Document:

Supplemental Indenture

 Exhibit 4.1 

RECORDING REQUESTED BY RECORDED MAIL TO: 

U.S. BANK NATIONAL ASSOCIATION 

633 W. FIFTH STREET,
24th FLOOR 

LOS ANGELES, CA 90071 

ATTN: CORPORATE TRUST SERVICES 

Index as a UCC Filing and an Indenture 

This is a Security Agreement and a Mortgage of Chattels 

as well as a Mortgage of Real Estate and Other Property 

FIFTY-SIXTH SUPPLEMENTAL INDENTURE 

FROM 

SAN DIEGO GAS & ELECTRIC COMPANY 

TO 

U.S. BANK NATIONAL ASSOCIATION 

**************** 

Dated as of May 13, 2010 

 TABLE OF CONTENTS* 

 

					
	 	  	Page
	Parties	  	1
	Recitals	  	l
	Granting Clauses	  	7
	Exceptions from Lien	  	7
	 Habendum Clause
	  	7
	
	ARTICLE I
	
	SERIES HHH BONDS
			
	Section 1.	  	Creation of Bonds of Series HHH, due 2040	  	8
	Section 2.	  	Authorization and Delivery of Bonds	  	9
	Section 3.	  	Issuable as Fully Registered Bonds; Form of Bond	  	9
	Section 4.	  	Global Securities	  	9
	Section 5.	  	Other Provisions and Endorsements	  	11
	Section 6.	  	Exchangeability of Series HHH Bonds, due 2040	  	11
	Section 7.	  	Offices or Agencies for Payment, Registration, Transfer and Exchange	  	11
	Section 8.	  	Certain Conditions as to Transfer	  	11
	
	ARTICLE II
	
	MISCELLANEOUS PROVISIONS
			
	Section 1.	  	This Indenture Supplemental to Indenture of July 1, 1940	  	11
	Section 2.	  	Defined Terms	  	11
	Section 3.	  	Counterparts	  	11
	Section 4.	  	Provisions Binding on Successors and Assigns	  	11
	Section 5.	  	Conflicting Provisions	  	11
	Section 6.	  	Governing Law	  	12
		
	 Signatures and Attestation
	  	S-1

  

	*	For convenience only and not part of the Fifty-Sixth Supplemental Indenture 

 THIS FIFTY-SIXTH SUPPLEMENTAL INDENTURE IS A SECURITY 

AGREEMENT AND A MORTGAGE OF CHATTELS AS WELL AS 

A MORTGAGE OF REAL ESTATE AND OTHER PROPERTY 

THIS FIFTY-SIXTH SUPPLEMENTAL INDENTURE, dated as of the thirteenth day of May 2010, by and between SAN DIEGO GAS & ELECTRIC
COMPANY, a corporation duly organized and existing under and by virtue of the laws of the State of California, having its principal office in that State in the City of San Diego (the “Company”), and U.S. BANK NATIONAL ASSOCIATION, a
banking association duly organized under an act known as the “National Bank Act,” of the United States of America, having a corporate trust office in the City of Los Angeles, State of California, as Trustee (the
“Trustee”). 
 WHEREAS, the Company executed and delivered a Mortgage and Deed of Trust
(the “Original Indenture”), dated July 1, 1940, to The Bank of California, National Association, as predecessor trustee to Bankers Trust Company of California, National Association, as predecessor trustee to First Trust of
California, National Association, (subsequently renamed U.S. Bank Trust National Association) as predecessor trustee to the Trustee, to secure payment of the principal of and the interest on all bonds of the Company at any time outstanding
thereunder according to their tenor and effect, and to provide the terms and provisions with respect to its First Mortgage Bonds,
3 3/8% Series due July 1, 1970, issued in the
aggregate principal amount of $16,000,000 and heretofore retired; and 
 WHEREAS, the Company
executed and delivered to the then current trustee, a First Supplemental Indenture dated as of December 1, 1946, a Second Supplemental Indenture dated as of March 1, 1948, a Third Supplemental Indenture dated as of April 1, 1952, a
Fourth Supplemental Indenture dated as of April 1, 1954, a Fifth Supplemental Indenture dated as of October 1, 1955, a Sixth Supplemental Indenture dated as of October 1, 1957, a Seventh Supplemental Indenture dated as of
October 1, 1960, an Eighth Supplemental Indenture dated as of March 1, 1967, a Tenth Supplemental Indenture dated as of December 1, 1968, an Eleventh Supplemental Indenture dated as of February 1, 1970, a Twelfth Supplemental
Indenture dated as of September 1, 1971, a Thirteenth Supplemental Indenture dated as of January 15, 1974, a Fourteenth Supplemental Indenture dated as of December 15, 1974, a Fifteenth Supplemental Indenture dated as of May 1,
1975, a Seventeenth Supplemental Indenture dated as of July 15, 1976, an Eighteenth Supplemental Indenture dated as of March 15, 1977, a Nineteenth Supplemental Indenture dated as of May 1, 1978, a Twentieth Supplemental Indenture
dated as of March 15, 1980, a Twenty-First Supplemental Indenture dated as of August 1, 1980, a Twenty-Second Supplemental Indenture dated as of July 15, 1981, a Twenty-Third Supplemental Indenture dated as of January 15, 1982, a
Twenty-Fourth Supplemental Indenture dated as of August 16, 1982, a Twenty-Fifth Supplemental Indenture dated as of August 16, 1982, a Twenty-Sixth Supplemental Indenture dated as of August 16, 1982, a Twenty-Seventh Supplemental
Indenture dated as of June 2, 1983, a Twenty-Eighth Supplemental Indenture dated as of July 15, 1983, a Twenty-Ninth Supplemental Indenture dated as of September 1, 1983, a Thirty-First, Supplemental Indenture dated as of May 1,
1984, a Thirty-Second Supplemental Indenture dated as of December 1, 1984, a Thirty-Third Supplemental Indenture dated as of September 1, 1985, a Thirty-Fourth Supplemental Indenture dated as of December 1, 1985, a Thirty-Fifth
Supplemental Indenture dated as of July 1, 1986, a Thirty-Sixth Supplemental Indenture dated as of December 1, 1986, a Thirty-Seventh Supplemental Indenture dated as of September 1, 1987, a Thirty-Eighth Supplemental Indenture dated
as of April 15, 1990, a Thirty-Ninth Supplemental Indenture dated as of December 1, 1991, a Fortieth Supplemental Indenture dated as of April 1, 1992, a Forty-First Supplemental Indenture dated as of June 15, 1992, a Forty-Second
Supplemental Indenture dated as of September 1, 1992, a Forty-Third Supplemental Indenture dated as of December 1, 1992, a Forty-Fourth Supplemental Indenture dated as of April 1, 1993, a Forty-Fifth Supplemental Indenture dated as of
June 1, 1993, a Forty-Sixth Supplemental Indenture dated as of July 1, 1993, a Forty-Seventh Supplemental Indenture dated as of June 1, 1995, a Forty-Eighth Supplemental Indenture dated as of June 1, 1995, a Forty-Ninth
Supplemental Indenture dated as of June 1, 2004, a Fiftieth Supplemental Indenture dated as of May 19, 2005, a Fifty-First Supplemental Indenture dated as of November 17, 2005, a Fifty-Second Supplemental Indenture dated as of
June 8, 2006, a Fifty-Third Supplemental Indenture dated as of September 1, 2006, a Fifty-Fourth Supplemental Indenture dated as of September 20, 2007, and a Fifty-Fifth Supplemental Indenture dated as of May 14, 2009, whereby,
among other things, the Company set forth certain of the particulars of the Bonds of series designated “First Mortgage Bonds,
2 3/4% Series due December 1, 1981” issued
in the aggregate principal amount of $2,800,000, “First Mortgage Bonds, Series C due 1978” issued in the aggregate principal amount of $10,000,000, “First Mortgage Bonds, Series D due 1982” issued in the aggregate

  

