Document:

exv4wxoy

Exhibit 4(o)

AMENDMENT NO. 1 TO REGISTRATION RIGHTS AGREEMENT

          Pursuant to a registration rights agreement dated September 8, 2008 (the “Registration Rights
Agreement”), Oncor Electric Delivery Company LLC (the “Issuer”) agreed to provide certain
registration rights with respect to the Issuer’s 5.95% Senior Secured Notes due 2013, 6.80% Senior
Secured Notes due 2018 and 7.50% Senior Secured Notes due 2038 (collectively, the “Original
Series”). Section 2(c) of the Registration Rights Agreement provides for additional rights in
connection with a Market Making Shelf Registration Statement. Capitalized terms not otherwise
defined shall have the meaning set forth in the Registration Rights Agreement.

          Goldman, Sachs & Co. (the “Market Maker”) has requested that the Issuer include with the
Market Making Shelf Registration Statement, in addition to the Original Series, five outstanding
series of the Issuer’s debt. These five additional series are (1) the 6.375% Fixed Senior Notes
due 2012, (2) the 6.375% Fixed Senior Notes due 2015, (3) the 7.000% Fixed Debentures due 2022, (4)
the 7.000% Fixed Debentures due 2032 and (5) the 7.250% Fixed Senior Notes due 2033 (collectively,
the “Additional Series”).

          In consideration of the Issuer’s agreement to add the Additional Series to the Market Making
Shelf Registration Statement, the Market Maker agrees to this amendment to the Registration Rights
Agreement. The first paragraph of Section 2(c) of the Registration Rights Agreement is hereby
amended and restated in its entirety to read as follows:

(c) For the sole benefit of each Market Maker or any of their affiliates (as defined
under the rules and regulations of the Commission), so long as (x) any of the
Registrable Securities are outstanding and (y) it would be necessary under
applicable laws, rules and regulations, in the reasonable opinion of any Market
Maker, for such Market Maker or any of its affiliates to deliver a prospectus in
connection with market-making activities with respect to the Registrable Securities
or Exchange Securities and such Market Maker or such affiliate proposes to make a
market in the Registrable Securities or Exchange Securities as part of its business
in the ordinary course (the “Market-Making Conditions”), the following provisions
shall apply for the sole benefit of each Market Maker and its affiliates (it being
understood that only a person for whom the Market-Making Conditions apply at the
applicable time shall be entitled to the use of a Market Making Shelf Registration
Statement and related provisions of this Agreement), the Issuer shall use all
commercially reasonable efforts to file under the Securities Act, within three weeks
of the Effective Time of an Exchange Registration Statement or a Shelf Registration
Statement, whichever occurs first, a “shelf” registration statement (which may be
the Exchange Registration Statement

 

 

or the Shelf Registration Statement if permitted by the rules and regulations of the
Commission) pursuant to Rule 415 under the Securities Act or any similar rule that
may be adopted by the Commission providing for the registration of, and the sale on
a continuous or delayed basis in secondary transactions by each Market Maker of,
Securities (in the event of a Shelf Registration) or Exchange Securities (in the
event of an Exchange Offer) (such filing, the “Market Making Shelf Registration,”
and such registration statement, the “Market Making Shelf Registration Statement”).
The Issuer agrees to use all commercially reasonable efforts to cause the Market
Making Shelf Registration Statement to become or be declared effective on or prior
to (i) three weeks from the date the Exchange Offer is completed pursuant to Section
2(a) above or (ii) three weeks from the date the Shelf Registration becomes or is
declared effective pursuant to Section 2(b) above, and to keep such Market Making
Shelf Registration Statement continuously effective for so long as any Market Maker
may be required to deliver a prospectus in connection with transactions in the
Securities or the Exchange Securities, as the case may be. In the event that a
Market Maker holds Securities at the time an Exchange Offer is to be conducted under
Section 2(a) above, the Issuer agrees that the Market Making Shelf Registration
shall provide for the resale by such Market Maker of such Securities and shall use
its commercially reasonable efforts to keep the Market Making Shelf Registration
Statement continuously effective until such time as such Market Maker determines in
its reasonable judgment that it is no longer required to deliver a prospectus in
connection with the sale of such Securities. Notwithstanding the foregoing or
anything contained in this Agreement to the contrary, upon 30 days prior written
notice to the Market Makers, the Issuer shall not be required to maintain the
effectiveness of the Market Making Shelf Registration Statement at any time after
the tenth anniversary of the Issue Date.

