Document:

Second Amendment to Second Amended and Restated Credit Agreement

 Exhibit 10.1 
 SECOND AMENDMENT TO 
 SECOND AMENDED AND RESTATED CREDIT AGREEMENT

 This SECOND AMENDMENT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (the “Second Amendment”) dated
October 28, 2011, is by and among StoneMor GP LLC, a Delaware limited liability company (the “General Partner”), StoneMor Partners L.P., a Delaware limited partnership (the “Partnership”), StoneMor Operating
LLC, a Delaware limited liability company (the “Operating Company”), the Subsidiaries of the Operating Company set forth on the signature pages hereto (together with the Operating Company, each individually a
“Borrower” and collectively, the “Borrowers” and together with the General Partner and the Partnership, each individually a “Credit Party” and collectively, the “Credit Parties”),
the Lenders, and Bank of America, N.A., a national banking association, as Administrative Agent for the benefit of the Lenders (in such capacity, the “Administrative Agent”), and as Swing Line Lender and L/C Issuer. 

BACKGROUND 
 A. Pursuant to that certain Second Amended and Restated Credit Agreement, entered into on April 29, 2011, by and among the parties hereto, as amended by that certain First Amendment to Second Amended
and Restated Credit Agreement, dated August 4, 2011 (as amended, modified or otherwise supplemented from time to time, the “Credit Agreement”), the existing Lenders agreed, inter alia, to extend to the Borrowers
(i) a revolving credit facility in the maximum aggregate principal amount of Fifty-Five Million Dollars ($55,000,000), and (ii) an acquisition facility in the maximum aggregate principal amount of Sixty-Five Million Dollars ($65,000,000).

 B. The Borrowers have requested certain amendments to the Credit Agreement, and the Lenders are willing to agree to such
amendments on the terms and subject to the conditions set forth herein. 
 NOW, THEREFORE, in consideration of the foregoing
premises and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, and intending to be legally bound hereby, the parties hereto agree as follows: 

1. Definitions. 
 (a) General Rule. Except as expressly set forth herein, all capitalized terms used and not defined herein shall have the respective meanings ascribed thereto in the Credit Agreement. 

2. Amendment to Subsection (b) of Section 7.11 (Financial Covenants). Section 7.11(b) of the Credit Agreement is
hereby amended and restated in its entirety as follows: 
 (b) Minimum Consolidated Fixed Charge Coverage
Ratio. Permit the Consolidated Fixed Charge Coverage Ratio for any Measurement Period ending in any quarter or year set forth below, to be less than the ratio set forth to the right of such quarter or year. 

  
 1 

					
	 Quarter/Year
	  	Required Consolidated Fixed
Charge Coverage Ratio	 
		
	 Second fiscal quarter of 2011
	  	 	1.08x	  
		
	 Third and fourth fiscal quarters of 2011
	  	 	1.05x	  
		
	 2012 and thereafter
	  	 	1.20x	  

 3. Amendment and Restatement of Exhibit D. Exhibit D (Compliance Certificate) shall be amended,
restated and replaced by Exhibit D attached to this Second Amendment. 
 4. Representations and Warranties. Each Credit
Party hereby represents and warrants to the Administrative Agent and the Lenders that, as to such Credit Party: 

(a) Representations. Each of the representations and warranties of or as to such Credit Party contained in the
Credit Agreement and the other Credit Documents are true and correct in all material respects on and as of the date hereof as if made on and as of the date hereof, except to the extent such representation or warranty was made as of a specific date;

 (b) Power and Authority. (i) Such Credit Party has the power and authority under the laws of its
jurisdiction of organization and under its organizational documents to enter into and perform this Second Amendment and any other documents which the Administrative Agent requires such Credit Party to deliver hereunder (this Second Amendment and any
such additional documents delivered in connection with the Second Amendment are herein referred to as the “Second Amendment Documents”); and (ii) all actions, corporate or otherwise, necessary or appropriate for the due
execution and full performance by such Credit Party of the Second Amendment Documents have been adopted and taken and, upon their execution, the Credit Agreement, as amended by this Second Amendment and the other Second Amendment Documents will
constitute the valid and binding obligations of such Credit Party enforceable in accordance with their respective terms, except as such enforcement may be limited by any Debtor Relief Law from time to time in effect which affect the enforcement of
creditors rights in general and the availability of equitable remedies; 
 (c) No Violation. The making
and performance of the Second Amendment Documents will not (i) contravene, conflict with or result in a breach or default under any applicable law, statute, rule or regulation, or any order, writ, injunction, judgment, ruling or decree of any
court, arbitrator or governmental instrumentality, (ii) contravene, constitute a default under, conflict or be inconsistent with or result in any breach of, any of the terms, covenants, conditions or provisions of, or constitute a default
under, or result in the creation or imposition of (or the obligation to create or impose) any Lien upon any of the property or assets of any Credit Party pursuant to the terms of any indenture, mortgage, deed of

  
 2 

 
trust, loan agreement, credit agreement or any other agreement or instrument to which any Credit Party is a party or by which it or any of its property or assets are bound or to which it may be
subject or (iii) contravene or violate any provision of the certificate of incorporation, by-laws, certificate of partnership, partnership agreement, certificate of limited liability company, limited liability company agreement or equivalent
organizational document, as the case may be, any Credit Party; 
 (d) No Default. Immediately after giving
effect to this Second Amendment, no Default or Event of Default has occurred and is continuing; and 
 (e) No
Material Adverse Effect. No Material Adverse Effect has occurred since December 31, 2010. 
 (f)
Organizational Documents. There have been no changes in the organizational documents of the Credit Parties since April 29, 2011 (or such later date as any such organizational documents were initial adopted), except as previously
disclosed to the Administrative Agent in writing, certified copies of which have been previously provided to the Lenders; 
 5.
Conditions to Effectiveness of Amendment. This Second Amendment shall be effective upon the Administrative Agent’s receipt of the following, each in form and substance reasonably satisfactory to the Administrative Agent: 

(a) Second Amendment. This Second Amendment, duly executed by the Credit Parties and the Required Lenders;

 (b) Lender Fees. The Operating Company shall have paid to the Administrative Agent, for the account of
each Lender executing this Second Amendment, a fee equal to 0.10% of such Lender’s Acquisition Commitment and Revolving Credit Commitment. 
 (c) Other Fees and Expenses. Payment to the Administrative Agent, in immediately available funds, of all amounts necessary to reimburse the Administrative Agent for the reasonable fees and costs
incurred by the Administrative Agent in connection with the preparation and execution of this Second Amendment and any other Credit Document, including, without limitation, all fees and costs incurred by the Administrative Agent’s attorneys;

 (d) Consent and Waivers. Copies of any consents or waivers necessary in order for the Credit Parties to
comply with or perform any of its covenants, agreements or obligations contained in any agreement which are required as a result of any Credit Party’s execution of this Second Amendment, if any; and 

(e) Other Documents and Actions. Such additional agreements, instruments, documents, writings and actions as the
Administrative Agent may reasonably request. 
 Upon the effectiveness of this Second Amendment, the amendment set forth in
Section 2 shall be deemed effective on a retroactive basis to August 31, 2011. 

  
 3 

 6. No Waiver; Ratification. The execution, delivery and performance of this Second
Amendment shall not (a) operate as a waiver of any right, power or remedy of the Lenders under the Credit Agreement or any other Credit Document and the agreements and documents executed in connection therewith or (b) constitute a waiver
of any provision thereof. Except as expressly modified hereby, all terms, conditions and provisions of the Credit Agreement and the other Credit Documents shall remain in full force and effect and are hereby ratified and confirmed by each of the
Credit Parties. Nothing contained herein constitutes an agreement or obligation by the Administrative Agent or the Lenders to grant any further amendments to the Credit Agreement or any of the other Credit Documents. 