 1 

 
principal amount of $512,000,000, “First Mortgage Bonds, Series E due 1984” issued in the aggregate principal amount of $17,000,000, “First Mortgage Bonds, Series F due 1985”
issued in the aggregate principal amount of $18,000,000, “First Mortgage Bonds, Series G due 1987” issued is the aggregate principal amount of $12,000,000, “First Mortgage Bonds, Series H due 1990” issued in the aggregate
principal amount of $30,000,000, “First Mortgage Bonds, Series I due 1997” issued in the aggregate principal amount of $25,000,000, “First Mortgage Bonds, Series J due 1998” issued in the aggregate principal amount of
$35,000,000, “First Mortgage Bonds, Series K due 2000” issued in the aggregate principal amount of $40,000,000, “First Mortgage Boards, Series L due 2001” issued in the aggregate principal amount of $45,000,000, “First
Mortgage Bonds, Series M due 2004” issued in the aggregate principal amount of $75,000,000, “First Mortgage Bonds, Series N due 1979” issued in the aggregate principal amount of $50,000,000, “First Mortgage Bonds, Series O due
1982” issued in the aggregate principal amount of $40,000,000, “First Mortgage Bonds, Series P due 2006” issued in the aggregate principal amount of $45,000,000, “First Mortgage Bonds, Series Q due 2007” issued in the
aggregate principal amount of $50,000,000, “First Mortgage Bonds, Series R due 2008” issued in the aggregate principal amount of $50,000,000, “First Mortgage Bonds, Series S due 2010” issued in the aggregate principal amount of
$50,000,000, “First Mortgage Bonds, Series T due 2010” issued in the aggregate principal amount of $75,000,000, “First Mortgage Bonds, Series U-1 due 1984, and U-2 due 1994” issued in the aggregate principal amount of $6,567,000
for Series U-1 and $13,268,000 for Series U-2, “First Mortgage Bonds, Series V due 2011” issued in the aggregate amount of $50,000,000, “First Mortgage Bonds, Series W due 1988” issued in the aggregate principal amount of
$40,000,000, “First Mortgage Bonds, Series X due 1987” issued in the aggregate principal amount of $20,000,000, “First Mortgage Bonds, Series Y due 1987” issued in the aggregate principal amount of $15,000,000, “First
Mortgage Bonds, Series Z, due 2013” issued in the aggregate principal amount of $65,000,000, “First Mortgage Bonds, Series AA, due 2018” issued in the aggregate principal amount of $150,000,000, “First Mortgage Bonds, Series BB,
due 2018” issued in the aggregate principal amount of $150,000,000, “First Mortgage Bonds, Series CC, due 2008” issued in the aggregate principal amount of $53,000,000, “First Mortgage Bonds Series DD, due 2008” issued in
the aggregate principal amount of $27,000,000, “First Mortgage Bonds, Series EE, due 2015” issued in the aggregate principal amount of $100,000,000, “First Mortgage Bonds, Series FF, due 2007” issued in the aggregate principal
amount of $35,000,000, “First Mortgage Bonds, Series GG, due 2021” issued in the aggregate principal amount of $44,250,000, “First Mortgage Bonds, Series HH, due 2021” issued in the aggregate principal amount of $381,350,000,
“First Mortgage Bonds, Series II due 2023” issued in the aggregate principal amount of $25,000,000, “First Mortgage Bonds, Series JJ, due 2015” issued in aggregate principal amount of $100,000,000, “First Mortgage Bonds,
Series KK, due 2015” issued in the aggregate principal amount of $14,400,000, “First Mortgage Bonds, Series LL, due 2022” issued in the aggregate principal amount of $60,000,000, “First Mortgage Bonds, Series MM due 2002”
issued in the aggregate principal amount of $80,000,000, “First Mortgage Bonds, Series NN” issued in the aggregate principal amount of $118,615,000, “First Mortgage Bonds, Series OO” issued in the aggregate principal amount of
$250,000,000, “First Mortgage Bonds, Series PP, due 2018” issued in the aggregate principal amount of $70,795,000, “First Mortgage Bonds, Series QQ, due 2018” issued in the aggregate principal amount of $14,915,000, “First
Mortgage Bonds, Series RR, due 2021” issued in the aggregate principal amount of $60,000,000, “First Mortgage Bonds, Series SS, due 2018” issued in the aggregate principal amount of $92,945,000, “First Mortgage Bonds, Series TT
due 2020” issued in the aggregate principal amount of $57,650,000, “First Mortgage Bonds, Series UU due 2020” issued in the aggregate principal amount of $16,700,000, “First Mortgage Bonds, Series VV due 2034” issued in the
aggregate principal amount of $43,615,000, “First Mortgage Bonds, Series WW due 2034” issued in the aggregate principal amount of $40,000,000, “First Mortgage Bonds, Series XX due 2034” issued in the aggregate principal amount of
$35,000,000, “First Mortgage Bonds, Series YY due 2034” issued in the aggregate principal amount of $24,000,000, “First Mortgage Bonds, Series ZZ due 2034” issued in the aggregate principal amount of $33,650,000, “First
Mortgage Bonds, Series AAA due 2039” issued in the aggregate principal amount of $75,000,000, “First Mortgage Bonds, Series BBB due 2035” issued in the aggregate principal amount of $250,000,000, “First Mortgage Bonds, Series CCC
due 2015” issued in the aggregate principal amount of $250,000,000, “First Mortgage Bonds, Series DDD due 2026” issued in the aggregate principal amount of $250,000,000, “First Mortgage Bonds, Series EEE due 2018” issued in
the aggregate principal amount of $161,240,000, “First Mortgage Bonds, Series FFF due 2037” issued in the aggregate principal amount of $250,000,000 and “First Mortgage Bonds, Series GGG due 2039” issued in the aggregate
principal amount of $300,000,000, respectively, all of which First Mortgage Bonds have heretofore been retired or redeemed, except the Series KK due 2015, the Series OO, the Series RR due 2021, the Series VV due 2034, the Series WW due 2034, the
Series XX due 2034, the Series YY due 2034, the Series ZZ due 2034, the Series AAA due 2039, the Series BBB due 2035, the Series CCC due 2015, the Series DDD due 2026, the Series EEE due 2018, the Series FFF due 2037 and the Series GGG due 2039,
which are presently issued and outstanding; and 
  

 2 

 WHEREAS, certain of the provisions of the Original Indenture have been amended by the
aforesaid Second and Tenth Supplemental Indentures, a Ninth Supplemental Indenture dated as of August 1, 1968, a Sixteenth Supplemental Indenture dated August 28, 1975, and a Thirtieth Supplemental Indenture dated September 23, 1983;
and 
 WHEREAS, the Original Indenture and each of said Supplemental Indentures have been recorded in the Official Records of
the Recorders of the Counties of San Diego, Orange, Riverside, and Imperial in the State of California and the Counties, Yuma and Maricopa in the State of Arizona, as follows: 

 

											
	 	  	 	  	 Counties of

	 Document
	  	 Official Records
	  	 San Diego
	  	 Orange
	  	 Riverside
	  	 Imperial

	 Original

Indenture
	  	 Book
 Page

Date
	  	 1087
 1

Oct. 10, 1940
	  	 1062
 300

Oct. 10, 1940
	  	 1765
 364

July 13, 1955
	  	 1369
 232

Nov. 22, 1974

						
	 First
 Supplemental

Indenture
	  	 Book
 Page

Date
	  	 2321
 48

Jan. 2, 1947
	  	 1506
 472

Jan. 9, 1947
	  	 1765
 499

July 13, 1955
	  	 1369
 332

Nov. 22, 1974

						
	 Second
 Supplemental

Indenture
	  	 Book
 Page

Date
	  	 2537
 363

Mar. 16, 1948
	  	 1616
 190

Mar. 15, 1948
	  	 1765
 448

July 13, 1955
	  	 1369
 343

Nov. 22, 1974

						
	 Third
 Supplemental

Indenture
	  	 Book
 Page

Date
	  	 4424
 535

Apr. 3, 1952
	  	 2311
 116

Apr. 3, 1952
	  	 1765
 475

July 13, 1955
	  	 1369
 370

Nov. 22, 1974

						
	 Fourth
 Supplemental

Indenture
	  	 Book
 Page

Date
	  	 5193
 217

Apr. 2, 1954
	  	 2701
 153

Apr. 2, 1954
	  	 1765
 336

July 13, 1955
	  	 1369
 409

Nov. 22, 1974

						
	 Fifth
 Supplemental

Indenture
	  	 Book
 Page

Date
	  	 5893
 291

Dec. 5, 1955
	  	 3304
 205

Dec. 5, 1955
	  	 1829
 3

Dec. 5, 1955
	  	 2369
 456

Nov. 22, 1974

						
	 Sixth
 Supplemental

Indenture
	  	 Book
 Page

Date
	  	 6829
 390

Nov. 12, 1957
	  	 4099
 109

Nov. 12, 1957
	  	 2175
 538

Nov. 12, 1957
	  	 1369
 492

Nov. 22, 1974

						
	 Seventh

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 1960 Series 1
 File No.
202061
 Oct. 10, 1960
	  	 5455
 385

Oct. 10, 1960
	  	 2780
 3

Oct. 10, 1960
	  	 1369
 541

Nov. 22, 1974

						
	 Eighth
 Supplemental

Indenture
	  	 Book
 Page

Date
	  	 1967 Series 8
 File No.
33860
 Mar. 13, 1967
	  	 8197
 129

Mar. 13, 1967
	  	 Endorsement
 No.
20925
 Mar. 13, 1967
	  	 1369
 618

Nov. 22, 1974

						
	 Ninth
 Supplemental

Indenture
	  	 Book
 Page

Doc. No.
 Date
	  	 1968 Series 9
  

138926
 Aug. 14, 1968
	  	 8691
 69

9816
 Aug. 14, 1968
	  	  
 78781

Aug. 14, 1968
	  	 1369
 694

 
 Nov. 22, 1974

 

 3 

											
	 Tenth
 Supplemental

Indenture
	  	 Book
 Page

Doc. No.
 Date
	  	 1968 Series 9
  

215131
 Dec. 9, 1968
	  	 8810
 375

 
 Dec. 9, 1968
	  	 Endorsement
 No.
119982
  
 Dec. 9, 1968
	  	 1369
 706

 
 Nov. 22, 1974

						
	 Eleventh

Supplemental
 Indenture
	  	 Book
 Page

Doc. No.
 Date
	  	 1970
  

27782
 Feb. 16, 1970
	  	 9217
 516

 
 Feb. 16, 1970
	  	 Endorsement
 No.
14780
  
 Feb. 16, 1970
	  	 1369
 725

 
 Nov. 22, 1974

						
	 Twelfth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No.
212688
 Sept. 20, 1971
	  	 9810
 539

Sept. 20, 1971
	  	 Endorsement
 No.
106508
 Sept. 20, 1971
	  	 1369
 744

Nov. 22, 1974

						
	 Thirteenth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 74-006878

 Jan. 10, 1974
	  	 11055
 1

Jan. 10, 1974
	  	 Endorsement
 No.
3853
 Jan. 10, 1974
	  	 1369
 763

Nov. 22, 1974

						
	 Fourteenth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 74-322156

 Dec. 11, 1974
	  	 11303
 458

Dec. 11, 1974
	  	 Endorsement
 No.
157219
 Dec. 11, 1974
	  	 1369
 1689

Dec. 11, 1974

						
	 Fifteenth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 755-108612

 May 7, 1975
	  	 11395
 1879

May 7, 1975
	  	 Instrument
 No.
52617
 May 7, 1975
	  	 1374
 809

May 7, 1975

						
	 Sixteenth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 75-235624

 Sept. 2, 1975
	  	 11500
 1620

Sept. 2, 1975
	  	 Instrument
 No.
107732
 Sept. 3, 1975
	  	 1378
 952

Sept. 2, 1975

						
	 Seventeenth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 76-224493

 July 16, 1976
	  	 11815
 640

July 16, 1976
	  	 Instrument
 No.
103484
 July 16, 1976
	  	 1389
 687

July 16, 1976

						
	 Eighteenth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 77-100483

 Mar. 18, 1977
	  	 12110
 58

Mar. 18, 1977
	  	 Instrument
 No.
45619
 Mar. 18, 1977
	  	 1398
 1675

Mar. 18, 1977

						
	 Nineteenth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 78-194210

 May 12, 1978
	  	 12672
 1803-1822

May 12, 1978
	  	 Instrument
 No.
94450
 May 12, 1978
	  	 1415
 1638

May 12, 1978

						
	 Twentieth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 80-082569

 Mar. 11, 1980
	  	 13530
 722

Mar. 11, 1980
	  	 Instrument
 No.
47195
 Mar. 11, 1980
	  	 1448
 1221

Mar. 11, 1980

						
	 Twenty-First

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 80-245100

 Aug. 1, 1980
	  	 13687
 349

Aug. 1, 1980
	  	 Instrument
 No.
139349
 Aug. 1, 1980
	  	 1455
 1660

Aug. 1, 1980

						
	 Twenty-Second
 Supplemental

 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No.
81-22576
 July 17, 1981
	  	 Instrument
 No.
24605
 July 17, 1981
	  	 Instrument
 No.
135815
 July 17, 1981
	  	 1472
 508

July 17, 1981

						
	 Twenty-Third

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No.
82-02387
 Jan. 27, 1982
	  	 Instrument
 No. 82-031423

 Jan. 27, 1982
	  	 Instrument
 No.
16093
 Jan. 27, 1982
	  	 1479
 1714

Jan. 27, 1982

						
	 Twenty-Fourth
 Supplemental

 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 82-257258

 Aug. 19, 1982
	  	 File/Page
 No. 82-291894

 Aug. 19, 1982
	  	 File/Page
 No. 82/143370212

 Aug. 19, 1982
	  	 1489
  

Aug. 19, 1982

  

