Document:

exv10waiv

Exhibit 10(aiv)

FY11 AWARDS/UK EXPAT WAIVER

Stock Option Award and Agreement

[DATE]

Dear                     :

H. J. Heinz Company is pleased to advise you that, effective                     , you have been granted
options (“Options”) to purchase
                     shares of H. J. Heinz Company Common Stock, at an
exercise price of $                      per share, in accordance with the terms and conditions of the stock
option plan under which the Options were granted (the “Plan”), and a copy of which is posted along
with a copy of the Prospectus. The Options are also granted under and governed by the terms and
conditions of this letter agreement (“Agreement”), which shall control in the event of a conflict
with the terms and conditions of the Plan. For purposes of this Agreement, the “Company” shall
refer to H. J. Heinz Company and its Affiliated Companies (as defined in Section 4 below) in the
United States and throughout the world. Unless otherwise specifically defined herein, all other
capitalized terms used in this Agreement shall have the same defined meanings as the capitalized
terms in the Third Amended and Restated H.J. Heinz Company Fiscal Year 2003 Stock Incentive Plan
(the “2003 Stock Incentive Plan”), which are hereby incorporated by reference into this Agreement
and a copy of which is posted along with this agreement.

	1.	 	The Options are Non-Statutory Options, as defined in the Plan. The Options will vest
beginning on                     , and will expire on                     , subject to earlier expiration in accordance with
the terms of this Agreement or the Plan.
	 
	2.	 	Subject to paragraphs 3 and 4 of this Agreement, the exercise period for the Options,
including the effect of the termination of your employment with the Company or a “Change in
Control”, shall be governed by and determined in accordance with Section 8(B) of the 2003
Stock Incentive Plan, which is incorporated herein by reference and which shall control over
and supersede any additional, different or inconsistent terms or provisions contained in the
Plan; provided, however, that in the event of termination of your employment by you for “Good
Reason,” the “Expiration Date” shall be five years after the “Date of Termination” or the date
of expiration specified in Section 1 above, whichever is sooner; and provided further,
however, that in the event termination of your employment occurs by reason of involuntary
termination without Cause, the “Expiration Date” shall be as provided in Section 8(B) of the
Plan (the 90th day after the “Date of Termination”) or the date of expiration
specified in Section 1 above, whichever is sooner, unless you execute a release of claims of
the Company in the form requested by the Company, in which case your “Expiration Date” shall
be five years after the “Date of Termination” or the date of expiration specified in Section 1
above, whichever is sooner.

 

 

FY11 AWARDS/UK EXPAT WAIVER

	 	 	You may exercise the Options in any manner provided for in the Plan; provided however, you
must first obtain the approval of the Chief Executive Officer, or his designee, prior to
choosing a “net exercise” arrangement if you are a non-U.S.-based reporting officer pursuant
to Section 16 of the Securities Act of 1934 on the date of exercise, you must obtain the
approval of the Management Development and Compensation Committee of the Board of Directors
of the Company.
	 
	 	 	You may exercise the Options in any manner provided for in the Plan; provided however, you
must first obtain the approval of the Chief Executive Officer, or his designee, prior to
choosing a “net exercise” arrangement, and if you are a reporting officer pursuant to
Section 16 of the Securities Act of 1934 on the date of exercise, you must obtain the
approval of the Management Development and Compensation Committee of the Board of Directors
of the Company.
	 
	3.	 	You agree that you shall not, during the term of your employment by the Company and for 12
months after termination of your employment, regardless of the reason for the termination,
either directly or indirectly, solicit, take away or attempt to solicit or take away any other
employee of the Company, either for your own purpose or for any other person or entity. You
further agree that you shall not, during the term of your employment by the Company or at any
time thereafter, use or disclose Confidential Information (as defined in Section 4 below)
except as directed by, and in furtherance of the business purposes of, the Company. You
acknowledge that the breach or threatened breach of this paragraph 3 will result in
irreparable injury to the Company for which there is no adequate remedy at law because, among
other things, it is not readily susceptible of proof as to the monetary damages that would
result to the Company. You consent to the issuance of any restraining order or preliminary
restraining order or injunction with respect to any conduct by you that is directly or
indirectly a violation or a threatened violation of this paragraph. Any breach by you of the
provisions of this paragraph 3 will, at the option of the Company and in addition to all other
rights and remedies available to the Company at law, in equity or under this Agreement, result
in the forfeiture of all unexercised options granted to you under this Agreement as of the
date of such breach.
	 