7. Acknowledgments. To induce the Administrative Agent and the Amendment Lenders to enter into this Second Amendment, the Credit
Parties acknowledge, agree, warrant, and represent that: 
 (a) Acknowledgment of Obligations; Collateral;
Waiver of Claims. (i) the Credit Documents are valid and enforceable against, and all of the terms and conditions of the Credit Documents are binding on, the Credit Parties; (ii) the liens and security interests granted to the
Collateral Agent, on behalf of the Secured Parties, by the Credit Parties pursuant to the Credit Documents are valid, legal and binding, properly recorded or filed and first priority perfected liens and security interests (subject to Permitted
Liens); and (iii) the Credit Parties hereby waive any and all defenses, set offs and counterclaims which they, whether jointly or severally, may have or claim to have against each of the Secured Parties as of the date hereof. 

(b) No Waiver of Existing Defaults. No Default or Event of Default exists immediately after giving effect to this
Second Amendment. Nothing in this Second Amendment nor any communication between any Secured Party, any Credit Party or any of their respective officers, agents, employees or representatives shall be deemed to constitute a waiver of (i) any
Default or Event of Default arising as a result of the foregoing representation proving to be false or incorrect in any material respect, or (ii) any rights or remedies which any Secured Party has against any Credit Party under the Credit
Agreement or any other Credit Document and/or applicable law, with respect to any such Default or Event of Default arising as a result of the foregoing representation proving to be false or incorrect in any material respect. 

8. Binding Effect. This Second Amendment shall be binding upon and inure to the benefit of the parties hereto and their respective
successors and assigns. 
 9. Governing Law. This Second Amendment shall be governed by and construed in accordance with
the laws of the Commonwealth of Pennsylvania without reference to the choice of law doctrine of the Commonwealth of Pennsylvania. 
 10. Headings. The headings of the sections of this Second Amendment are inserted for convenience only and shall not be deemed to constitute a part of this Second Amendment. 

  
 4 

 11. Counterparts. This Second Amendment may be executed in any number of counterparts
with the same affect as if all of the signatures on such counterparts appeared on one document and each counterpart shall be deemed an original. Delivery of an executed counterpart of a signature page of this Second Amendment by telecopy or by
electronic means shall be effective as delivery of a manually executed counterpart of this Second Amendment. 

  
 5 

 IN WITNESS WHEREOF, the parties hereto, by their respective duly authorized officers, have
executed this Second Amendment to Amended and Restated Credit Agreement as of the date first above written. 
  

			
	General Partner:
	
	STONEMOR GP LLC

			
		
	By:	 	 /s/ Paul
Waimberg

			
	Name:	 	 Paul
Waimberg

			
	Title:	 	 Vice President

	
	Partnership:
	
	STONEMOR PARTNERS L.P.
	By:	 	 STONEMOR GP LLC,
its General
Partner

			
		
	By:	 	 /s/ Paul
Waimberg

			
	Name:	 	 Paul
Waimberg

			
	Title:	 	 Vice President

	
	Operating Company:
	
	STONEMOR OPERATING LLC

			
		
	By:	 	 /s/ Paul
Waimberg

			
	Name:	 	 Paul
Waimberg

			
	Title:	 	 Vice President

  

Borrowers’ Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 Additional Credit Parties 
 Alleghany Memorial Park Subsidiary, Inc. 
 Altavista Memorial Park Subsidiary, Inc. 

Arlington Development Company 
 Augusta Memorial
Park Perpetual Care Company 
 Bethel Cemetery Association 
 Beth Israel Cemetery Association of Woodbridge, New Jersey 
 Birchlawn Burial Park Subsidiary, Inc.

 Cedar Hill Funeral Home, Inc. 

Cemetery Investments Subsidiary, Inc. 
 Chapel
Hill Associates, Inc. 
 Chapel Hill Funeral Home, Inc. 
 Clover Leaf Park Cemetery Association 
 Columbia Memorial Park Subsidiary, Inc. 

Cornerstone Family Insurance Services, Inc. 

Cornerstone Family Services of New Jersey, Inc. 

Cornerstone Family Services of West Virginia Subsidiary, Inc. 
 Covenant Acquisition Subsidiary, Inc. 
 Covington Memorial Funeral Home, Inc. 

Covington Memorial Gardens, Inc. 
 Crown Hill
Cemetery Association 
 Eloise B. Kyper Funeral Home, Inc. 
 Forest Lawn Gardens, Inc. 
 Forest Lawn Memorial Chapel, Inc. 

Forest Lawn Memory Gardens, Inc. 
 Glen Haven
Memorial Park Subsidiary, Inc. 
 Henry Memorial Park Subsidiary, Inc. 
 Highland Memorial Park, Inc. 
 Hillside Memorial Park Association, Inc. 

KIRIS Subsidiary, Inc. 
 Lakewood/Hamilton
Cemetery Subsidiary, Inc. 
 Lakewood Memory Gardens South Subsidiary, Inc. 
 Laurel Hill Memorial Park Subsidiary, Inc. 
 Laurelwood Holding Company 

Legacy Estates, Inc. 
 Locustwood Cemetery
Association 
 Loewen [Virginia] Subsidiary, Inc. 
 Lorraine Park Cemetery Subsidiary, Inc. 
 Modern Park Development Subsidiary, Inc. 

Northlawn Memorial Gardens 
 Oak Hill Cemetery
Subsidiary, Inc. 
  

			
	By:	 	 /s/ Paul Waimberg

	Paul Waimberg, as Vice President of Finance for each of the above-named Credit Parties

  

Borrowers’ Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 Ohio Cemetery Holdings, Inc. 
 Osiris Holding Finance Company 
 Osiris Holding of Maryland Subsidiary, Inc. 

Osiris Holding of Rhode Island Subsidiary, Inc. 

Osiris Management, Inc. 
 Osiris Telemarketing
Corp. 
 Perpetual Gardens.Com, Inc. 

PVD Acquisitions Subsidiary, Inc. 
 Prince George
Cemetery Corporation 
 Rockbridge Memorial Gardens Subsidiary Company 
 Rose Lawn Cemeteries Subsidiary, Incorporated 
 Roselawn Development Subsidiary Corporation

 Russell Memorial Cemetery Subsidiary, Inc. 
 SCI Puerto Rico Funeral and Cemetery Services, Inc. 
 Shenandoah Memorial Park Subsidiary, Inc.

 Sierra View Memorial Park 
 Southern
Memorial Sales Subsidiary, Inc. 
 Springhill Memory Gardens Subsidiary, Inc. 
 Star City Memorial Sales Subsidiary, Inc. 
 Stephen R. Haky Funeral Home, Inc. 

Stitham Subsidiary, Incorporated 
 StoneMor
Alabama Subsidiary, Inc. 
 StoneMor California, Inc. 
 StoneMor California Subsidiary, Inc. 
 StoneMor Georgia Subsidiary, Inc. 

StoneMor Hawaii Subsidiary, Inc. 
 StoneMor North
Carolina Funeral Services, Inc. 
 StoneMor Ohio Subsidiary, Inc. 
 StoneMor Tennessee Subsidiary, Inc. 
 StoneMor Washington, Inc. 