 4 

											
	 Twenty-Fifth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 82-257259

 Aug. 19, 1982
	  	 File/Page
 No. 82-291895

 Aug. 19, 1982
	  	 File/Page
 No. 82-143371

 Aug. 19, 1982
	  	 1489
 236

Aug. 19, 1982

						
	 Twenty-Sixth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 82-257260

 Aug. 19, 1982
	  	 File/Page
 No. 82-291896

 Aug. 19, 1982
	  	 File/Page
 No. 82/143372260

 Aug. 19, 1982
	  	 1489
  

Aug. 19, 1982

						
	 Twenty-Seventh
 Supplemental

 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 83-200545

 June 15, 1983
	  	 File/Page
 No. 83-253901

 June 15, 1983
	  	 File/Page
 No.
118670
 June 15, 1983
	  	 1503
 743

June 15, 1983

						
	 Twenty-Eighth
 Supplemental

 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 83-252396

 July 22, 1983
	  	 File/Page
 No. 83-316224

 July 22, 1983
	  	 File/Page
 No.
147671
 July 22, 1983
	  	 1505
 583

July 22, 1983

						
	 Twenty-Ninth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page
 No. 83-339007

 Sept. 22, 1983
	  	 File/Page
 No. 83-417956

 Sept. 22, 1983
	  	 File/Page
 194083

Sept. 22, 1983
	  	 1508
 1425

Sept. 22, 1983

					
	 	  	 	  	 Counties of
	  	 	  	 
	Thirtieth	  	 Official

Records
	  	 Yuma
	  	 Maricopa
	  	 	  	 
	 Supplemental

Indenture

Consisting of

Original and

Twenty-Nine

Supplemental

Indentures thereto
	  	 Book
 Page

Book
 Page

Date
	  	 Docket 1352

272-1002
 Docket 1353

1-264
 Sept. 28, 1983
	  	 File No.
 83-399354

 
 Oct. 3, 1983
	  		  	

  

															
	 	  	 	  	 Counties of

	 Document
	  	 Official
Records
	  	 San Diego
	  	 Orange
	  	 Riverside
	  	 Imperial
	  	 Yuma
	  	 Maricopa

	 Thirty-First

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page

84-161897
 5/2/84
	  	 File/Page

84-180870
 5/2/84
	  	 File/Page
 92011

5/2/84
	  	 1520
 1552

4/30/84
	  	 Docket 1382

743-761
 4/30/84
	  	 File No.

84-186813
 5/2/84

								
	 Thirty-Second
 Supplemental

 Indenture
	  	 Book
 Page

Date
	  	 File/Page

84-466428
 12/14/84
	  	 File/Page

84-517843
 12/14/84
	  	 File/Page
 267452

12/14/84
	  	 1533
 753

12/14/84
	  	 Docket 1413

216-235
 12/14/84
	  	 File No.

84-537706
 12/14/84

								
	 Thirty-Third

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page

85-323210
 9/4/85
	  	 File/Page

85-333505
 9/4/85
	  	 File/Page
 198810

9/4/85
	  	 1546
 708

9/4/85
	  	 Docket 1450
 816

9/4/85
	  	 File No.

85-418309
 9/4/85

								
	 Thirty-Fourth
 Supplemental

 Indenture
	  	 Book
 Page

Date
	  	 File/Page

85-42465
 12/2/85
	  	 File/Page

85-481794
 12/2/85
	  	 File/Page
 270136

12/2/85
	  	 1550
 1573

12/3/85
	  	 Docket 1463
 215

12/3/85
	  	 File No.

85-568874
 12/2/85

								
	 Thirty-Fifth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page

86-279922
 7/8/86
	  	 File/Page

86-290957
 7/8/86
	  	 File/Page
 158161

7/8/86
	  	 1562
 549

7/8/86
	  	 Docket 1491

639-657
 7/8/86
	  	 File No.

86-347412
 7/8/86

								
	 Thirty-Sixth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page

86-576027
 12/10/86
	  	 File/Page

86-606666
 12/10/86
	  	 File/Page
 314771

12/10/86
	  	 1571
 240

12/10/86
	  	 Docket 1512
 5-24

12/10/86
	  	 File/Page

86-680502
 12/10/86

								
	 Thirty-Seventh
 Supplemental

 Indenture
	  	 Book
 Page

Date
	  	 File/Page

87-532270
 9/21/87
	  	 File/Page

87-530266
 9/21/87
	  	 File/Page
 273181

9/21/87
	  	 1588
 844

9/21/87
	  	 Docket 1555
 844

9/21/87
	  	 File/Page

87-585903
 9/21/87

 

 5 

															
								
	Thirty-Eighth Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

90-217585
 4/23/90
	  	 File/Page

90-212277
 4/23/90
	  	 File/Page
 146794

4/23/90
	  	 1646
 1280

4/23/90
	  	 Docket 1686

92-120
 4/23/90
	  	 File/Page

88-176460
 4/23/90

								
	Thirty-Ninth Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

91-632073
 12/09/91
	  	 File/Page

91-674397
 12/09/91
	  	 File/Page
 425578

12/09/91
	  	 1687
 743

12/09/91
	  	 Docket 1771

711-728
 12/09/91
	  	 File/Page

91-0574751
 12/09/91

								
	 Fortieth

Supplemental
 Indenture
	  	 Book
 Page

Date
	  	 File/Page

92-185636
 4/1/92
	  	 File/Page

92-202372
 4/1/92
	  	 File/Page
 115201

4/1/92
	  	 Book/Page

92-06577
 4/1/92
	  	 Docket 1790

954-970
 4/1/92
	  	 File/Page

92-0169646
 4/1/92

								
	Forty-First Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

92-0363471
 6/11/92
	  	 File/Page

92-393790
 6/11/92
	  	 File/Page
 214904

6/11/92
	  	 Book/Page

92-011833
 6/11/92
	  	 Docket 1804

73-88
 6/11/92
	  	 File/Page

92-0317072
 6/11/92

								
	Forty-Second Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

92-0650893
 10/13/92
	  	 File/Page

92-692066
 10/13/92
	  	 File/Page
 384167

10/13/92
	  	 Book/Page

92-21988
 10/13/92
	  	 Docket 1824

670-689
 10/13/92
	  	 File/Page

92-0575062
 10/13/92

								
	Forty-Third Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

92-0788665
 12/9/92
	  	 File/Page

92-845626
 12/10/92
	  	 File/Page
 471625

12/10/92
	  	 Book/Page

92-27082
 12/9/92
	  	 Docket 1834

187-206
 12/9/92
	  	 File/Page

92-0700568
 12/9/92

								
	Forty-Fourth Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

93-0257065
 4/27/93
	  	 File/Page

93-0277892
 4/27/93
	  	 File/Page
 153382

4/27/93
	  	 Book/Page

93-009487
 4/27/93
	  	 Docket 1859
 Fee
09300
 4/27/93
	  	 File/Page

93-0246725
 4/26/93

								
	 Forty-Fifth
 Supplemental
Indenture
	  	 Book
 Page

Date
	  	 File/Page

93-0395609
 6/23/93
	  	 File/Page

93-0420127
 6/23/93
	  	 File/Page
 239922

6/23/93
	  	 Book/Page

93-14224
 6/23/93
	  	 Docket
 Fee 14413

6/23/93
	  	 File/Page

93-0403060
 6/23/93

								
	 Forty-Sixth
 Supplemental
Indenture
	  	 Book
 Page

Date
	  	 File/Page

93-0474705
 7/26/93
	  	 File/Page

93-0496100
 7/26/93
	  	 File/Page
 288868

7/27/93
	  	 Book/Page

93-17399
 7/27/93
	  	 Docket
 Fee 17163

7/27/93
	  	 File/Page

93-0487598
 7/27/93

								
	 Forty-Seventh
 Supplemental
Indenture
	  	 Book
 Page

Date
	  	 File/Page

95-0230457
 6/01/95
	  	 File/Page

95-0232951
 6/01/95
	  	 File/Page
 175604

6/01/95
	  	 Book/Page

95-11739
 6/01/95
	  	 Docket
 246-264

6/01/95
	  	 File/Page

95-0313576
 6/01/95

								
	 Forty-Eighth
 Supplemental
Indenture
	  	 Book
 Page

Date
	  	 File/Page

95-0230458
 6/01/95
	  	 File/Page

95-0232952
 6/01/95
	  	 File/Page
 175605

6/01/95
	  	 Book/Page

95-11740
 6/01/95
	  	 Docket
 265-284

6/01/95
	  	 File/Page

95-0343577
 6/01/95

								
	Forty-Ninth Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

05-00384477
 1/14/05
	  	 File/Page

04-683110
 7/28/04
	  	 File/Page

04-0766976
 9/28/04
	  	 Book/Page

04-021901
 7/15/04
	  	 Docket
 04-29663

8/16/04
	  	 File/Page

04-941699
 8/13/04

								
	 Fiftieth
 Supplemental
Indenture
	  	 Book
 Page

Date
	  	 File/Page

20050441722
 5/25/05
	  	 File/Page
 2005000405730

 5/26/05
	  	 File/Page

20050145832
 5/25/05
	  	 Book/Page
 019964

5/25/05
	  	 Docket
 200522373

5/25/05
	  	 File/Page

20050711918
 5/27/05

								
	Fifty-First Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

20051016267
 11/23/05
	  	 File/Page
 2005000945695

 11/28/05
	  	 File/Page

20050981667
 11/29/05
	  	 Book/Page

2006005449
 1/30/06
	  	 Docket
 200553032

12/2/05
	  	 File/Page

20051852692
 12/7/05

								
	Fifty-Second Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

2006-0413693
 6/12/06
	  	 File/Page
 2006000404447

 6/16/06
	  	 File/Page

2006-0422620
 6/12/06
	  	 Book/Page

2006-032418
 7/11/06
	  	 Docket

2006-23999
 6/12/06
	  	 File/Page

2006-0802735

6/14/06

 

 6 

															
								
	Fifty-Third Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

2006-0683713
 9/26/06
	  	 File/Page
 2006000643109

 9/27/06
	  	 File/Page
 713252

9/27/06
	  	 Book/Page

06-46145
 9/28/06
	  	 Docket

2006-39635
 9/29/06
	  	 File/Page

20061310143
 10/3/06

								
	Fifty-Fourth Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

2007-0625504
 9/25/07
	  	 File/Page
 2007000581227

 9/25/07
	  	 File/Page

2007-0600369
 9/25/07
	  	 Book/Page

2007-036497
 9/25/07
	  	 Docket

2007-33238
 9/25/07
	  	 File/Page

2007-1062404
 9/26/07

								
	Fifty-Fifth Supplemental Indenture	  	 Book
 Page

Date
	  	 File/Page

2009-0320954
 6/12/09
	  	 File/Page
 2009000305886

 6/12/09
	  	 File/Page

2009-0311041
 6/18/09
	  	 Book/Page

2009-017587
 6/12/09
	  	 Docket
 16744

6/15/09
	  	 File/Page

20090542104
 6/15/09

WHEREAS, the Board of Directors of the Company has duly authorized the creation of an additional series of bonds to be designated
“First Mortgage Bonds, Series HHH, due 2040,” as hereinafter set forth in this Fifty-Sixth Supplemental Indenture; and 

WHEREAS, the execution and delivery of this Fifty-Sixth Supplemental Indenture has been duly authorized by resolution of the Board of
Directors of the Company; and 
 WHEREAS, all the conditions and requirements necessary to make this Fifty-Sixth Supplemental
Indenture a valid, binding and legal instrument in accordance with its terms and for the purposes herein expressed have been performed and fulfilled and the execution and delivery hereof have been in all respects duly authorized. 