[signatures on following page]

 

 

     IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 1 to the Registration
Rights Agreement as of the date set forth below.

	 	 	 	 	 
	 	ONCOR ELECTRIC DELIVERY COMPANY LLC

 	 
	 	By:  	/s/ John M. Casey
 	 
	 	 	John M. Casey 	 
	 	 	Treasurer 	 

GOLDMAN, SACHS & CO.

	 	 	 
	/s/ Goldman, Sachs & Co.	 	 
	 

(Goldman, Sachs & Co.)

	 	 

Dated: March 30, 2009exv10w1

Exhibit 10.1

FIRST AMENDMENT TO PROMISSORY NOTE

     THIS FIRST AMENDMENT TO PROMISSORY NOTE (the “First Amendment”) is entered into effective as
of March 2, 2009, among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (“Borrower”) and
PEGASUS PARTNERS IV, L.P., a Delaware limited partnership (“Lender”). Unless stated otherwise,
each term defined in the Note has the same meaning when used in this First Amendment.

     WHEREAS, Borrower has executed and delivered that certain Promissory Note in the principal sum
of $1,950,000 dated as of December 18, 2008, payable to the order of Lender (as renewed, extended,
amended, or restated from time to time, the “Note”); and

     WHEREAS, at Borrower’s request, Lender has agreed to extend the stated Maturity Date of the
Note to July 31, 2009.

     NOW, THEREFORE, in consideration of these premises and other sufficient and valuable
consideration, the receipt and adequacy of which are hereby acknowledged, the parties hereto agree,
as follows:

     1. AMENDMENTS.

(a) The stated Maturity Date is amended to replace “March 2, 2009” with “July 31,
2009.”

(b) Paragraph 4 is hereby amended in its entirety to read as follows:

     “4. Prepayments. The unpaid principal balance of this Note may be
prepaid in whole or in part at anytime without premium or penalty. Subject to
Paragraph 15, a portion of the net cash proceeds of any Offering (as defined in that
certain Promissory Note made by Borrower in the principal amount of $7,000,000,
dated as of February 13, 2009, payable to Lender (as renewed, extended, amended, or
restated from time to time, the “February Note”)) shall be applied to the payment
of: (i) the unpaid principal of the February Note, together with the accrued
interest thereon; and (ii) the unpaid principal of this Note and Borrower’s other
outstanding unsecured bridge loans, together with the accrued interest thereon.”

     2. CONDITIONS PRECEDENT. This First Amendment is effective only upon the execution
and delivery of this First Amendment by both Borrower and Lender.

     3. NO OTHER AMENDMENTS. Except as expressly amended herein, the terms of the Note
shall remain in full force and effect.

     4. GOVERNING LAW. THIS FIRST AMENDMENT SHALL BE GOVERNED BY AND CONSTRUED IN
ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK.

     5. OTHER AGREEMENTS. This First Amendment and the Note, together with the other
documents and instruments delivered in connection therewith, represent the final agreement between
the parties and may not be contradicted by evidence of prior, contemporaneous, or subsequent oral
agreements by the parties. There are no unwritten oral agreements between the parties.

[Remainder of page intentionally blank;

Signature Pages follow.]

 

 

	 	 	 	 	 
	EXECUTED as of the date first stated above.