Sunset Memorial Gardens Subsidiary, Inc. 
 Sunset
Memorial Park Subsidiary, Inc. 
 Temple Hill Subsidiary Corporation 
 The Valhalla Cemetery Subsidiary Corporation 
 Virginia Memorial Service Subsidiary Corporation

 W N C Subsidiary, Inc. 
 Wicomico
Memorial Parks Subsidiary, Inc. 
 Willowbrook Management Corp. 
  

			
	By:	 	 /s/ Paul Waimberg

	Paul Waimberg, as Vice President of Finance for each of the above-named Credit Parties

  

Borrowers’ Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 Alleghany Memorial Park LLC 
 Altavista Memorial Park LLC 
 Birchlawn Burial Park LLC 

Cemetery Investments LLC 
 Cemetery Management
Services, L.L.C. 
 Cemetery Management Services of Mid-Atlantic States, L.L.C. 
 Cemetery Management Services of Ohio, L.L.C. 
 CMS West LLC 

CMS West Subsidiary LLC 
 Columbia Memorial Park
LLC 
 Cornerstone Family Services of West Virginia LLC 
 Cornerstone Funeral and Cremation Services LLC 
 Covenant Acquisition LLC 

Glen Haven Memorial Park LLC 
 Henlopen Memorial
Park LLC 
 Henlopen Memorial Park Subsidiary LLC 
 Henry Memorial Park LLC 
 Juniata Memorial Park LLC 

KIRIS LLC 
 Lakewood/Hamilton Cemetery LLC

 Lakewood Memory Gardens South LLC 

Laurel Hill Memorial Park LLC 
 Loewen [Virginia]
LLC 
 Lorraine Park Cemetery LLC 

Modern Park Development LLC 
 Oak Hill Cemetery
LLC 
 Osiris Holding of Maryland LLC 

Osiris Holding of Pennsylvania LLC 
 Osiris
Holding of Rhode Island LLC 
 Plymouth Warehouse Facilities LLC 
 PVD Acquisitions LLC 
 Rockbridge Memorial Gardens LLC 

Rolling Green Memorial Park LLC 
 Rose Lawn
Cemeteries LLC 
 Roselawn Development LLC 
 Russell Memorial Cemetery LLC 
 Shenandoah Memorial Park LLC 

Southern Memorial Sales LLC 
 Springhill Memory
Gardens LLC 
 Star City Memorial Sales LLC 
 Stitham LLC 
  

			
	By:	 	 /s/ Paul Waimberg

	Paul Waimberg, as Vice President of Finance for each of the above-named Credit Parties

  

Borrowers’ Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 StoneMor Alabama LLC 
 StoneMor Arkansas Subsidiary LLC 
 StoneMor Cemetery Products LLC 

StoneMor Colorado LLC 
 StoneMor Colorado
Subsidiary LLC 
 StoneMor Florida Subsidiary LLC 
 StoneMor Georgia LLC 
 StoneMor Hawaii LLC 
 StoneMor Hawaiian Joint Venture Group LLC 
 StoneMor Holding of Pennsylvania LLC 

StoneMor Illinois LLC 
 StoneMor Illinois
Subsidiary LLC 
 StoneMor Indiana LLC 

StoneMor Indiana Subsidiary LLC 
 StoneMor Iowa
LLC 
 StoneMor Iowa Subsidiary LLC 

StoneMor Kansas LLC 
 StoneMor Kansas Subsidiary
LLC 
 StoneMor Kentucky LLC 
 StoneMor
Kentucky Subsidiary LLC 
 StoneMor Michigan LLC 
 StoneMor Michigan Subsidiary LLC 
 StoneMor Mississippi LLC 

StoneMor Mississippi Subsidiary LLC 
 StoneMor
Missouri LLC 
 StoneMor Missouri Subsidiary LLC 
 StoneMor North Carolina LLC 
 StoneMor North Carolina Subsidiary LLC 

StoneMor Ohio LLC 
 StoneMor Oklahoma LLC

 StoneMor Oklahoma Subsidiary LLC 

StoneMor Oregon LLC 
 StoneMor Oregon Subsidiary
LLC 
 StoneMor Pennsylvania LLC 

StoneMor Pennsylvania Subsidiary LLC 
 StoneMor
Puerto Rico LLC 
 StoneMor Puerto Rico Subsidiary LLC 
 StoneMor South Carolina LLC 
 StoneMor South Carolina Subsidiary LLC 

StoneMor Washington Subsidiary LLC 
  

			
	By:	 	 /s/ Paul Waimberg

	Paul Waimberg, as Vice President of Finance for each of the above-named Credit Parties

  

Borrowers’ Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 Sunset Memorial Gardens LLC 
 Sunset Memorial Park LLC 
 Temple Hill LLC 
 The Valhalla Cemetery Company LLC 
 Tioga County Memorial Gardens LLC 

Virginia Memorial Service LLC 
 WNCI LLC

 Wicomico Memorial Parks LLC 

Woodlawn Memorial Park Subsidiary LLC 
  

			
	By:	 	 /s/ Paul Waimberg

	Paul Waimberg, as Vice President of Finance for each of the above-named Credit Parties

  

Borrowers’ Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	BANK OF AMERICA, N.A., as
Administrative Agent
		
	By:	 	 /s/ Fani
Davidson

			
	Name:	 	 Fani
Davidson

			
	Title:	 	 Assistant Vice President

  

Administrative Agent’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	BANK OF AMERICA, N.A., as a Lender,
	L/C Issuer and Swing Line Lender
		
	By:	 	 /s/ Kenneth G. Wood

	Name: Kenneth G. Wood
	Title: Senior Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	SOVEREIGN BANK
		
	By:	 	 /s/ Daniel
Vereb

			
	Name:	 	 Daniel
Vereb

			
	Title:	 	 Senior Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	TD BANK, N.A.
		
	By:	 	 /s/ Peter L.
Davis

			
	Name:	 	 Peter L.
Davis

			
	Title:	 	 Senior Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	CAPITAL ONE, N.A.
		
	By:	 	 /s/ Allison Sardo

	Name: Allison Sardo
	Title: Senior Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	FIRST NIAGARA BANK, N.A.
		
	By:	 	 /s/ Henry G. Kush,
Jr.

			
	Name:	 	 Henry G. Kush,
Jr.

			
	Title:	 	 Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	SUN NATIONAL BANK
		
	By:	 	 /s/ Michael
Coulter

			
	Name:	 	 Michael
Coulter

			
	Title:	 	 Senior Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	TRISTATE CAPITAL BANK
		
	By:	 	 /s/ Kent
Nelson

			
	Name:	 	 Kent
Nelson

			
	Title:	 	 Senior Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	BENEFICIAL MUTUAL SAVINGS BANK
		
	By:	 	 /s/ Mark G.
Tressel

			
	Name:	 	 Mark G.
Tressel

			
	Title:	 	 Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	FOX CHASE BANK
		
	By:	 	 /s/ Paul A.
Pyfer

			
	Name:	 	 Paul A.
Pyfer

			
	Title:	 	 Senior Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 
			
	RAYMOND JAMES BANK, FSB
		
	By:	 	 /s/ Scott G. Axelrod

	Name: Scott G. Axelrod
	Title: Vice President

  

Lender’s Signature Page to Second Amendment to Second Amended and Restated Credit Agreement 

 EXHIBIT D 

FORM OF COMPLIANCE CERTIFICATE 
 Financial Statement Date:             ,          

 

	To:	Bank of America, N.A., as Administrative Agent 

Ladies and Gentlemen: 