NOW, THEREFORE, in order further to secure the payment of the principal of and interest on all of the bonds of the Company at any time
outstanding under the Original Indenture, as from time to time amended and supplemented (the “Indenture”) and to secure the performance and observance of each and every of the covenants and agreements of the Indenture, as from time
to time amended and supplemented, and for and in consideration of the premises, and of the sum of One Dollar ($1.00) to the Company duly paid by the Trustee (the receipt whereof is hereby acknowledged), the Company has executed and delivered this
Fifty-Sixth Supplemental Indenture and has granted, bargained, sold, warranted, released, conveyed, assigned, transferred, mortgaged, pledged, hypothecated, granted a security interest in, set over and confirmed, and by these presents does grant,
bargain, sell, warrant, release, convey, assign, transfer, mortgage, pledge, hypothecate, grant a security interest in, set over and confirm unto U.S. Bank National Association, as Trustee, and to its respective successors in said trust forever,
with power of sale, all property, real, personal and mixed, now owned or hereafter acquired or to be acquired by the Company, and wheresoever situated (except such property as is expressly excepted or excluded from the lien and security interest of
the Indenture, and property of a successor corporation or corporations excluded from the lien and security interest thereof by the provisions of Section 3 of Article XIV thereof) subject to the rights reserved by the Company in and by other
provisions of the Indenture, including in the property subject and to be subject to the lien and security interest thereof and hereof (without in any manner limiting or impairing by the enumeration of the same scope and intent of the foregoing or of
any general description contained in the Original Indenture or in this or any other supplemental indenture) all lands, rights-of-way, other land rights, flowage and other water rights, power houses, dams, reservoirs, docks, roads, and buildings,
structures and other land improvements; steam, and other electric generating plants, including buildings and other structures, turbines, generators, exciters, boilers and other boiler plant equipment, condensing equipment, and all auxiliary
equipment; stations and substations; electric transmission and distribution systems, including structures, poles, towers, fixtures, conduits, insulators, wires, cables, transformers, services and meters; steam heating plants and systems, including
mains and equipment, gas plants, transmission and distribution systems, including pipe lines, structures, tanks, mains, compressor stations, purifier stations, pressure holders, governors, services and meters; communication systems, office, shop and
other buildings and structures, and equipment; apparatus and equipment and materials and supplies of all other kinds and descriptions; and all municipal and other franchises, leaseholds, licenses, permits, and privileges; 

TOGETHER WITH all and singular the tenements, hereditaments and appurtenances belonging or in any wise appertaining to the aforesaid
property or any part thereof with the reversion and reversions, remainder and remainders, tolls, rents and revenues, issues, income, proceeds, product and profits thereof, and all the estate, right, title and interest and claim whatsoever, at law as
well as in equity, which the Company now has or may hereafter acquire in and to the aforesaid property and every part and parcel thereof (except such property as is expressly excepted or excluded from the lien and security interest of the Indenture,
and property of a successor corporation or corporations excluded from the lien and security thereof by the provisions of Section 3 of Article XIV thereof), subject to the rights reserved by the Company in and by other provisions of the
Indenture; 
  

 7 

 It is hereby agreed by the Company that, except as aforesaid, all the property, rights, and
franchises acquired by the Company after the date hereof shall be as fully embraced within the lien and security interest hereof as if such property were now owned by the Company and were specifically described herein and conveyed and a security
interest therein granted hereby; 
 SAVING AND EXCEPTING, HOWEVER, anything to the contrary notwithstanding contained herein or
in the granting clauses of the Original Indenture and said Supplemental Indentures (a) such property described or referred to in any of such granting clauses as has been from time to time, released or sold free from the lien and security
interest of the Original Indenture (or the Original Indenture, as supplemented) in accordance and compliance with the provisions thereof (or of the Original Indenture, as supplemented, as the case may be), and (b) all of the following property
(whether now owned by the Company or hereafter acquired by it): (1) all gas, electric energy and steam produced, purchased or otherwise acquired; (2) all contracts, choses in action, shares of stock, bonds, notes, evidences of
indebtedness, and other securities, other than any of the foregoing which maybe required to be deposited from time to time with the Trustee in accordance with the provisions of the Indenture or are required by some express provision thereof to be
deposited with the Trustee; (3) merchandise and appliances at any time acquired for the purpose of sale or lease to customers and others and contracts for the sale of merchandise and appliances; (4) motor vehicles; (5) timber on land
owned by the Company; (6) minerals or mineral rights in lands owned by the Company; (7) oil, coal or gas, or oil, coal or gas rights in land owned by the Company or gas wells or oil wells or equipment therefor or coal mines or equipment
therefor; (8) fuel and other personal property which are consumable in their use in the operation of the properties of the Company; (9) bills and accounts receivable; (10) cash on hand and in banks other than such cash as may be
deposited from time to time with the Trustee in accordance with the provisions of the Indenture or as is required by some express provision thereof to be deposited with the Trustee; and (11) the last day of the term of each leasehold estate now
or hereafter enjoyed by the Company. The Company may, however, expressly subject to the lien and security interest and operation of the Original Indenture and all indentures supplemental thereto all or any part of the property of the character
described in clause (b) of this paragraph; 
 TO HAVE AND TO HOLD all said properties, real, personal and mixed, mortgaged,
pledged, or conveyed and in which a security interest has been granted by the Company as aforesaid, or intended so to be, unto the Trustee and its successors and assigns forever, subject, however, to Permitted Liens as defined in the Indenture;

 IN TRUST NEVERTHELESS, for the equal pro rata benefit and security as provided in the Original Indenture and all indentures
supplemental thereto of all and every of the bonds issued and to be issued in accordance with the provisions of the Original Indenture and all indentures supplemental thereto, without preference, priority or distinction as to lien or security
interest of any over the others by reason of priority in time of the issue, negotiation or maturity thereof, subject, however, to the provisions of the Original Indenture and all indentures supplemental thereto relating to any sinking fund or
similar fund for the benefit of the bonds of any particular series; 
 The Company does further covenant and agree with the
Trustee as follows: 
 ARTICLE I 

SERIES HHH BONDS 

Section 1: There is hereby created, for issuance under the Original Indenture as supplemented by the said Supplemental
Indentures (including this Fifty-Sixth Supplemental Indenture), a series of bonds designated Series HHH, due 2040, each of which shall bear the descriptive title “First Mortgage Bonds, Series HHH, due 2040” (herein sometimes referred to as
“Series HHH Bonds”), and the form thereof shall contain suitable provisions with respect to the matters hereinafter in this Section specified. The Series HHH Bonds shall mature on May 15, 2040 and shall be issued in
denominations of $1,000 and integral multiples thereof as the Company may from time to time execute and deliver. The Series HHH Bonds shall bear interest at the rate and from the date, shall be expressed to mature as to principal, and shall be
payable as to principal and interest at such place or places and in such money, all as provided in the form of Series HHH Bond set forth on Exhibit A hereto (the “Form of Bond”) and by the applicable provisions of the
Indenture. In addition, May 13, 2010 shall be an Interest Payment Date for the Series HHH Bonds for purposes of Section 9 of Article II of the Indenture, provided that no interest shall be payable on

  

 8 

 
such date. Both the principal and interest on the Series HHH Bonds shall be payable at the corporate trust office of the Trustee in the City and County of San Francisco, State of California. The
Series HHH Bonds shall be dated as in Section 9 of Article II of the Indenture provided with respect to registered bonds without coupons. 

The Series HHH Bonds shall further be redeemable, exchangeable, transferable and otherwise have the terms set forth in the Form of Bond.

 The Series HHH Bonds shall otherwise be of such terms, provisions, tenor and form as provided in this Fifty-Sixth
Supplemental Indenture. 
 Section 2: The Series HHH Bonds shall be executed, authenticated and delivered in
accordance with the provisions and shall be entitled to the protection and security, of the Original Indenture supplemented by this Fifty-Sixth Supplemental Indenture and the other supplemental indentures, and shall be subject to all of the terms,
conditions and covenants and limitations thereof. The aggregate principal amount of the Series HHH Bonds, which may be executed by the Company and authenticated and delivered by the Trustee and secured by the Indenture as from time to time in
effect, is limited only to the extent provided in Section 1 of Article II of the Original Indenture. 

Section 3: The Series HHH Bonds shall be issued only as fully registered bonds without coupons. The fully registered bonds
without coupons and the certificate of authentication to be endorsed on all Series HHH Bonds shall be substantially in the form set forth on the Form of Bond. In addition, the Series HHH Bonds may be issuable in whole or in part in the form of one
or more securities that evidences all or part of the bonds of such series which is issued to a depository or a nominee thereof for such series (a “Global Security”) and, in such case, the Board of Directors of the Company shall
appoint a clearing agency registered under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), designated to act as depositary (a “depositary”) for such Global Securities. The definitive Series HHH
Bonds shall be numbered in such manner as the Company shall at any time or from time to time determine. 