	4.	 	As used in this paragraph 4, the following terms shall have the respective indicated
meanings:
	 
	 	 	“Affiliated Company or Companies” means any person, corporation, limited liability company,
partnership or other entity controlling, controlled by or under common control with the
Company.

 

 

FY11 AWARDS/UK EXPAT WAIVER

	 	 	“Confidential Information” means technical or business information not readily available to
the public or generally known in the trade, including but not limited to inventions; ideas;
improvements; discoveries; developments; formulations; ingredients; recipes; specifications;
designs; standards; financial data; sales, marketing and distribution plans, techniques and
strategies; customer and supplier information; equipment; mechanisms; manufacturing plans;
processing and packaging techniques; trade secrets and other confidential information,
knowledge, data and know-how of the Company, whether or not they originated with you, or
information which the Company received from third parties under an obligation of
confidentiality.
	 
	 	 	“Conflicting Product” means any product or process of any person or organization, other than
the Company, in existence or under development, (1) that competes with a product or process
of the Company upon or with which you shall have worked during the two years prior to the
termination of your employment with the Company or (2) whose use or marketability could be
enhanced by application to it of Confidential Information acquired by you in connection with
your employment by the Company during such two year period. For purposes of this
definition, it shall be conclusively presumed that you have knowledge of information to
which you have been directly exposed through actual receipt or review of memorandum or
documents containing such information or through actual attendance at meetings at which such
information was discussed or disclosed.
	 
	 	 	“Conflicting Organization” means any person or organization that is engaged in or about to
become engaged in research on or the development, production, marketing or selling of or the
use in production, marketing or sale of a Conflicting Product.
	 
	 	 	In partial consideration for the Options granted to you hereunder, you agree that, for a
period of eighteen (18) months following the date of the termination of your employment with
the Company, you shall not render services, directly or indirectly, as a director, officer,
employee, agent, consultant or otherwise to any Conflicting Organization in any geographic
area or territory in which such Conflicting Organization is engaged in or about to become
engaged in the research on or the development, production, marketing or sale of or the use
in production, marketing or sale of a Conflicting Product. The foregoing limitation does
not apply to a Conflicting Organization whose business is diversified and that, as to that
part of its business to which you render services, is not engaged in the development,
production, marketing, use or sale of a Conflicting Product, provided that the Company shall
receive separate written assurances satisfactory to the Company from you and the Conflicting
Organization that you shall not render services during such period with respect to a
Conflicting Product or directly or indirectly provide or reveal Confidential Information to
such organization. If you shall render services to any Conflicting Organization other

 

 

FY11 AWARDS/UK EXPAT WAIVER

	 	 	than as expressly permitted herein or shall provide or reveal Confidential Information to
such Conflicting Organization, you shall (i) immediately return to the Company the pre-tax
income resulting from any exercise of the Options or any portion thereof by you, unless such
exercise occurred more than twelve (12) months prior to the date of the termination of your
employment; and (ii) forfeit any unexercised portion of the Options. You acknowledge and
agree that the restrictions set forth in this paragraph 4 are reasonable and necessary to
protect the goodwill and legitimate business interests of the Company and to prevent the
disclosure of the Company’s Confidential Information and trade secrets. If any of the
provisions herein shall for any reason be determined by a court of competent jurisdiction to
be overly broad as to scope of activity, duration or territory, such provision shall be
limited or reduced so as to be enforceable to the extent compatible with existing law.
	 
	5.	 	You acknowledge and agree that nothing in this Agreement, the Plan or the 2003 Stock
Incentive Plan shall confer upon you any right with respect to future awards or continuation
of your employment, nor shall it constitute an employment agreement or interfere in any way
with your right or the right of the Company to terminate your employment, with or without
cause, and with or without notice, subject to the terms of any written employment contract
that you may have with the Company that is signed by both you and an authorized representative
of the Company.
	 