Reference is made to that certain Second Amended and Restated Credit Agreement, dated April 29, 2011, as amended (as amended,
modified or otherwise supplemented from time to time, the “Agreement”), the terms defined therein being used herein as therein defined), among StoneMor Operating LLC, a Delaware limited liability company (the “Operating
Company”), each of the Subsidiaries of the Operating Company (each individually a “Borrower” and collectively, the “Borrowers”), StoneMor GP LLC, a Delaware limited liability company (the “General
Partner”), StoneMor Partners L.P., a Delaware limited liability partnership (the “Partnership”, together with the General Partner and the Borrowers, each a “Credit Party” and collectively, the
“Credit Parties”), the Lenders from time to time party thereto, and Bank of America, N.A., as Administrative Agent, L/C Issuer and Swing Line Lender. Unless otherwise indicated, all capitalized terms used and not defined herein
shall have the respective meanings ascribed thereto in the Credit Agreement. 
 The undersigned Responsible Officer hereby
certifies as of the date hereof that he/she is the                      of the General Partner, and that, as such, he/she is authorized to execute
and deliver this Certificate to the Administrative Agent on the behalf of the Credit Parties, and that: 
 [Use following
paragraph 1 for fiscal year-end financial statements] 
 1. The Credit Parties have delivered the year-end audited financial
statements required by Section 6.01(a) of the Agreement for the fiscal year of the Credit Parties ended as of the above date, together with the report and opinion of an independent certified public accountant required by such section.

 [Use following paragraph 1 for fiscal quarter-end financial statements] 

1. The Credit Parties have delivered the unaudited financial statements required by Section 6.01(b) of the Agreement for the
fiscal quarter of the Credit Parties ended as of the above date. Such consolidated financial statements fairly present in all material respects the financial condition, results of operations and cash flows of the Partnership and its Subsidiaries in
accordance with GAAP as at such date and for such period, subject only to normal year-end audit adjustments and the absence of footnotes. 
 2. The undersigned has reviewed and is familiar with the terms of the Agreement and has made, or has caused to be made under his/her supervision, a detailed review of the transactions and condition
(financial or otherwise) of the Credit Parties during the accounting period covered by such financial statements. 

  
 D-1

 Form of Compliance Certificate 

 3. The review described in paragraph 2 above did not disclose, and I have no knowledge of,
the existence of any condition or the occurrence of any event which constitutes a Default or Event of Default during or at the end of the fiscal period covered by the financial statements described in paragraph 1 above[, except as set forth below].

 4. The representations and warranties of the Credit Parties contained in Article V of the Agreement and all
representations and warranties of any Credit Party that are contained in any document furnished at any time under or in connection with the Credit Documents, are true and correct in all material respects on and as of the date hereof, except to the
extent that such representations and warranties specifically refer to an earlier date, in which case they are true and correct as of such earlier date, and except that for purposes of this Compliance Certificate, the representations and warranties
contained in subsections (a) and (b) of Section 5.05 of the Agreement shall be deemed to refer to the most recent statements furnished pursuant to clauses (a) and (b), respectively, of Section 6.01 of the
Agreement, including the statements in connection with which this Compliance Certificate is delivered. 
 5. The financial
covenant analyses and information set forth on Schedule 1 attached hereto are true and accurate for the fiscal period covered thereby. 
 IN WITNESS WHEREOF, the undersigned has executed this Certificate as of                     ,
                    . 
  

			
	STONEMOR GP LLC
		
	 By:
	 	  

			
	 Name:
	 	  

			
	 Title:
	 	  

  
 D-2

 Form of Compliance Certificate 

 For the Quarter/Year ended
            , 201     (“Statement Date”) 
 SCHEDULE 1 
 to the Compliance Certificate 

($ in 000’s) 
  

	I	Section 7.11(a) – Minimum EBITDA. 

  

									
	A.	 	Consolidated EBITDA for Measurement Period ending on above date (the “Subject Period”):	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 1.
	 	 Consolidated Net Income of the Partnership and its Subsidiaries for Subject Period:
	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 2.
	 	Consolidated interest expense of the Partnership and its Subsidiaries for Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 3.
	 	Provision for income taxes for Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 4.
	 	Depreciation and amortization expenses for Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 5.
	 	Non-cash cost for Cemetery Property and real property sold for Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 6.
	 	Any extraordinary losses for Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 7.
	 	Losses from sales of assets other than inventory and Cemetery Property and real property sold in the ordinary course of business for Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 8.
	 	Other non-cash items (including, without limitation, one time charges associated with “cheap stock” compensation expense) for the Subject Period:	  	$	            	  
		 		 		  	  
	  
	 

  
 D-3

 Form of Compliance Certificate 

									
				
		 	 9.
	 	Reasonable fees, costs and expenses, without duplication, incurred in connection with (i) the Seventh Amendment to the Existing Credit Agreement and the related amendment to
the Note Purchase Agreement (as defined in the Existing Credit Agreement), (ii) the Eighth Amendment to the Existing Credit Agreement and Refinancing Issuance (as defined therein), (iii) the Senior Note Refinancing (as defined in the
Existing Credit Agreement), (iv) the Agreement and the other Credit Documents, including any future amendment, restatement, supplement or other modification of the Agreement or any of the other Credit Documents and (v) to the extent permitted
under the Credit Agreement, the issuance of Equity Interests and debt securities by the Partnership (it being agreed that the addback described above shall be permitted with respect to each amendment or other transaction described above irrespective
of whether such amendment or transaction is actually consummated):	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 10.
	 	Any extraordinary gains for the Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 11.
	 	Gains from sales of assets other than inventory and Cemetery Property and real property sold in the ordinary course of business for the Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 12.
	 	The amount of non-cash gains (other than as a result of deferral of purchase price with respect to notes or installment sale contracts received in connection with the sales of
Cemetery Property) for the Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 13.
	 	Other non-cash gains for the Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 14.
	 	Balance Sheet Adjustments (including 14a - any changes arising as a result of the Highland Capital Sale)	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 14a
	 	Adjustment for changes arising as a result of the Highland Capital Sale	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 15.
	 	Pro Forma Basis Adjustments	  	$	            	  
		 		 		  	  
	  
	 
				
		 	 16.
	 	Consolidated EBITDA (Lines I.A. 1+2 + 3+ 4 + 5 + 6 + 7 + 8 + 9 –10 – 11 – 12 – 13 +/– 14 +14a +/– 15):	  	$	            	  
		 		 		  	  
	  
	 
			
	 B.
	 	 $52,000,000
	  	$	            	  
		 		 		  	  
	  
	 
			
	 C.
	 	 80% of Permitted Acquisition Step-Up
	  	$	            	  
		 		 		  	  
	  
	 
			
	 D.
	 	 Minimum required: (Line I.B.+ I.C.)
	  	$	            	  
		 		 		  	  
	  
	 
			
	 E.
	 	 Excess (deficient) for covenant compliance (Line I.A. 16 – I.D):
	  	$	            	  
		 		 		  	  
	  
	 

  
 D-4

 Form of Compliance Certificate 

	II	Section 7.11(b) – Minimum Consolidated Fixed Charge Coverage Ratio. 