Section 4: In the event the Series HHH Bonds are issued as a Global Security the following provisions, in addition to the
provisions of the Indenture, shall apply: 
 (1) Each Global Security authenticated under the Indenture shall be
registered in the name of the depositary designated for such Global Security or a nominee thereof and delivered to such depositary or a nominee thereof or custodian therefor, and each such Global Security shall constitute a single bond for all
purposes of this Supplemental Indenture. 
 (2) Notwithstanding any other provision in this Supplemental Indenture, no
Global Security may be exchanged in whole or in part for bonds registered, and no transfer of a Global Security in whole or in part may be registered, in the name of any person other than the depositary for such Global Security or a nominee thereof
unless (A) such depositary has notified the Company that it is unwilling or unable to continue as depositary for such Global Security and a successor depositary has not been appointed by the Company within 90 days of receipt by the Company of
such notification, (B) if at any time the depositary ceases to be a clearing agency registered under the Exchange Act at a time when the depositary is required to be so registered to act as such depositary and no successor depositary shall have
been appointed by the Company within 90 days after it became aware of such cessation, (C) the Company, in its sole discretion, executes and delivers to the Trustee a written order signed in the name of the Company by its Chairman of the Board,
its President or a Vice President, and by its Treasurer, an Assistant Treasurer, its Secretary or an Assistant Secretary to the effect that such Global Security, together with all other Global Securities of the same series, shall be exchangeable as
described below, or (D) a “completed default” (as defined in the Indenture) has occurred and is continuing with respect to the Series HHH Bonds. If any of the events described in clauses (A) through (D) of the preceding
sentence occur, the beneficial owners of interests in the relevant Global Securities will be entitled to exchange those interests for definitive bonds and, without unnecessary delay but in any event not later than the earliest date on which those
interests may be so exchanged, the Company will deliver to the Trustee definitive bonds in such form and denominations as are required by or pursuant to this Indenture, and of the same series, containing identical terms and in an aggregate principal
amount equal to the principal amount of such Global Securities, such bonds to be duly executed by the Company. On or after the earliest date on which such beneficial interests may be so exchanged, such Global Securities shall be surrendered from
time to time by the depositary as shall be specified in the order from the Company with respect thereto (which the Company agrees to deliver), and in accordance with any instructions given to the Trustee and the depositary (which

  

 9 

 
instructions shall be in writing but need not be contained in or accompanied by an officers’ certificate or be accompanied by an opinion of counsel), as shall be specified in the order from
the Company with respect thereto to the Trustee, as the Company’s agent for such purpose, to be exchanged, in whole or in part, for definitive bonds as described above without charge. The Trustee shall authenticate and make available for
delivery, in exchange for each portion of such surrendered Global Security, a like aggregate principal amount of definitive bonds of the same series of authorized denominations and of like tenor as the portion of such Global Security to be
exchanged. Promptly following any such exchange in part, such Global Security shall be returned by the Trustee to such depositary or its custodian. If a definitive bond is issued in exchange for any portion of a Global Security after the close of
business at the place where such exchange occurs on or after (i) any regular record date for the date the interest is due (the “Interest Payment Date”) for such bond and before the opening of business at that place of payment
on the next Interest Payment Date, or (ii) any special record date for the payment of interest for such bond and before the opening of business at such place of payment on the related proposed date for the payment of the interest which was not
punctually paid or duly provided for on any Interest Payment Date, as the case may be, interest shall not be payable on such Interest Payment Date or proposed date for payment, as the case may be, in respect of such definitive bond, but shall be
payable on the Interest Payment Date or proposed date for payment, as the case may be, only to the person to whom interest in respect of such portion of such Global Security shall be payable in accordance with the provisions of this Indenture.

 (3) Subject to Clause (2) above, any exchange or transfer of a Global Security for other bonds may be made in
whole or in part, and all bonds issued in exchange for or upon transfer of a Global Security or any portion thereof shall be registered in such names as the depositary for such Global Security shall direct. 

(4) Every bond authenticated and delivered upon registration of transfer of, or in exchange for or in lieu of, a Global Security
or any portion thereof, shall be authenticated and delivered in the form of, and shall be, a Global Security, unless such bond is registered in the name of a person other than the depositary for such Global Security or a nominee thereof. 

 

 10 

 (5) Unless otherwise specified as contemplated by Section 1 of Article I of this
Supplemental Indenture for the bonds evidenced thereby, every Global Security authenticated and delivered hereunder shall bear a legend in substantially the following form: 

THIS SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITARY OR A NOMINEE
THEREOF. THIS SECURITY MAY NOT BE EXCHANGED IN WHOLE OR IN PART FOR A SECURITY REGISTERED, AND NO TRANSFER OF THIS SECURITY IN WHOLE OR IN PART MAY BE REGISTERED, IN THE NAME OF ANY PERSON OTHER THAN SUCH DEPOSITARY OR A NOMINEE THEREOF, EXCEPT IN
THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE. ANY TRANSFER, PLEDGE, OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL, INASMUCH AS THE REGISTERED OWNER HEREOF HAS AN INTEREST HEREIN. 

Section 5: The Series HHH Bonds may contain or have imprinted thereon such provisions or specifications not inconsistent with
the Indenture as may be required to comply with the rules of any stock exchange or any federal or state authority or commission, or to comply with usage with respect thereto, and may bear such other appropriate endorsements or notations as are
authorized or permitted by the Indenture. 
 Section 6: In the manner and subject to certain conditions and
limitations specified herein and in the Indenture, Series HHH Bonds may be exchanged without a service charge for a like aggregate principal amount of such Series HHH Bonds of other authorized denomination or denominations; provided that the
Company may require payment of a sum or sums sufficient to reimburse it for any stamp tax or other governmental charge payable in connection therewith. 

Section 7: The Company shall maintain in the City and County of San Francisco, State of California, and in such other place
or places as the Company may designate at any time or from time to time, an office or agency where Series HHH Bonds may be presented for payment, registration, transfer and exchange as provided therein or in the Indenture. Such office or agency in
the City and County of San Francisco shall be the corporate trust office of the Trustee unless and until the Company shall designate another office or agency by notice in writing delivered to the Trustee. Notwithstanding the foregoing, if and when
definitive bonds are issued, the Company shall maintain in the Borough of Manhattan, City and County of New York, State of New York, an office or agency where Series HHH Bonds may be presented for payment, registration, transfer and exchange as
provided therein or in the Indenture. 
 Section 8: No transfer or exchange of any Series HHH Bonds pursuant to any
of the provisions of this Article I shall be made except upon and in accordance with all of the applicable terms, provisions and conditions of said bonds and of the Indenture. 

ARTICLE II 

MISCELLANEOUS PROVISIONS 

Section 1: This instrument is executed and shall be construed as an indenture supplemental to the Original Indenture and
shall form a part thereof and, as supplemented by this Fifty-Sixth Supplemental Indenture, the Original Indenture as heretofore supplemented and amended is hereby confirmed. 

Section 2: All terms used in this Fifty-Sixth Supplemental Indenture shall be taken to have meaning as in the Original
Indenture, as heretofore supplemented and amended, except terms which may be otherwise expressly defined herein and in cases where the context clearly indicates otherwise. 

Section 3: In order to facilitate the filing of this Fifty-Sixth Supplemental Indenture the same may be executed in several
counterparts each of which, when so executed, shall be deemed to be an original, but such counterparts shall constitute but one and the same instrument. 

Section 4: All of the covenants, stipulations, promises and agreements in this Fifty-Sixth Supplemental Indenture by or on
behalf of the Company shall bind its successors and assigns, whether so expressed or not. 
 Section 5: To the
extent any provision in this Fifty-Sixth Supplemental Indenture conflicts with any provision in the Indenture, the provisions of this Fifty-Sixth Supplemental Indenture shall govern; provided, however, that in the event such conflict
would require bondholder consent, the terms and provisions of the Indenture shall govern. 
  

 11 

 Section 6: The Original Indenture, insofar as it applies to the Series HHH
Bonds, this Fifty-Sixth Supplemental Indenture and the Series HHH Bonds shall be governed by and construed in accordance with the laws of the State of California, without regard to conflicts of laws principles thereof. 

{Signature Page Follows} 
  

 12 

 IN WITNESS WHEREOF, SAN DIEGO GAS & ELECTRIC COMPANY has caused this Fifty-Sixth
Supplemental Indenture to be signed in its name and behalf by its duty authorized officer and its corporate seal to be hereunto affixed duly attested by its Secretary or one of its Assistant Secretaries, and U.S. BANK NATIONAL ASSOCIATION, to
evidence its acceptance of the trusts hereby created, has caused this Fifty-Sixth Supplemental Indenture to be signed in its name and behalf by its duly authorized officer as of the day and year first above written. 

 

					
	SAN DIEGO GAS & ELECTRIC COMPANY
		
	By:	 	 /s/ Robert Schlax

		 	Name:	 	Robert Schlax
		 	Title:	 	Vice President, Chief Financial Officer, Controller, Treasurer and Chief Accounting Officer

(CORPORATE SEAL) 
 Attest: 

 

					
	By:	 	 /s/ W. Davis Smith

		 	Name:	 	W. Davis Smith
		 	Title:	 	Assistant Secretary

  

					
	U.S. BANK NATIONAL ASSOCIATION, AS TRUSTEE
		
	By:	 	 /s/ Fonda Hall

		 	Name:	 	Fonda Hall
		 	Title:	 	Vice President

  

 13 

					
	STATE OF CALIFORNIA	  	)	  	
		  	) ss.:	  	
	COUNTY OF SAN DIEGO	  	)	  	

 On May 11, 2010, before me, Linda M. Baker, a Notary Public, in and for said County and State,
personally appeared Robert M. Schlax, a Vice President and the Chief Financial Officer, Controller, Treasurer and Chief Accounting Officer, and W. Davis Smith, an Assistant Secretary, of SAN DIEGO GAS & ELECTRIC COMPANY, proved to me on the
basis of satisfactory evidence to be the persons whose names are subscribed to the within instrument and acknowledged to me that they executed the same in their authorized capacities, and that by their signatures on the instrument the entity upon
behalf of which they acted, executed the instrument. 
 I certify under PENALTY OF PERJURY under the laws of the State of
California that the foregoing paragraph is true and correct. 
 WITNESS my hand and official seal. 

/s/ Linda M.
Baker                                        
[SEAL] 
  

					
	STATE OF CALIFORNIA	  	)	  	
		  	) ss.:	  	
	COUNTY OF LOS ANGELES	  	)	  	

 On May 12, 2010, before me, F. Reidelbach, a Notary Public, in and for said County and State,
personally appeared Fonda J. Hall, of U.S. BANK NATIONAL ASSOCIATION, personally known to me (or proved to me on the basis of satisfactory evidence) to be the person whose name is subscribed to the within instrument and acknowledged to me that she
executed the same in her authorized capacity, and that by her signature on the instrument the entity upon behalf of which she acted, executed the instrument. 

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.

 WITNESS my hand and official seal. 