	6.	 	You consent to the collection, use, and processing of personal data (including name, home
address and telephone number, identification number and number of options held) by the Company
or a third party engaged by the Company for the purpose of implementing, administering and
managing the Plan and other stock option plans of the Company (the “Plans”). You further
consent to the release of personal data (a) to such a third party administrator, which, at the
option of the Company, may be designated as the exclusive broker in connection with the Plans,
or (b) to any Affiliated Company, wherever located. You hereby waive any data privacy rights
with respect to such data to the extent that receipt, possession, use, retention, or transfer
of the data is authorized hereunder.
	 
	7.	 	The Plan is discretionary in nature and the Company may modify, cancel or terminate it at any
time without prior notice. While stock options may be granted under any of the Company’s
Plans on one or more occasions or even on a regular schedule, each grant is a one time event,
is not an entitlement to an award of grants of stock options in the future, and does not
create any contractual or other right to receive an award of stock options, compensation or
benefits in lieu of stock options or any other compensation or benefits in the future.
	 
	8.	 	This Agreement shall be governed by and construed in accordance with the laws of the
Commonwealth of Pennsylvania, without regard to its choice of law provisions.

 

 

FY11 AWARDS/UK EXPAT WAIVER

U.K. ACKNOWLEDGEMENT AND WAIVER FORM

(INTERNATIONAL ASSIGNMENT)

This Acknowledgement and Waiver Form is incorporated into and made a part of the Stock Option Award
and Agreement (the “Agreement”), under which I have been awarded a grant of options to purchase
shares of H. J. Heinz Company Common Stock pursuant to the H. J. Heinz Company 1994, 1996 or 2000
Stock Option Plans and/or the H.J. Heinz Company Fiscal Year 2003 Stock Incentive Plan. I
understand that my award and future awards of stock options, if any, granted to me under these
plans or any future plans (any such plan, the “Plan”) are subject to my on-line acceptance of the
Agreement and this Acknowledgement and Waiver Form. I understand that I will not be able to
exercise any of these stock options until I accept on-line this Acknowledgement and Waiver Form.

The Plan is discretionary in nature and H. J. Heinz Company (“Company”) may modify, cancel, or
terminate it at any time without prior notice and without affecting any vested rights. While stock
options may be granted under a Plan on one or more occasions or even on a regular schedule, each
grant is considered a one time event, is not part of any contractual compensation I may have, and
does not create any contractual or other right to receive an award of stock options, compensation
or benefits in lieu of stock options, or any other compensations or benefits in the future. The
Plan is a voluntary program, and future grants, if any, will be at the sole discretion of the
Company including, but not limited to, the timing of any grant, the number of stock options,
vesting provisions, and the option price. Awards under a Plan are available to employees only
during the course of their employment relationship in accordance with the terms and conditions of
the Plan, and awards under a Plan will have no bearing in the computation of termination
indemnities, if any.

As with past awards, if any, the value of the award is an extraordinary item of compensation
outside the scope of any employment contract. As such, the award, as with past awards, if any, is
not part of normal or expected compensation for purposes of calculating any termination,
resignation, severance, redundancy, end of service payments, bonuses, service awards, pension
benefits, retirement benefits, or similar payments. The award and any vesting of any award cease
upon termination of employment for any reason except as may otherwise be explicitly provided in the
Plan or any written agreement entered into by you and the Company, including the Grant Agreement.
The future value of the underlying shares of Heinz Common Stock is unknown and cannot be predicted
with certainty.

I consent to the collection, use, processing and transfer of data, as described in this paragraph
for the purpose of implementing, managing and administering the Plan. I understand that the
Company, its subsidiaries and my employer hold for such purpose certain personal information about
me, including my name, home address and telephone number, salary, nationality, job title, any
shares of stock or directorships held in the Company, details of all options or other entitlement
to shares of stock awarded,

 

 

FY11 AWARDS/UK EXPAT WAIVER

canceled, exercised, vested, unvested or outstanding in my favor, my global identification number
or social security number, birth date, hire date, job grade, the location where I work, and any
termination information, such as date of termination and the reason for termination (“Data”). The
Company, its subsidiaries and/or other third parties assisting the Company will transfer data among
themselves as necessary for the purpose of implementation, administration, and management of my
participation in the Plan. The Company, its subsidiaries, or third parties may be located in the
U.S. or elsewhere. I authorize them to receive, possess, use, retain, and transfer the Data, in
electronic or other form, for the purposes of implementing, administering, and managing my
participation in the Plan, including transferring such Data as may be required for the
administration of the Plan and/or the subsequent holding of shares of stock on my behalf to a
broker or other third party with whom I may elect to deposit any shares of stock acquired pursuant
to the Plan, but for no other purpose. Each of the data recipients will maintain security measures
to ensure its security and confidentiality. I hereby waive any data privacy rights I may have with
respect to the Data to the extent of receipt, possession, use, retention or transfer of the Data
authorized hereunder.