BORROWER:

LIGHTING SCIENCE GROUP CORPORATION,

a Delaware corporation

 	 	 
	By:  	/s/ Stephen Hamilton
 	 	 
	 	Name:  	Stephen Hamilton 	 	 
	 	Title:  	VP Finance 	 	 
	 
	LENDER:

PEGASUS PARTNERS IV, L.P.,

a Delaware limited partnership

	 	 
	By:  	Pegasus Investors IV, LP

its general partner

 	 	 
	By:  	Pegasus Investors IV GP, L.L.C.,

its general partner

 	 	 
	By:  	/s/ Steven Wacaster
 	 	 
	 	Name:  	Steven Wacaster 	 	 
	 	Title:  	Vice President 	 	 
	 

Signature Page to

First Amendment to Promissory Noteexv10w2

Exhibit 10.2

FIRST AMENDMENT TO PROMISSORY NOTE

     THIS FIRST AMENDMENT TO PROMISSORY NOTE (the “First Amendment”) is entered into effective as
of March 2, 2009, among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (“Borrower”) and
GOVI V. RAO (“Lender”). Unless stated otherwise, each term defined in the Note has the same
meaning when used in this First Amendment.

     WHEREAS, Borrower has executed and delivered that certain Promissory Note in the principal sum
of $25,000 dated as of December 18, 2008, payable to the order of Lender (as renewed, extended,
amended, or restated from time to time, the “Note”); and

     WHEREAS, at Borrower’s request, Lender has agreed to extend the stated Maturity Date of the
Note to July 31, 2009.

     NOW, THEREFORE, in consideration of these premises and other sufficient and valuable
consideration, the receipt and adequacy of which are hereby acknowledged, the parties hereto agree,
as follows:

     1. AMENDMENTS.

(a) The stated Maturity Date is amended to replace “March 2, 2009” with “July 31,
2009.”

(b) Paragraph 4 is hereby amended in its entirety to read as follows:

     “4. Prepayments. The unpaid principal balance of this Note may be
prepaid in whole or in part at anytime without premium or penalty. Subject to
Paragraph 15, a portion of the net cash proceeds of any Offering (as defined in that
certain Promissory Note made by Borrower in the principal amount of $7,000,000,
dated as of February 13, 2009, payable to Pegasus Partners IV, L.P. (as renewed,
extended, amended, or restated from time to time, the “February Note”)) shall be
applied to the payment of: (i) the unpaid principal of the February Note, together
with the accrued interest thereon; and (ii) the unpaid principal of this Note and
Borrower’s other outstanding unsecured bridge loans, together with the accrued
interest thereon.”

     2. CONDITIONS PRECEDENT. This First Amendment is effective only upon the execution
and delivery of this First Amendment by both Borrower and Lender.

     3. NO OTHER AMENDMENTS. Except as expressly amended herein, the terms of the Note
shall remain in full force and effect.

     4. GOVERNING LAW. THIS FIRST AMENDMENT SHALL BE GOVERNED BY AND CONSTRUED IN
ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK.

     5. OTHER AGREEMENTS. This First Amendment and the Note, together with the other
documents and instruments delivered in connection therewith, represent the final agreement between
the parties and may not be contradicted by evidence of prior, contemporaneous, or subsequent oral
agreements by the parties. There are no unwritten oral agreements between the parties.

[Remainder
of page intentionally blank;

Signature Pages follow.]

 

 

	 	 	 	 	 
	EXECUTED as of the date first stated above.

BORROWER:

LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation

 	 	 
	By:  	/s/ Stephen Hamilton
 	 	 
	 	Name:  	Stephen Hamilton 	 	 
	 	Title:  	VP Finance 	 	 
	 
	LENDER:

 	 	 
	/s/ Govi V. Rao
 	 	 
	GOVI V. RAO 	 	 
	 	 	 
	 

Signature Page to

First Amendment to Promissory Note

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