/s/ F.
Reidelbach                                        
  [SEAL] 
  

 14 

 EXHIBIT A 

FORM OF BOND 

(Attached) 
  

 15 

 [If this bond is issued as a global security, insert the following legend: THIS SECURITY IS A GLOBAL
SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITARY OR A NOMINEE THEREOF. THIS SECURITY MAY NOT BE EXCHANGED IN WHOLE OR IN PART FOR A SECURITY REGISTERED, AND NO TRANSFER OF THIS
SECURITY IN WHOLE OR IN PART MAY BE REGISTERED, IN THE NAME OF ANY PERSON OTHER THAN SUCH DEPOSITARY OR A NOMINEE THEREOF, EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE. ANY TRANSFER, PLEDGE, OR OTHER USE HEREOF FOR VALUE OR
OTHERWISE BY OR TO ANY PERSON IS WRONGFUL, INASMUCH AS THE REGISTERED OWNER HEREOF HAS AN INTEREST HEREIN.] 
 SAN DIEGO
GAS & ELECTRIC COMPANY 
 (INCORPORATED UNDER THE LAWS OF THE STATE OF CALIFORNIA) 

5.35% FIRST MORTGAGE BOND, 

SERIES HHH, DUE 2040 
  

			
	No.         	  	$            

SAN DIEGO GAS & ELECTRIC COMPANY, a corporation organized and existing under the laws of the State of California (hereinafter
called the “Company”, which term shall include any successor corporation, as defined in the Indenture hereinafter referred to), for value received, hereby promises to pay to
                                         
                    [If this bond is issued as a global security, insert “CEDE & CO.” in the foregoing space] or registered assigns, the
principal sum of
                                         in
lawful money of the United States of America, on the fifteenth day of May, 2040, and to pay interest thereon from the date of this bond, at the rate of 5.35% per annum in like lawful money, payable semi-annually, on the fifteenth day of May and
November in each year, to the holder of record of this bond on the immediately preceding first day of May and November, respectively, commencing November 15, 2010, until the Corporation’s obligation with respect to the payment of such
principal shall be discharged as provided in the Indenture hereinafter mentioned. Both the principal of and interest on this bond will be paid at the corporate trust office of U.S. Bank National Association, or its successor trustee under said
Indenture, in the City and County of San Francisco, State of California [if this bond is a definitive bond, insert: “, or at the office or agency in the Borough of Manhattan, City and County of New York, State of New York, that the Corporation
maintains for such purpose”]. Notwithstanding the foregoing, so long as the holder of this bond is a depositary, or its nominee, payment of the principal of (and premium, if any) and interest on this bond will be made by wire transfer of
immediately available funds. 
 The provisions of this bond are continued following the signature blocks below and such
continued provisions shall for all purposes have the same effect as though fully set forth at this place. 
 This bond shall not
be valid or become obligatory for any purpose unless and until U.S. BANK NATIONAL ASSOCIATION, as Trustee under the Indenture, as amended, or its successor thereunder, shall have signed the certificate of authentication endorsed hereon. 

 IN WITNESS WHEREOF, SAN DIEGO GAS & ELECTRIC COMPANY has caused this instrument to
be executed in its name by the signature or facsimile signature of its President or any Vice President and its corporate seal, or a facsimile thereof to be hereto affixed and attested by the signature or facsimile signature of its Secretary or any
Assistant Secretary. 
  

											
	Dated:	 	  
	 		 		 	SAN DIEGO GAS & ELECTRIC COMPANY
						
		 		 		 		 	By:	 	 
		 		 		 		 		 	President or Vice President

 (CORPORATE SEAL) 

 

	
	Attest:
	
	 
	Secretary or Assistant Secretary

 This bond is one of a duly authorized issue of bonds of the Company, known as its First
Mortgage Bonds, of the series and designation indicated on the face hereof (the “Series HHH Bonds”), all issued and to be issued under and equally secured by a Mortgage and Deed of Trust dated July 1, 1940, and indentures
supplemental thereto, including the Fifty-Sixth Supplemental Indenture dated as of May 13, 2010 (which Mortgage and Deed of Trust, as so supplemented, is herein called the “Indenture”) executed by the Company to U.S. Bank
National Association, as Trustee (herein called the “Trustee”), to which Indenture reference is hereby made for a description of the property mortgaged, pledged, hypothecated and in which a security interest was granted, the nature
and extent of the security, the rights of the holders of the Series HHH Bonds as to such security, and the terms and conditions upon which the Series HHH Bonds may be issued under the Indenture and are secured. The principal hereof may be declared
or may become due on the conditions, in the manner and at the time set forth in the Indenture, upon the happening of a completed default as in the Indenture provided. 

Interest on the Series HHH Bonds will be calculated on the basis of a 360-day year consisting of twelve 30-day months. 

With the consent of the Company and to the extent permitted by and as provided in the Indenture, the rights and obligations of the
Company or of the holders of the Series HHH Bonds, or the terms and provisions of the Indenture or of any indentures supplemental thereto, may be modified or altered by the affirmative vote of the holders of the percentage of principal amount of
bonds required by the Indenture; provided, however, that without the consent of the holder hereof no such modification or alteration shall permit the reduction of the principal or the extension of the maturity of the principal of this
bond, or the reduction of the rate of interest hereon, or any other modification of the terms of payment of such principal or interest. 

The Company, the Trustee, any paying agent, any registrar, and any depositary may deem and treat the person in whose name this bond is
registered as the absolute owner hereof for the purpose of receiving payment of or on account of the principal hereof and interest hereon and for all other purposes and shall not be affected by any notice to the contrary. 

All or a portion of the Series HHH Bonds may be redeemed at the Company’s option at any time or from time to time. The price at
which the Series HHH Bonds will be redeemed (the “Redemption Price”) on the date fixed for such redemption (the “Redemption Date”) will be equal to the greater of the following amounts: (a) 100% of the
principal amount of the Series HHH Bonds being redeemed on the Redemption Date; or (b) the sum of the present values of the remaining scheduled payments of principal and interest on the Series HHH Bonds being redeemed on that Redemption Date
(not including any portion of any payments of accrued and unpaid interest to the Redemption Date) discounted to the Redemption Date on a semiannual basis at the Adjusted Treasury Rate (as defined below) plus 15 basis points, as determined by the
Independent Investment Banker (as defined below), plus, in each case, accrued and unpaid interest thereon to the Redemption Date. Notwithstanding the foregoing, installments of interest on Series HHH Bonds that are due and payable on Interest
Payment Dates falling on or prior to a Redemption Date will be payable on the Interest Payment Date to the registered holders of such Series HHH Bonds as of the close of business on the relevant record date according to the terms of the Series HHH
Bonds and the Indenture. The Redemption Price will be calculated on the basis of a 360-day year consisting of twelve 30-day months. 

Notice of any redemption will be mailed at least 30 days but not more than 60 days before the Redemption Date to each registered holder
of the Series HHH Bonds to be redeemed. Once notice of redemption is mailed, the Series HHH Bonds called for redemption will become due and payable on the Redemption Date and at the applicable Redemption Price, plus accrued and unpaid interest to
the Redemption Date. Redemption will not be conditional upon receipt by the Trustee of monies sufficient to pay the Redemption Price. 

Unless the Company defaults in payment of the Redemption Price, on and after the Redemption Date interest will cease to accrue on the
Series HHH Bonds or portions thereof called for redemption. The Company will pay the Redemption Price and any accrued interest once the Series HHH Bonds are surrendered for redemption. If only a portion of the Series HHH Bonds are redeemed, the
Trustee will deliver new Series HHH Bonds for the remaining portion without charge. 

 “Adjusted Treasury Rate” means, with respect to any Redemption Date, the
rate per annum equal to the semiannual equivalent yield to maturity of the Comparable Treasury Issue, assuming a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount) equal to the Comparable Treasury Price for
such Redemption Date. 
 “Comparable Treasury Issue” means the United States Treasury security selected by the
Independent Investment Banker as having a maturity comparable to the remaining term of the Series HHH Bonds to be redeemed that would be utilized, at the time of selection and in accordance with customary financial practice, in pricing new issues of
corporate debt securities of comparable maturity to the remaining term of such Series HHH Bonds. 
 “Comparable Treasury
Price” means, with respect to any Redemption Date, (A) the average of the Reference Treasury Dealer Quotations for such Redemption Date, or (B) if only one Reference Treasury Dealer Quotation is received, such Quotation.

 “Independent Investment Banker” means one of the Reference Treasury Dealers appointed by the Company to act
as the “Independent Investment Banker.” 
 “Reference Treasury Dealer” means (A) Citigroup
Global Markets Inc., Deutsche Bank Securities Inc. and UBS Securities LLC (or their respective affiliates which are Primary Treasury Dealers) and their respective successors; provided, however, that if any of the foregoing shall cease
to be a primary U.S. Government securities dealer in the United States (a “Primary Treasury Dealer”), the Company will substitute therefor another Primary Treasury Dealer; and (B) any other Primary Treasury Dealer(s) selected
by the Company. 
 “Reference Treasury Dealer Quotations” means, with respect to each Reference Treasury Dealer
and any Redemption Date, the average, as determined by the Company, of the bid and asked prices for the Comparable Treasury Issue (expressed in each case as a percentage of its principal amount) quoted in writing to the Company by such Reference
Treasury Dealer at 5:00 p.m. (New York City time) on the third business day preceding such Redemption Date. 
 In the event that
the Company elects to redeem only a portion of the Series HHH Bonds, the bonds to be redeemed shall be selected in accordance with the procedures of The Depository Trust Company, in the case of bonds represented by a global security, or by the
Trustee by a method the Trustee deems to be fair and appropriate, in the case of bonds that are not represented by a global security. 

As more fully provided in and subject to the provisions of the Indenture, the Series HHH Bonds are also subject to redemption on any
date, under certain circumstances specified in Section 13 of Article XI of the Indenture in case of the disposition or taking of certain properties of the Company, at 100% of the principal amount thereof, together with accrued interest thereon.

 This bond is transferable as prescribed in the Indenture by the registered owner hereof in person, or by his duty authorized
attorney, at the corporate trust office of the Trustee in the City and County of San Francisco, State of California, upon surrender and cancellation of this bond and thereupon a new registered bond of the same series and principal amount will be
issued to the transferee in exchange therefor as provided in the Indenture, upon payment of any tax or taxes or other governmental charges required to be paid by the Company by reason of such transfer. 

The registered owner of any Series HHH Bond, at the option of such holder, may surrender the same, accompanied by a written instrument of
transfer in form approved by the Company duly executed by the registered owner, at the corporate trust office of the Trustee in the City and County of San Francisco, State of California, for cancellation in exchange for another or other registered
bonds of the said series of higher or lower authorized denominations of an aggregate principal amount equal to the aggregate principal amount of the bond or bonds so surrendered and bearing interest as provided in Section 9 of Article II of the
Indenture, and upon payment of any tax or taxes or other governmental charges required to be paid by the Company by reason of such exchange and subject to the terms and conditions specified in the Indenture, thereupon the Company shall execute and
deliver to the Trustee and the Trustee shall authenticate and deliver such other bonds to such registered owner at its office or at such agency of the Company, at the option of such registered owner. 

 No recourse shall be had for the payment of the principal of (or premium, if any) or the
interest on this bond, or any part thereof, or of any claim based herein or in respect hereof or of said Indenture, against any incorporator, or any past or future stockholder, officer or director, as such, of the Company or of any predecessor or
successor corporation, either directly or through the Company, or through any such predecessor or successor corporation, or through any receiver or a trustee in bankruptcy, whether by virtue of any constitution, statute or rule of law or by the
enforcement of any assessment or penalty or otherwise, all such liability being, by the acceptance hereof and as part of the consideration for the issue hereof, expressly waived and released, as more fully provided in the Indenture. 