 

							
	 A.
	 	 Consolidated EBITDA for Subject Period (Line I.A. 16 above):
	  	$	            	  
		 		  	  
	  
	 
			
	 B.
	 	 Cash dividends or distributions made by the Partnership for Subject Period:
	  	$	            	  
		 		  	  
	  
	 
			
	 C.
	 	 Consolidated Fixed Charges for Subject Period:
	  	$	            	  
		 		  	  
	  
	 
			
	 D.
	 	 Consolidated Fixed Charge Coverage Ratio ((Line II.A - II.B) ÷ Line II.C):
	  	 	         to 1.0	  
			
		 	Minimum required:	  	 
 
 
 
 

 
 
 
 
 	1.08 to 1.0
(2nd Quarter
of 2011);
1.05 to 1.0
(3rd and
4th
Quarters of
2011);
1.20 to
1.0
(2012 and
thereafter)	  
  
  
  
  

  
  
  
  
  

  

	III	Section 7.11(c) – Consolidated Leverage Ratio 

  

							
	 A.
	 	 Consolidated Funded Indebtedness for Subject Period:
	  	$	            	  
		 		  	  
	  
	 
			
	 B.
	 	 Consolidated EBITDA for Subject Period (Line I.A.16 above):
	  	$	 	  
		 		  	  
	  
	 
			
	 C.
	 	 Consolidated Leverage Ratio for Subject Period (Line III.A ÷ III.B):
	  	 	         to 1.0	  
			
		 	Maximum permitted:	  	 
 
 
 
 
 
 	3.75 to 1.0
until
12/31/10;
3.65 to 1.0
after
12/31/10
(thereafter)	  
  
  
  
  
  
  

  

	IV	Section 7.11(d) – Maximum Maintenance Capital Expenditures 

 

							
			
	 A.
	 	Capital Expenditures of the Partnership and any of its Subsidiaries for Subject Period:	  	$	            	  
		 		  	  
	  
	 
			
	 B.
	 	Capital Expenditures of the Partnership and any of its Subsidiaries representing amounts paid in connection with improvements which enhance (as opposed to maintain) the value of
property for Subject Period:	  	$	            	  
		 		  	  
	  
	 

  
 D-5

 Form of Compliance Certificate 

									
	C.	 	Capital Expenditures of the Partnership and any of its Subsidiaries representing amounts paid in connection with the purchase or construction of mausoleums for Subject
Period:	  	$	            	  
		 		 		  	  
	  
	 
			
	D.	 	Capital Expenditures of the Partnership and any of its Subsidiaries representing amounts paid in connection with Permitted Acquisitions for Subject Period:	  	$	            	  
		 		 		  	  
	  
	 
			
	E.	 	Maintenance Capital Expenditures for Subject Period (Line IV.A – (IV.B + C + D):	  	$	            	  
		 		 		  	  
	  
	 
			
		 	Maximum permitted:	  	 
 
 
 
 
 
 
 
 
 	2010,
2011 -
$4,600,000
2012 -
$5,200,000
2013 -
$5,800,000
2014,
thereafter -
$6,500,000	  
  
  
  
  
  
  
  
  
  

  
 D-6

 Form of Compliance CertificateEmployment Agreement

 Exhibit 10.6 
 

 
 October 28, 2011 
 Christophe Schilling 
  

	 	Re:	Chief Executive Officer Agreement with Genomatica, Inc. 

 Dear Christophe, 
 By this letter, you and Genomatica, Inc. (the “Company”) agree
to amend and restate the terms of your position as Chief Executive Officer pursuant to the terms of this letter agreement (this “Agreement”). This Agreement is made and entered into as of the last day either party executes this
Agreement (the “Effective Date”) and shall supersede any prior written or oral agreements relating to the conditions of your employment with the Company. You and the Company hereby agree as follows: 

1. Employment. 
 1.1
Title and Duties. You shall have the title of Chief Executive Officer of the Company (“CEO”). In your capacity as CEO you shall have the responsibilities typically required of a CEO, as well as any other services, acts and
things as may be required from time to time by the Company. You will report to the Board of Directors of the Company. 
 1.2
Location. Your principal place of employment shall be the Company’s facility in San Diego, California, provided that the Company may from time to time require you to travel to other locations in connection with the Company’s business.

 1.3 Policies and Practices. Your employment shall be governed by this Agreement and by the policies and practices
established by the Company and the Board. In the event that the terms of this Agreement differ from or are in conflict with the Company’s policies or practices or the Company’s Employee Handbook, this Agreement shall control. 

1.4 Employment At Will. Your employment with the Company is “at will.” This means that either you or the Company may
terminate the employment relationship at any time and for any reason or no reason, with or without cause or prior notice. 
 2. Compensation.

 2.1 Base Salary. You shall receive a base salary of two hundred ninety two thousand and one hundred twenty five
dollars ($292,125) per year, effective as of the Effective Date and 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 
less any required withholdings and deductions (the “Base Salary”). Such Base Salary shall be prorated for any partial year of employment on the basis of a 365-day fiscal year.
You will receive your Base Salary incrementally in semi-monthly payments on the Company’s regular payroll dates. 
 2.2
Discretionary Bonus. In addition to the Base Salary, during each fiscal year of employment with the Company, you also will be eligible to receive an annual discretionary bonus of up to thirty five percent (35%) of your then-current base
salary based on your performance, as determined by the Board in its sole discretion, against fundamental corporate and individual objectives to be determined by the Board after consultation with you. It is anticipated that twenty five percent
(25%) of this bonus will be against individual objectives and seventy five percent (75%) be against fundamental corporate objectives pursued collectively by the executive management team. The Board shall have the sole discretion to
determine the amount of the bonus, if any, for a given year. You must be employed on the date any bonus is awarded to be eligible for the bonus. Bonus amounts may be pro-rated for partial year service as determined by the Board in its sole
discretion. 
 2.3 Benefits. You are currently eligible for an accrual of thirty (30) days paid time off, as well as
paid holidays, in accordance with Company policy. You are also eligible to participate in the Company’s employee benefits plans, including health and dental insurance plans, subject to Company policy and the terms and conditions of the
applicable plans. 
 2.4 Changes to Compensation and Benefits. Your compensation and benefits (exclusive of the
Company’s obligations under Section 3), including your Base Salary, are subject to annual review by the Compensation Committee of the Board and may be changed from time to time in the Company’s discretion. 

