of any of them. The Company and its Subsidiaries and Affiliates, all their
successors, assigns, Subsidiaries and Affiliates and any Person acting for or on behalf of,
or claiming through them, hereby fully, finally and forever release and discharge the Agent
and the Lenders and all of the Agent’s and Lenders’ past and present officers, partners,
members, directors, servants, agents, attorneys, assigns, employees, heirs, parents,
subsidiaries, and each Person acting for or on behalf of any of them (collectively, the
“Released Parties”) of and from any and all past, present and future actions, causes
of action, demands, suits, claims, liabilities, Liens, lawsuits, adverse consequences,
amounts paid in settlement, costs, damages, debts, deficiencies, diminution in value,
disbursements, expenses, losses and other obligations of any kind or nature whatsoever,
whether in law, equity or otherwise (including without limitation those arising under 11
U.S.C. §§ 541-550 and interest or other carrying costs, penalties, legal, accounting and
other professional fees and expenses, and incidental, consequential and punitive damages
payable to third parties), whether known or unknown, fixed or contingent, direct, indirect,
or derivative, asserted or unasserted, foreseen or unforeseen, suspected or unsuspected,
liquidated or unliquidated, matured or unmatured, now existing, heretofore existing or which
may heretofore accrue against any of the Released Parties, whether held in a personal or
representative capacity, and which are based on any act, fact, event or omission or other
matter, cause or thing occurring at or from any time prior to and including the date hereof
in any way, directly or indirectly arising out of, connected with or relating to the Credit
Agreement and the transactions contemplated thereby, and all other agreements, certificates,
instruments and other documents and statements (whether written or oral) related to any of
the foregoing or to the documents related to the transaction contemplated herein.

The Agent, for and on behalf of itself and the Finance Parties, hereby acknowledges
that (i) the existing defaults described in Whereas clauses (D) and (H) of this Amendment
Agreement shall be deemed to be cured upon payment of the November 2nd Payment
and the Outstanding Amendment Fee pursuant to Section 3(b) of this Amendment Agreement, and
any existing defaults relating to the delay in any of the New Subsidiaries becoming a
Guarantor, shall be deemed to be cured upon satisfaction of the Company’s obligations under
Section 3(c) of this Amendment Agreement.

12. MISCELLANEOUS

The Company represents and warrants that Gupta Technologies S.A. de C.V. has been
dissolved and the parties hereto confirm that Gupta Technologies S.A. de C.V. is no longer
an Obligor, a Guarantor or otherwise a party under the Credit Agreement.

The undersigned, intending to be legally bound, have executed and delivered this Amendment
Agreement on the date stated at the beginning of this Amendment Agreement.

1

SIGNATORIES

Company

HALO TECHNOLOGY HOLDINGS, INC.

By: /s/ Ernest C. Mysogland

Ernest C. Mysogland

Executive Vice President

	 	 	 
	Agent	 	 
	FORTRESS CREDIT CORP., as Agent for and on behalf of the Finance Parties

	 
	 	 
	By:

Constantine Dakolias

Chief Credit Officer

	 	/s/ Constantine Dakolias

	 
	 	 

2

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00113-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00113-of-00352.parquet"}]]