************** 

This bond is one of the bonds of the series designated therein, described in the within-mentioned Indenture 

U.S. BANK NATIONAL ASSOCIATION, 
 As Trustee

  

			
	By	 	  

		 	Authorized OfficerLicense Agreement

 Exhibit 10.9 

LICENSE AGREEMENT 

This Agreement is between The Johns Hopkins University, a corporation of the State of Maryland, having a principal place of business at
2024 E. Monument Street, Suite 2-100, Baltimore, MD 21205 (hereinafter referred to as “JHU”) and Surgi-Vision, Inc., a Delaware corporation (hereinafter the “Company”), having an address at Suite 601, 150 Gulf Shore Drive,
Destin, Florida 32541. 
 WITNESSETH: 

WHEREAS, as a center for research and education, JHU is interested in licensing PATENT RIGHTS (hereinafter defined) in a manner that will
benefit the public by facilitating the distribution of useful products and the utilization of new methods, but is without capacity to commercially develop, manufacture, and distribute any such products or methods; and 

WHEREAS, the following PATENT RIGHTS, as later defined, were developed during the course of research conducted by [***], all hereinafter,
“Inventors”): 
 WHEREAS, JHU has acquired through assignment all rights, title and interest, with the exception of
certain retained rights by the United States, in said PATENT RIGHTS; and 
 WHEREAS, the Company desires to commercially
develop, manufacture, use and distribute such products and processes based on PATENT RIGHTS throughout the world; 

NOW, THEREFORE, in consideration of the foregoing premises and the following mutual covenants, and other good and valuable consideration,
the receipt of which is hereby acknowledged, and intending to be legally bound hereby, the parties agree as follows: 
 ARTICLE 1
- DEFINITIONS 
 1.1        PATENT RIGHTS” shall mean and include the rights in and
to the patents and patent applications listed in Appendix A and any inventions disclosed and claimed in any of the listed patents in Appendix A and all continuations, continuations-in-part, divisions, reexaminations, and reissues of the listed
patents and any corresponding foreign patent applications, and any patents, patents of addition, or other equivalent foreign patents issuing, granted or registered thereon. 

1.2        “LICENSED PRODUCT(S)” means any material, compositions, drug, process,
equipment, or other product, the manufacture, use or sale of which would constitute, but for the license granted to the Company pursuant to this Agreement, an infringement of a claim of PATENT RIGHTS (infringement shall include, but is not limited
to, direct, contributory, or inducement to infringe). 
  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 1 

 1.3        “LICENSED SERVICE(S)” means the
performance on behalf of a third party of any method which includes the manufacture of any product or the use of any product, process, or composition which would constitute, but for the license granted to the Company pursuant to this Agreement, an
infringement of a claim of the PATENT RIGHTS, (infringement shall include, but not be limited to, direct, contributory or inducement to infringe). 

1.4        “NET SALES”, subject to Paragraphs 4.9 and 4.11, below, shall mean gross
sales revenues and fees billed by the Company or any AFFILIATED COMPANY from the sale of LICENSED PRODUCT(S) less trade discounts allowed, refunds, returns and recalls, freight and delivery costs, sales taxes, rebates accrued, incurred or paid to
Federal Medicaid or State Medicare or other payors and amounts exactly repaid or credited by reason of rejections or the return of Licensed Products (due to recalls, dating or other reasons) . In the event that the Company, or any AFFILIATED COMPANY
sells a LICENSED PRODUCT(S) as part of a kit, the NET SALES for purposes of royalty payments shall be based on that portion of the sales revenues and fees derived from that component of the kit which could independently be sold as a LICENSED
PRODUCT. 
 1.5        “NET SERVICE REVENUES”, subject to Paragraphs 4.9 and
4.11, below, shall mean actual billings for the performance of LICENSED SERVICE less sales and/or use taxes imposed upon and with specific reference to the LICENSED SERVICE, and rebates accrued, incurred or paid to Federal Medicaid or State Medicare
or other payors and amounts exactly repaid or credited by reason of rejection of services (due to recalls, dating or other reasons). 

1.6        “SUBLICENSE REVENUES”, shall mean consideration of any kind received by the
Company from a sublicensee for sales of LICENSED PRODUCTS or for fees received, such as upfront fees or milestone fees and including any premium paid by the sublicensee over Fair Market Value for stock of the company in
considerations for such sublicense; however, not included in Sublicense Revenues are amounts paid to the Company by the sublicensee for product development, research work, clinical studies and regulatory approvals performed by the Company, or third
parties on its behalf. The term “Fair Market Value” as used in this Paragraph 1.6 shall mean the average price that the stock in questions is publicly trading at for sixty (60) days prior to the announcement of its purchase by the
sublicensee or if the stock is not publicly traded, the value of such stock as determined by the most recent private financing of the Company. 

1.7        “AFFILIATED COMPANY” or “AFFILIATED COMPANIES” shall mean any
corporation, company, partnership, joint venture or other entity which controls, is controlled by or is under common control with the Company. For purposes of this Paragraph 1.7, control shall mean the direct or indirect ownership of at least fifty
percent (50%) of the voting securities of a company. 
  

 2 

 1.8        “EXCLUSIVE LICENSE” shall mean
a grant by JHU to the Company of its entire right and interest in the PATENT RIGHTS, subject to rights retained by the United States government in accordance with P.L. 96-517, as amended by P.L. 98-620, and subject to the retained right of JHU to
make, have made, provide and use for its and The Johns Hopkins Health Systems’ internal, non-commercial research purposes LICENSED PRODUCT(S) and LICENSED SERVICES. 

1.9        EFFECTIVE DATE shall mean the date the Company has issued equity securities
representing in the aggregate cash proceeds in the amount of not less than 7,500,000. If the Effective Date does not occur on or before October 1, 1998, this Agreement shall be void abinitio. 

1.10        “ROYALTY PAYMENT PERIOD” shall mean the period of time beginning on the
fourth anniversary of the EFFECTIVE DATE if on such date the JHU SHARES do not have a fair market value of at least [***] and continuing thereafter until the aggregate payments as described in Paragraph 4.14 below have been paid. 

1.11        “JHU SHARES” shall mean the [***] shares of the Company’s common stock
issued to JHU in consideration of JHU entering into this Agreement together with any securities issued as a result of the ownership of such shares. 

1.12        “CORE TECHNOLOGY” is an intravascular, intralumen, or intratissue miniature
magnetic resonance coil detection probe as described in the PATENT RIGHTS. 

1.13        “IMPROVEMENT” is any invention that results from the Research Agreement
funded by the Company and made by a JHU employee in the FIELD OF USE. 

1.14        “FIELD OF USE” is a diagnostic or therapeutic method, process or device
using CORE TECHNOLOGY and excludes diagnostic or therapeutic methods, processes or devices not using CORE TECHNOLOGY. 

1.15        “NEW DISCOVERY” means any invention that results from work under the
Research Agreement funded by the Company and made by a JHU employee and that is not in the Field of Use. 

1.16        “TERRITORY” means the world 

1.17        “RESEARCH AGREEMENT” means a certain Research Agreement dated June 30,
1998, between JHU and the Company pertaining to the research directed to the CORE TECHNOLOGY, including specific STATEMENTS OF WORK addressing specific applications and clinical research. 

 

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 3 

 ARTICLE 2 - GRANTS 

2.1        Subject to the terms and conditions of this Agreement, on the EFFECTIVE
DATE JHU will grant to the Company an EXCLUSIVE LICENSE to make, have made, use, and sell the LICENSED PRODUCT(S) and to provide the LICENSED SERVICE(S) in the TERRITORY within the FIELD OF USE under the PATENT RIGHTS. 

2.2        The Company may sublicense to others under this Agreement and shall provide a copy of
each such sublicense agreement to JHU promptly after it is executed. Each sublicense shall include those previsions contained herein which by their terms are to be binding upon a sublicensee. 

2.3        The Company shall, at its option, have the right to include within the definition of
PATENT RIGHTS any inventions resulting from work under the Research Agreement funded by the Company and invented by a JHU employee that is an IMPROVEMENT. The exercise of such option shall entitle the Company to receive an EXCLUSIVE LICENSE within
the FIELD OF USE with respect to the IMPROVEMENTS, to make, have made, use, and sell the LICENSED PRODUCT(S) and to provide the LICENSED SERVICE(S) in the TERRITORY under such PATENT RIGHTS. JHU shall promptly notify the Company, in writing, of any
such IMPROVEMENTS and the Company shall have sixty (60) days thereafter in which to elect to exercise such option by providing JHU with written notice. Upon such notice, the elected IMPROVEMENT shall be included in PATENT RIGHTS and governed by
the terms of this Agreement. Any such notice from JHU shall specify if the IMPROVEMENT has been patented or if a patent application has been filed with respect to the same, and such patents or patent applications shall be added to Appendix A.

 2.4        The Company shall have a first right of negotiation for an exclusive,
world-wide, license with respect to any NEW DISCOVERY resulting from work under the Research Agreement funded by the Company and invented by a JHU employee. The financial considerations to be received by JHU for such inventions shall be reasonable
for the nature of the NEW DISCOVERY considering its market potential and stage of development. JHU shall promptly notify the Company, in writing, of any such IMPROVEMENTS or NEW DISCOVERIES and the Company shall have sixty (60) days thereafter
in which to elect to exercise such option. If the Company elects to exercise such option the parties agree to negotiate in good faith the terms of any such license. 

ARTICLE 3 - PATENT INFRINGEMENT 

3.1        Each party will notify the other promptly in writing when any infringement by another
is uncovered or suspected. 
  

 4 

 3.2        The Company shall have the first right to
enforce any patent within PATENT RIGHTS against any infringement or alleged infringement thereof, and shall at all times keep JHU informed as to the status thereof. The Company may, in its sole judgment and at its own expense, institute suit against
any such infringer or alleged infringer and control, settle, and defend such suit in a manner consistent with the terms and provisions hereof and recover, for its account, any damages, awards or settlements resulting therefrom, subject to Paragraph
3.4. This right to sue for infringement shall not be used in an arbitrary or capricious manner. JHU shall reasonably cooperate in any such litigation at its own expense. 

3.3        If the Company elects not to enforce any patent within the PATENT RIGHTS, then it
shall so notify JHU in writing within six (6) months of receiving notice that an infringement exists, and JHU may, in its sole judgment and at its own expense, take steps to enforce any patent and control, settle, and defend such suit in a
manner consistent with the terms and provisions hereof, and recover, for its own account, any damages, awards or settlements resulting therefrom. The Company shall reasonably cooperate in any such litigation at its own expense. 