3. Termination. 
 3.1
Termination for Death or Complete Disability. Your employment with the Company shall automatically terminate effective upon the date of your death or Complete Disability. In the event of a termination for death or Complete Disability, the
Company shall pay to you or to your estate all base salary, accrued and unused paid time off benefits, any accrued bonuses determined by the Board to have been earned by you in accordance with Section 2.2 and any other accrued benefits, in each
case as earned through the date of termination, and any unreimbursed expenses incurred in accordance with Company policy, at the rates in effect at the time of termination, less standard deductions and withholdings. The Company shall thereafter have
no further obligations to you, your estate, or your heirs under this Agreement, except as otherwise provided by law. 
 3.2
Termination for Cause or Resignation Without Good Reason. If your employment is terminated by the Company for Cause, or if you voluntarily resign your employment without Good Reason (as defined below), the Company shall pay you all base salary,
accrued and unused paid time off benefits and any accrued bonuses determined by the Board to have been earned by you in accordance with Section 2.2 and any other accrued benefits, in each case as earned through the date of termination, and any
unreimbursed expenses incurred in accordance with Company policy, at the rates in effect at the time of termination, less standard 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 
deductions and withholdings. The Company shall thereafter have no further obligations to you under this Agreement. 
 3.3 Termination Without Cause or Resignation For Good Reason Not in Connection with a Change in Control. If, at any time other than within the three months immediately preceding or the 12 months
immediately following the effective date of a Change in Control (as defined below), your employment terminates due to an involuntary termination (not including death or Complete Disability) without Cause, or due to your voluntary resignation for
Good Reason, the Company shall pay you all base salary, accrued and unused paid time off benefits and any accrued bonuses determined by the Board to have been earned by you in accordance with Section 2.2 and any other accrued benefits, in each
case as earned through the date of termination, and any unreimbursed expenses incurred in accordance with Company policy, at the rates in effect at the time of termination, less standard deductions and withholdings. In addition, upon your furnishing
to the Company an effective waiver and release of claims substantially similar to the form attached hereto as Exhibit A (the “Release and Waiver”) within the time frame set forth therein, but in no event later than 45 days
following your termination date, you shall be entitled to: (1) severance payments in an aggregate amount up to twelve (12) months of your then-current base salary, paid to you on the Company’s regular paydays until the earlier of
(i) the date that is twelve (12) months following your termination or (ii) the date as of which you commence employment with another employer, subject to standard payroll deductions and withholdings, with the first such payment being
made on the first payday following the date the Release and Waiver becomes effective (it being understood that such first payment shall include any amounts otherwise payable hereunder on paydays that occur prior to the date the Release and Waiver
becomes effective); (2) a lump sum payment equal to your then-current target bonus, subject to standard payroll deductions and withholdings, payable within thirty (30) days of the date the Release and Waiver becomes effective; and
(3) provided that you timely elect such coverage, the continuation of your group health continuation coverage under the Consolidated Omnibus Budget Reconciliation Act of 1986 (“COBRA”) at the Company’s expense for a period
of twelve (12) months following the termination date; provided, however, that in the event you become eligible for comparable group insurance coverage in connection with new employment, such COBRA premium payments by the Company shall
terminate immediately (collectively, the “Severance Benefits”). In the event you are eligible for Severance Benefits under this Section 3.3, you are not eligible for any Change In Control Severance Benefits under
Section 3.4 below. 
 3.4 Termination Without Cause or Resignation For Good Reason in Connection with a Change in
Control. If, within the three (3) months immediately preceding or the twelve (12) months immediately following the effective date of a Change in Control, your employment terminates due to an involuntary termination (not including death
or Complete Disability) without Cause, or due to your voluntary resignation for Good Reason, the Company shall pay you all base salary, accrued and unused paid time off benefits and any accrued bonuses determined by the Board to have been earned by
you in accordance with Section 2.2 and any other accrued benefits, in each case as earned through the date of termination, and any unreimbursed expenses incurred in accordance with Company policy, at the rates in effect at the time of such
termination, less standard deductions and withholdings. In addition, upon your furnishing to the Company the Release and Waiver within the time frame set forth therein, but in 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 
no event later than 45 days following your termination date, you shall be entitled to: (1) a single lump-sum payment in an amount equal to twelve (12) months of your then-current base
salary, subject to standard payroll deductions and withholdings, payable within 10 business days of the date the Release and Waiver becomes effective; (2) a lump sum payment equal to twelve (12) months of your then-current target bonus,
subject to standard payroll deductions and withholdings, payable within thirty (30) days of the date the Release and Waiver becomes effective; and (3) provided that you timely elect such coverage, the continuation of your group health
continuation coverage under COBRA at the Company’s expense for a period of twelve (12) months following the termination date; provided, however, that in the event you become eligible for comparable group insurance coverage in
connection with new employment, such COBRA premium payments by the Company shall terminate immediately; and (4) the vesting of the shares subject to each of your equity awards received from the Company shall be accelerated such that one-hundred
percent (100%) of said shares shall be deemed fully-vested and, if applicable, immediately exercisable effective as of the date of such termination (with any awards subject to performance vesting conditions to be fully vested at the target
number of shares). In the event you are eligible for Change In Control Severance Benefits under this Section 3.4, you are not eligible for any Severance Benefits under Section 3.3 above. 

3.5 Application of Internal Revenue Code Section 409A. Notwithstanding anything to the contrary herein, the following
provisions apply to the extent severance benefits provided herein are subject to Section 409A of the Internal Revenue Code of 1986, as amended (the “Code”) and the regulations and other guidance thereunder
and any state law of similar effect (collectively “Section 409A”). Severance benefits shall not commence until you have a “separation from service” for purposes of Section 409A. Each installment
of severance benefits is a separate “payment” for purposes of Treas. Reg. Section 1.409A-2(b)(2)(i), and the severance benefits are intended to satisfy the exemptions from application of Section 409A provided under Treasury
Regulations Sections 1.409A-l(b)(4), 1.409A-1(b)(5) and 1.409A-1(b)(9). However, if such exemptions are not available and you are, upon separation from service, a “specified employee” for purposes of Section 409A, then, solely to the
extent necessary to avoid adverse personal tax consequences under Section 409A, the timing of the severance benefits payments shall be delayed until the earlier of (i) six (6) months and one day after your separation from service, or
(ii) your death. 
 You shall receive severance benefits only if you execute and return to the Company, within the applicable time period
set forth therein but in no event more than forty-five (45) days following the date of separation from service, the Release and Waiver attached to this Agreement as Exhibit A, and permit the Release and Waiver to become effective in
accordance with its terms (such latest permitted date, the “Release and Waiver Deadline”). If the severance benefits are not covered by one or more exemptions from the application of Section 409A and the
Release and Waiver could become effective in the calendar year following the calendar year in which you separate from service, the Release and Waiver will not be deemed effective any earlier than the Release and Waiver Deadline. None of the
severance benefits will be paid or otherwise delivered prior to the effective date of the Release and Waiver. Except to the minimum extent that payments must be delayed because you are a “specified employee” or until the effectiveness of
the Release and Waiver, all amounts will be paid as soon as practicable in accordance with the Company’s normal payroll practices. 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 The severance benefits are intended to qualify for an exemption from application of Section 409A or
comply with its requirements to the extent necessary to avoid adverse personal tax consequences under Section 409A, and any ambiguities herein shall be interpreted accordingly. 

3.6 Limitation on Payments. 
 (a) If any payment or benefit you will or may receive from the Company or otherwise (a “280G Payment”) would (i) constitute a “parachute payment” within the
meaning of Section 280G of the Code, and (ii) but for this sentence, be subject to the excise tax imposed by Section 4999 of the Code (the “Excise Tax”), then any such 280G Payment pursuant to this Agreement (a
“Payment”) shall be equal to the Reduced Amount. The “Reduced Amount” shall be either (x) the largest portion of the Payment that would result in no portion of the Payment (after reduction) being
subject to the Excise Tax or (y) the largest portion, up to and including the total, of the Payment, whichever amount (i.e., the amount determined by clause (x) or by clause (y)), after taking into account all applicable federal, state and
local employment taxes, income taxes, and the Excise Tax (all computed at the highest applicable marginal rate), results in your receipt, on an after-tax basis, of the greater economic benefit notwithstanding that all or some portion of the Payment
may be subject to the Excise Tax. If a reduction in a Payment is required pursuant to the preceding sentence and the Reduced Amount is determined pursuant to clause (x) of the preceding sentence, the reduction shall occur in the manner (the
“Reduction Method”) that results in the greatest economic benefit for you. If more than one method of reduction will result in the same economic benefit, the items so reduced will be reduced pro rata (the “Pro Rata
Reduction Method”). 
 (b) Notwithstanding any provision of paragraph (a) to the contrary, if the
Reduction Method or the Pro Rata Reduction Method would result in any portion of the Payment being subject to taxes pursuant to Section 409A of the Code that would not otherwise be subject to taxes pursuant to Section 409A of the Code,
then the Reduction Method and/or the Pro Rata Reduction Method, as the case may be, shall be modified so as to avoid the imposition of taxes pursuant to Section 409A of the Code as follows: (A) as a first priority, the modification shall
preserve to the greatest extent possible, the greatest economic benefit for you as determined on an after-tax basis; (B) as a second priority, Payments that are contingent on future events (e.g., being terminated without cause), shall be
reduced (or eliminated) before Payments that are not contingent on future events; and (C) as a third priority, Payments that are “deferred compensation” within the meaning of Section 409A of the Code shall be reduced (or
eliminated) before Payments that are not deferred compensation within the meaning of Section 409A of the Code. 