I understand that I may, at any time, view Data, require any necessary amendments to it, or
withdraw the consents with respect to the Data contained herein by written notice addressed and
delivered to the General Counsel or Secretary of the Company. I understand that withdrawal of such
consent may affect my ability to participate in the Plan and/or result in the forfeiture of any
awards, whether vested or unvested, made to me under the Plan.

The Plan and the Agreement govern all aspects of my award, and the provisions of the Plan are
summarized in the Plan prospectus. Additional copies of the Plan documents may be obtained from
the Company. To the extent permitted by applicable law, the Plan is subject to U.S. law, and the
interpretation of the Plan and my rights under the Plan will be governed by applicable U.S. law as
specified in the Agreement.

I understand and agree that (A) at the date of exercise of these stock options, I will be liable
for income tax on any gain that arises — that is, any excess of market value of the shares at the
date of exercise over the total acquisition price payable for the shares; (B) in addition, subject
to the arrangements made relating to my international assignment regarding payment of taxes, I will
be responsible for any U.K. National Insurance Contributions (employer’s and employee’s) that arise
on the exercise of my option; and (C) the Company will supply details of the exercise to the Inland
Revenue, but I will remain under an obligation to make a return of any gain in my annual tax
return.

I also understand and agree that, subject to the arrangements made relating to my international
assignment regarding payment of taxes, I will be responsible for paying to, or reimbursing, the
Company or any other company by which I may be employed for any amounts for which it becomes liable
to account in respect of my U.K. income tax (by way of the PAYE system) and employee’s and
employer’s National Insurance Contribution incurred upon the exercise of my stock.

 

 

FY11 AWARDS/UK EXPAT WAIVER

I acknowledge that I have read and understand the foregoing.

This grant of Options is subject to your on-line acceptance of the terms and conditions of this
Agreement and U.K. Acknowledgement and Waiver Form (International Assignment) through the Fidelity
website.

	 	 	 	 	 
	 	H.J. HEINZ COMPANY

 	 
	 	By:  	 	 
	 	 	William R. Johnson 	 
	 	 	Chairman of the Board, President and

Chief Executive Officer 	 
	 

Accepted: Signed electronically

Date:        Acceptance Dateexv10w6

Exhibit 10.6

AMENDMENT NUMBER ONE

TO

CREDIT AGREEMENT

     This Amendment Number One to Credit Agreement (“Amendment”) is entered into as of April 30,
2007, by and among WELLS FARGO FOOTHILL, INC., a California corporation, as Agent (the “Agent”) for
the Lenders set forth in the signature pages hereof (the “Lenders”) and the Lenders, on the one
hand, and BOOKHAM, INC., a Delaware corporation (“Parent”), and each of Parent’s
Subsidiaries identified on the signature pages hereof (such Subsidiaries, together with Parent, are
referred to hereinafter each individually as a “Borrower”, and individually and
collectively, jointly and severally, as the “Borrowers”):

     A. Agent, Lenders and Borrowers have previously entered into that certain Credit Agreement,
dated as of August 2, 2006 (as amended, supplemented, amended and restated, or otherwise modified,
the “Agreement”).

     B. Borrowers, Agent and Lenders desire to amend the Agreement as provided for and on the
conditions herein.

     NOW, THEREFORE, Borrowers, Agent and Lenders hereby amend and supplement the Agreement as
follows:

     DEFINED TERMS. All initially capitalized terms used but not defined in this Amendment
have the meanings assigned to such terms in the Agreement.

     AMENDMENT.