(c) Unless you and the Company agree on an alternative accounting firm or law firm, the accounting firm engaged by the Company for
general tax compliance purposes as of the day prior to the effective date of the Change in Control shall perform the foregoing calculations. If the accounting firm so engaged by the Company is serving as accountant or auditor for the individual,
entity or group effecting the Change in Control, the Company shall appoint a nationally recognized accounting or law firm to make the determinations required hereunder. The Company shall bear all expenses with respect to the determinations by such
accounting or law firm required to be made hereunder. The Company shall use commercially reasonable efforts to cause the accounting or law firm engaged to make the determinations hereunder to provide its calculations, together with detailed
supporting documentation, to you and the Company within fifteen (15) calendar days after the date on which your right to a 280G 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 
Payment becomes reasonably likely to occur (if requested at that time by you or the Company) or such other time as requested by you or the Company. 

(d) If you receive a Payment for which the Reduced Amount was determined pursuant to clause (x) of Section 3.6(a) and
the Internal Revenue Service determines thereafter that some portion of the Payment is subject to the Excise Tax, you shall promptly return to the Company a sufficient amount of the Payment (after reduction pursuant to clause (x) of
Section 3.6(a)) so that no portion of the remaining Payment is subject to the Excise Tax. For the avoidance of doubt, if the Reduced Amount was determined pursuant to clause (y) Section 3.6(a), you shall have no obligation to return
any portion of the Payment pursuant to the preceding sentence. 
 3.7 Definitions. 

(a) Change in Control. “Change in Control” shall have the meaning ascribed to it in Section 13(d) of the
Company’s 2008 Equity Incentive Plan; provided, however, that a merger or other transaction effected solely for the purpose of changing the domicile of the Company shall not constitute a “Change in Control” for purposes of this
Agreement. 
 (b) Cause. “Cause” shall mean, as determined in the sole discretion of the Board following
written notice of the condition(s) believed to constitute Cause, which notice shall describe such condition(s) and, to the extent such conditions are curable, a reasonable period of time, not to exceed 30 days following receipt of the written
notice, to cure such conditions: (i) your failure to satisfactorily meet documented performance goals; (ii) your failure to comply with all material applicable laws in performing your job duties or in directing the conduct of the
Company’s business; (iii) your commission of any felony or intentionally fraudulent acts against the Company, its affiliates, employees, agents or customers; (iv) your participation in any activity that is directly competitive with or
intentionally injurious to the Company or any of its affiliates or which violates the terms of your Proprietary Information and Inventions Agreement; or (v) your commission of any fraud against the Company or any of its affiliates, or use or
intentional appropriation for your personal use or benefit of any funds or material properties of the Company not authorized by the Board to be so used or appropriated. 
 (c) Good Reason. “Good Reason” for you to terminate your employment hereunder shall mean the occurrence of any of the following events without your consent: (i) the relocation of
your principal place of employment to a point more than thirty-five (35) miles from San Diego County, California; (ii) a material reduction in your base salary relative to your base salary in effect immediately prior to such reduction,
unless such reduction is part of an across-the-board reduction in the salary level of all other executive officers of the Company by the same percentage amount; (iii) a material adverse change in your duties, authority or responsibilities
relative to the duties, authority or responsibilities in effect immediately prior to such reduction; provided, however, that a reduction in duties, position or responsibilities solely by virtue of the Company being acquired and made part of a larger
entity (as, for example, when you retain a similar position with a subsidiary of the acquiring entity following a Change of Control, but you do not hold the same position in the acquiring entity) shall not constitute “Good Reason;” or
(iv) a material breach by the Company of its obligations under this Agreement; provided, however, that, such termination by you shall only be deemed for “Good Reason” pursuant to the foregoing definition if: (A) you give
the Company written notice of your intent to terminate for Good Reason within 60 days following the first occurrence of the condition(s) that you believe constitute(s) Good Reason, which notice shall describe such condition(s); (B) the Company
fails 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 
to remedy such condition(s) within 30 days following receipt of the written notice (the “Cure Period”); and (C) you voluntarily terminate your employment within 60 days following
the end of the Cure Period. 
 (d) Complete Disability. “Complete Disability” shall mean your inability to
perform your duties under this Agreement, whether with or without reasonable accommodation, because you have become permanently disabled within the meaning of any policy of disability income insurance covering employees of the Company then in force.
In the event the Company has no policy of disability income insurance covering employees of the Company in force when you become disabled, the term “Complete Disability” shall mean your inability to perform your duties under this
Agreement, whether with or without reasonable accommodation, by reason of any incapacity, physical or mental, which the Board, based upon medical advice or an opinion provided by a licensed physician acceptable to the Board, determines to have
incapacitated you from satisfactorily performing all of your usual services for the Company, with or without reasonable accommodation, for a period of at least 180 days during any 12-month period (whether or not consecutive). Based upon such medical
advice or opinion, the determination of the Board shall be final and binding and the date such determination is made shall be the date of such Complete Disability for purposes of this Agreement. 

4. Confidential and Proprietary Information; Nonsolicitation. 
 4.1 As a condition of employment you agree to execute and abide by the Company’s standard Proprietary Information and Inventions Agreement, attached hereto as Exhibit B. 

4.2 While employed by the Company and for one year thereafter, you agree that in order to protect the Company’s trade secrets
and confidential and proprietary information from unauthorized use, you will not, either directly or through others, solicit or attempt to solicit any employee, consultant or independent contractor of the Company to terminate his or her relationship
with the Company in order to become an employee, consultant or independent contractor to or for any other person or business entity. 
 5.
Trade Secrets of Others. It is the understanding of you and the Company that you shall not divulge to the Company or its affiliates any confidential information or trade secrets belonging to others, including your former employers, nor shall the
Company or its affiliates seek to elicit from you any such information. Consistent with the foregoing, you shall not provide to the Company or its affiliates, and the Company and/or its affiliates shall not request, any documents or copies of
documents containing such information. 
 6. Assignment and Binding Effect. This Agreement shall be binding upon and inure to the benefit
of you and your heirs, executors, personal representatives, assigns, administrators and legal representatives. Because of the unique and personal nature of your duties under this Agreement, neither this Agreement nor any rights or obligations under
this Agreement shall be assignable by you. This Agreement shall be binding upon and inure to the benefit of the Company and its successors, assigns and legal representatives. 
 7. Choice of Law. This Agreement is made in the State of California. This Agreement shall be construed and interpreted in accordance with the internal laws of the State of California. 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 8. Integration. This Agreement, including Exhibit B, contains the complete, final and
exclusive agreement of the parties hereto relating to the terms and conditions of your employment and the termination of your employment, and supersedes all prior and contemporaneous oral and written employment agreements or arrangements between the
parties hereto. To the extent this Agreement conflicts with the Proprietary Information and Inventions Agreement attached as Exhibit B hereto, the Proprietary Information and Inventions Agreement controls. 

9. Amendment. This Agreement cannot be amended or modified except by a written agreement signed by you and the Company’s Executive Chairman,
Chief Business Development Officer. 
 10. Waiver. No term, covenant or condition of this Agreement or any breach thereof shall be deemed
waived, except with the written consent of the party against whom the wavier is claimed, and any waiver or any such term, covenant, condition or breach shall not be deemed to be a waiver of any preceding or succeeding breach of the same or any other
term, covenant, condition or breach. 
 11. Severability. The finding by a court of competent jurisdiction of the unenforceability,
invalidity or illegality of any provision of this Agreement shall not render any other provision of this Agreement unenforceable, invalid or illegal. Such court shall have the authority to modify or replace the invalid or unenforceable term or
provision with a valid and enforceable term or provision which most accurately represents the intention of the parties hereto with respect to the invalid or unenforceable term or provision. 
 12. Interpretation; Construction. The headings set forth in this Agreement are for convenience of reference only and shall not be used in interpreting this Agreement. This Agreement has been
drafted by legal counsel representing the Company, but you have been encouraged to consult with, and have consulted with, your own independent counsel and tax advisors with respect to the terms of this Agreement. The parties hereto acknowledge that
each party hereto and its counsel has reviewed and revised, or had an opportunity to review and revise, this Agreement, and any rule of construction to the effect that any ambiguities are to be resolved against the drafting party shall not be
employed in the interpretation of this Agreement. 
 13. Representations and Warranties. You represent and warrant that you are not
restricted or prohibited, contractually or otherwise, from entering into and performing each of the terms and covenants contained in this Agreement, and that your execution and performance of this Agreement will not violate or breach any other
agreements between you and any other person or entity. 
 14. Counterparts; Facsimile. This Agreement may be executed in two
counterparts, each of which shall be deemed an original, all of which together shall contribute one and the same instrument. Facsimile signatures shall be treated the same as original signatures. 

15. Litigation Costs. Should any claim be commenced between the parties hereto or their personal representatives concerning any provision of this
Agreement or the rights and duties of 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 
any person in relation to this Agreement, the party prevailing in such action shall be entitled, in addition to such other relief as may be granted to a reasonable sum as and for that
party’s attorney’s fees in such action to the extent consistent with law. 
 Please signify your agreement to the foregoing terms by
signing and dating this letter in the space provided below, and return it to me at your earliest convenience. 
  

	
	Sincerely,
	
	

	
	William Baum
	Executive Chairman, Chief Business Development Officer Genomatica, Inc.

  

									
	Acknowledged and Agreed:	 		 		 		 	
					
	 

	 		 	Date:	 	 10/28/11
	 	
	Christophe Schilling	 		 		 		 	

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 EXHIBIT A 
 RELEASE AND WAIVER OF CLAIMS 
 TO BE SIGNED FOLLOWING TERMINATION WITHOUT
CAUSE 
 OR RESIGNATION FOR GOOD REASON 
 In consideration of the severance benefits set forth in Section 3.3 or 3.4 in the Employment Agreement dated October 28, 2011 2011, to which this form is attached, which benefits I am not
otherwise entitled to receive, I, Christophe Schilling hereby furnish GENOMATICA, INC. (the “Company”), with the following release and waiver (“Release and Waiver”). 

I hereby generally and completely release the Company and its directors, officers, employees, shareholders, partners, agents, attorneys,
predecessors, successors, parent and subsidiary entities, insurers, affiliates, and assigns from any and all claims, liabilities and obligations, both known and unknown, that arise out of or are in any way related to events, acts, conduct, or
omissions occurring prior to my signing this Release and Waiver. This general release includes, but is not limited to: (1) all claims arising out of or in any way related to my employment with the Company or the termination of that employment;
(2) all claims related to my compensation or benefits from the Company, including salary, bonuses, commissions, vacation pay, expense reimbursements, severance pay, fringe benefits, stock, stock options, or any other ownership interests in the
Company; (3) all claims for breach of contract, wrongful termination, and breach of the implied covenant of good faith and fair dealing; (4) all tort claims, including claims for fraud, defamation, emotional distress, and discharge in
violation of public policy; and (5) all federal, state, and local statutory claims, including claims for discrimination, harassment, retaliation, attorneys’ fees, or other claims arising under the federal Civil Rights Act of 1964 (as
amended), the federal Americans with Disabilities Act of 1990, the federal Age Discrimination in Employment Act of 1967 (as amended) (“ADEA”), and the California Fair Employment and Housing Act (as amended). Notwithstanding the foregoing,
released claims shall not include (i) any claims based on obligations created by or reaffirmed in this Release and Waiver; (ii) any vested retirement benefits or vested stock option rights; (hi) any claims which by law cannot be released,
including without limitation unemployment compensation claims and workers’ compensation claims (the settlement of which would require approval by the California Workers’ Compensation Appeals Board); (iv) any claim for indemnification
under the Employment Agreement, the Company’s bylaws or certificate of incorporation, or any agreement providing for the indemnification of Executive; or (v) any rights not in dispute that Executive might have under the Company’s 2008
Equity Incentive Plan or similar plan or arrangement regarding equity awards to Executive or equity interests owned by Executive. 
 I also acknowledge that I have read and understand Section 1542 of the California Civil Code which reads as follows: “A general release does not extend to claims which the creditor does not
know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor.” I hereby expressly waive and relinquish all rights
and benefits under that section and any law of any jurisdiction of similar effect with respect to any claims I may have against the Company. 
 I acknowledge that, among other rights, I am waiving and releasing any rights I may have under ADEA, that this Release and Waiver is knowing and voluntary, and that the consideration given for this
Release and Waiver is in addition to anything of value to which I was already 

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 
entitled as an executive of the Company. I further acknowledge that I have been advised, as required by the Older Workers Benefit Protection Act, that: (a) the release and waiver granted
herein does not relate to claims under the ADEA which may arise after this Release and Waiver is executed; (b) I should consult with an attorney prior to executing this Release and Waiver; and (c) I have 21 days from the date of
termination of my employment with the Company in which to consider this Release and Waiver (although I may choose voluntarily to execute this Release and Waiver earlier); (d) I have seven days following the execution of this Release and Waiver
to revoke my consent to this Release and Waiver; and (e) this Release and Waiver shall not be effective until the seven day revocation period has expired without my having earlier revoked this Release and Waiver, and I shall not be entitled to
receive any of the severance benefits provided by the Employment Agreement unless and until this Release and Waiver becomes effective. 
 I acknowledge my continuing obligations under my Proprietary Information and Inventions Agreement. Pursuant to the Proprietary Information and Inventions Agreement I understand that among other things, I
must not use or disclose any confidential or proprietary information of the Company and I must immediately return all Company property and documents (including all embodiments of proprietary information) and all copies thereof in my possession or
control. I understand and agree that my right to the severance benefits I am receiving in exchange for my agreement to the terms of this Release and Waiver is contingent upon my continued compliance with my Proprietary Information and Inventions
Agreement. 
 This Release and Waiver constitutes the complete, final and exclusive embodiment of the entire agreement between
the Company and me with regard to the subject matter hereof. I am not relying on any promise or representation by the Company that is not expressly stated herein. This Release and Waiver may only be modified by a writing signed by both me and a duly
authorized officer of the Company. 
  

									
	Date:	 	  
	 		 	By:	 	  

		 		 		 		 	Christophe Schilling

  
  

10520 Wateridge Circle  —  San Diego  —  CA  —  92121  —  858.824.1771 ph  —  858.824.1772 fax 

 EXHIBIT B 
 PROPRIETARY INFORMATION AND INVENTIONS AGREEMENT

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00195-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00195-of-00352.parquet"}]]