          Section 4.8(b) of the Agreement, is hereby amended to read as follows:

          “(b) Set forth on Schedule 4.8(b) (as such Schedule may be updated from
time to time to reflect changes permitted to be made under Section 5.16, or
changes to Parent’s capital structure that are not otherwise prohibited under the Loan
Documents), is a complete and accurate description of the authorized capital Stock of
Parent, by class, and, as of the Closing Date, a description of the number of shares
of each such class that are issued and outstanding. Other than as described on
Schedule 4.8(b), there are no subscriptions, options, warrants, or calls
relating to any shares of Parent’s capital Stock, including any right of conversion or
exchange under any outstanding security or other instrument, except for the issuance
of Series B Preferred Stock, or options, warrants, and restricted stock granted to
employees, management, and directors in the ordinary course of Parent’s business as in
effect on the Closing Date so long as the granting of such options, warrants or
restricted stock (x) does not result in a Change of Control and (y) is not otherwise
prohibited hereunder. Parent is not subject to any obligation (contingent or
otherwise) to repurchase or otherwise acquire or retire any shares of its capital
Stock or any security convertible into or exchangeable for any of its capital Stock,
except for certain cash payments with respect to the warrants issued on March 22,
2007, to the investors who purchased the Stock issued by Parent on or about the same
date (the “2007 Warrants”), in connection with a Major Transaction (as such term is
defined in the 2007 Warrants). The foregoing sentence is not intended as the Lender
Group’s consent to any cash payments with respect to the 2007 Warrants.”

          Schedule 4.8(b) to the Agreement is hereby replaced with the Schedule 4.8(b)
attached hereto and made a part hereof by this reference.

     REPRESENTATIONS AND WARRANTIES. Each Borrower hereby affirms to Agent and Lenders
that all of such Borrower’s representations and warranties set forth in the Agreement are true,
complete and accurate in all material respects as of the date hereof.

 

 

     NO DEFAULTS. Borrowers hereby affirms to the Lender Group that no Event of Default
has occurred and is continuing as of the date hereof.

     CONDITION PRECEDENT. The effectiveness of this Amendment is expressly conditioned
upon receipt by Agent of a fully executed copy of this Amendment.

     COSTS AND EXPENSES. Borrowers shall pay to Agent, in accordance with the requirements
of the Credit Agreement, all of Agent’s out-of-pocket costs and reasonable expenses (including,
without limitation, the fees and expenses of its counsel, which counsel may include any local
counsel deemed necessary, search fees, filing and recording fees, documentation fees, appraisal
fees, travel expenses, and other fees) arising in connection with the preparation, execution, and
delivery of this Amendment and all related documents.

     LIMITED EFFECT. In the event of a conflict between the terms and provisions of this
Amendment and the terms and provisions of the Agreement, the terms and provisions of this Amendment
shall govern. In all other respects, the Agreement, as amended and supplemented hereby, shall
remain in full force and effect.

     COUNTERPARTS; EFFECTIVENESS. This Amendment may be executed in any number of
counterparts and by different parties on separate counterparts, each of which when so executed and
delivered shall be deemed to be an original. All such counterparts, taken together, shall
constitute but one and the same Amendment. This Amendment shall become effective upon the
execution of a counterpart of this Amendment by each of the parties hereto.

* * * * *

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

	 	 	 	 	 
	 	WELLS FARGO FOOTHILL, INC.,

a California corporation

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 

 

 

	 	 	 	 	 

	 	 	 	 	 
	 	BOOKHAM, INC.,

a Delaware corporation, as Parent

 	 
	 	By:  	 	 
	 	 	Name:  	Steve Abely 	 
	 	 	Title:  	Chief Financial Officer 	 
	 
	 	BOOKHAM TECHNOLOGY PLC,

a limited liability company incorporated under the laws of

England and Wales, as a Borrower

 	 
	 	By:  	 	 
	 	 	Name:  	Steve Abely 	 
	 	 	Title:  	Director 	 
	 
	 	NEW FOCUS, INC.,

a Delaware corporation, as a Borrower

 	 
	 	By:  	 	 
	 	 	Name:  	Steve Abely 	 
	 	 	Title:  	President 	 
	 
	 	BOOKHAM (US), INC.,

a Delaware corporation, as a Borrower

 	 
	 	By:  	 	 
	 	 	Name:  	Steve Abely 	 
	 	 	Title:  	President

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00178-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00178-of-00352.parquet"}]]