3.4        Any recovery by the Company under Paragraph 3.2 shall be deemed to reflect loss of
commercial sales and the Company shall pay to JHU the same percent of the recovery net of all reasonable costs and expenses associated with each suit or settlement as if such net constituted Net Sales. If the cost and expenses exceed the recovery,
then [***] of the excess shall be credited against royalties payable by the Company to JHU hereunder in connection with sales in the country of such legal proceedings, provided, however, that any such credit under this Paragraph 3.4 shall not exceed
[***] of the royalties otherwise payable to JHU with regard to sales in the country of such action in any one calendar year, with any excess credit being carried forward to future calendar years. 

ARTICLE 4 - PAYMENTS, ROYALTY, RESEARCH SUPPORT AND EQUITY 

4.1        The Company will reimburse JHU for the reasonable costs and efforts of preparing,
filing, maintaining and prosecuting PATENT RIGHTS through June 30, 1998 provided that such costs shall not exceed $79,623.85 in the aggregate. The Company shall reimburse JHU within thirty (30) days of receipt of invoice from JHU. The
Company shall also reimburse JHU out of pocket expenses to have the corporate formation documents and fund raising documents reviewed by outside counsel not to exceed $15,000. 

4.2        The Company shall pay to JHU within thirty (30) days of the EFFECTIVE DATE, a
processing fee of Fifty Thousand Dollars ($50,000). This payment is nonrefundable and shall not be credited against royalties or other fees. 

4.3        The Company shall pay to JHU a [***] annual maintenance fee due within thirty
(30) days of each anniversary of the EFFECTIVE DATE. Such fees are nonrefundable and shall not be credited against royalties or other fees. 
  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 5 

 4.4        Subject to the limitations set forth in
Paragraph 4.14 below, the Company shall pay to JHU, as a running royalty during the ROYALTY PAYMENT PERIOD, for each LICENSED PRODUCT sold, and for each LICENSED SERVICE provided by the Company and AFFILIATED COMPANIES, [***] of NET SALES and NET
SERVICE REVENUES. Such payments shall be made quarterly as provided in Paragraph 4.7. 

4.5        Subject to the limitations set forth in Paragraph 4.14 below, the Company shall pay to
JHU, as a running royalty during the ROYALTY PAYMENT PERIOD, [***] of SUBLICENSE REVENUES received by the Company and any AFFILIATED COMPANY. Such payments shall be made quarterly as provided in Paragraph 4.7. 

4.6        The Company shall pay to JHU [***] upon the first commercial sale of a LICENSED
PRODUCT or LICENSED SERVICE following receipt of FDA marketing approval. Such fee shall be non-refundable and will be credited against future royalties. 

4.7        During the ROYALTY PAYMENT PERIOD the Company shall provide to JHU within forty-five
(45) days of the end of each March, June, and September and within ninety (90) days of the end of each December, a written report to JHU of the amount of LICENSED PRODUCTS sold, LICENSED SERVICES sold, the total NET SALES, NET SERVICE
REVENUES of such LICENSED PRODUCTS and LICENSED SERVICES, and the running royalties due to JHU as a result of NET SALES, NET SERVICE REVENUES and SUBLICENSE REVENUES received by the Company and AFFILIATED COMPANIES. Payment of any such royalties due
shall accompany such report. Until the Company, an AFFILIATED COMPANY or a sublicensee has achieved a first commercial sale of a LICENSED PRODUCT and received FDA market approval, a report shall be submitted at the end of every June and December
after the EFFECTIVE DATE and will include a full written report describing the Company’s, AFFILIATED COMPANIES or sublicensee’s technical efforts towards meeting the milestones in Article 6. 

4.8        The Company shall make and retain, for a period of three (3) years following the
period of each report required by Paragraph 4.7, true and accurate records, files and books of account containing all the data reasonably required for the full computation and verification of sales and other information required in Paragraph 4.7.
Such books and records shall be in accordance with generally accepted accounting principles consistently applied. The Company shall permit the inspection and copying of such records, files and books of account by JHU or its agents during regular
business hours upon ten (10) business days’ written notice to the Company. Such inspection shall not be made more than once each calendar year. All costs of such inspection and copying shall be paid by JHU, provided that if any such
inspection shall reveal that an error has been made in the amount equal to ten percent (10%) or more of such payment, such costs shall be borne by 

 

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 6 

 
the Company. The Company shall include in any agreement with its AFFILIATED COMPANIES or its sublicensees which permits such party to make, use or sell the LICENSED PRODUCT(S) or provide LICENSED
SERVICES, a provision requiring such party to retain records of sales of LICENSED PRODUCT(S) and records of LICENSED SERVICES and other information as required in Paragraph 4.7 and permit JHU to inspect such records as required by this Paragraph
4.8. 
 4.9          No royalties shall be payable on LICENSED PRODUCT sales
or LICENSED SERVICE activities between the Company and any AFFILIATED COMPANIES, in which event the royalty shall be based upon the NET SALES or NET SERVICE REVENUES of the AFFILIATED COMPANY. 

4.10        No multiple royalties shall be due and payable because any LICENSED PRODUCTS or
LICENSED SERVICES are covered by more than one patent which is within the definition of PATENT RIGHTS. 

4.11        In order to insure JHU the full royalty payments contemplated hereunder, the Company
agrees that in the absence of a written consent by JHU to the terms of any agreement, understanding, or arrangement between the Company or any AFFILIATED COMPANY and a corporation, firm or association (hereinafter referred to as an “Inside
Customer”) under which the Company or an AFFILIATED COMPANY has or will receive other consideration (such as, among other things, an option to purchase stock or actual stock ownership, or an arrangement involving division of profits or special
rebates or allowances) any royalties on LICENSED PRODUCT sold or LICENSED SERVICE provided by the Company or an AFFILIATED COMPANY to such Inside Customer shall be based upon the greater of: 1) the net selling price at which the Insider Customer
resells LICENSED PRODUCTS, 2) the net service revenue received by the Inside Customer from using the LICENSED PRODUCT in providing a service, 3) the fair market value of the LICENSED PRODUCT or 4) the net selling price of LICENSED PRODUCTS paid by
the Inside Customer. In the event JHU is requested to consent to an agreement with an Inside Customer, JHU agrees to act promptly in the matter. 

4.12        JHU agrees that no royalties shall be due for the internal use of the LICENSED
PRODUCTS for research and commercial development purposes by the Company and AFFILIATED COMPANIES or for use by third parties in seeking governmental and professional approvals, certifications or endorsements, or for training purposes, except where
the Company or any AFFILIATED COMPANY receives revenues for the sale of the LICENSED PRODUCT to the organization using the device for such stated proposes. 

4.13        All payments under this Agreement shall be made in U.S. Dollars. 

4.14        The cumulative royalty payments to be paid by the Company under Paragraphs 4.4 and
4.5 above shall not exceed in the aggregate [***] less the fair market value of the JHU SHARES on the fourth anniversary of the EFFECTIVE DATE. 
  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 7 

 4.15        The Company shall pay to JHU, as a
running royalty [***] of NET SALES and/or NET SERVICE REVENUES and/or [***] of SUBLICENSE REVENUES received by the Company and any AFFILIATED COMPANY for the term of this Agreement for any IMPROVEMENTS that are covered by a patent granted in the
country from which the LICENSED PRODUCT or LICENSED SERVICE is made, used or practiced. Such royalty shall not be accumulative based on the number of patented IMPROVEMENTS but will be [***] of NET SALES or NET SERVICE REVENUES or [***] of SUBLICENSE
REVENUES of each product covered by one or more such patented IMPROVEMENTS. Such payments shall be made quarterly as provided in Paragraph 4.7. For IMPROVEMENTS not covered by a patent no royalty shall be paid by the Company. 

4.16        The Company shall not pay to JHU any royalty on any IMPROVEMENTS that are not covered
by a patent granted in the country from which the LICENSED PRODUCT or LICENSED SERVICE is made, used, sold or practiced. 

ARTICLE 5 - PATENT RIGHTS AND CONFIDENTIAL INFORMATION 

5.1        The Company, at its own expense, shall file, prosecute and maintain all patents and
patent applications specified under PATENT RIGHTS and the Company shall be licensed thereunder. Title to all such patents and patent applications shall reside in JHU. The Company shall have control over all patent matters in connection therewith
under the PATENT RIGHTS, subject to review and approval by JHU, such approval not to be unreasonably withheld, and shall keep JHU informed of its actions by sending copies of all filings with the PTO to JHU. In any country where the Company elects
not to have a patent application filed or fails to prosecute or maintain a patent application or patent, JHU may file, prosecute, and/or maintain a patent application or patent at its own expense and for its own exclusive benefit and the Company
thereafter shall not be licensed under such patent or patent application. 

5.2        The Company agrees that all packaging containing individual LICENSED PRODUCT(S) sold
by the Company, AFFILIATED COMPANIES and sublicensees of the Company will be marked with the number of the applicable patent(s) licensed hereunder in accordance with each country’s patent laws. 

5.3        If necessary, the parties will exchange information which they consider to be
confidential. The recipient of such information agrees to accept the disclosure of said information which is marked as confidential at the time it is sent to the recipient, and to employ all reasonable efforts to maintain the information secret and
confidential, such efforts to be no less than the degree of care employed by the recipient to preserve and safeguard its own confidential information. The information shall not be disclosed or revealed to anyone except employees of the recipient who
have a need to know the information and who have entered into a confidentiality agreement with the recipient under which such employees are required to maintain confidential the proprietary information of the recipient and such employees shall be
advised by the recipient of the 
  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 8 

 
confidential nature of the information and that the information shall be treated accordingly. The recipient’s obligations under this Paragraph 5.3 shall not extend to any part of the
information: 
 a.    that can be demonstrated to have been in the public domain or publicly
known and readily available to the trade or the public prior to the date of the disclosure; or 

b.    that can be demonstrated, from written records to have been in the recipient’s possession
or readily available to the recipient from another source not under obligation of confidentiality to the disclosing party prior to the disclosure; or 

c.    that becomes part of the public domain or publicly known by publication or otherwise, not due to
any unauthorized act by the recipient; or 
 d.    that is demonstrated from written records
to have been developed by or for the receiving party without reference to confidential information disclosed by the disclosing party. 

The obligations of this Paragraph 5.3 shall also apply to AFFILIATED COMPANIES and/or sublicensees provided such information by the
Company. JHU’s, the Company’s, AFFILIATED COMPANIES, and sublicensees’ obligations under this Paragraph 5.3 shall extend until three (3) years after the termination of this Agreement. 

ARTICLE 6 - TERM, MILESTONES AND TERMINATION 

6.1        This Agreement shall expire in each country on the date the last patent included
within PATENT RIGHTS expires or is rendered invalid in that country or if no patents issue, twenty (20) years from the EFFECTIVE DATE. 

6.2        After an NDA or PLA has been obtained from the FDA, the Company shall exercise
commercially reasonable efforts to market a product included in LICENSED PRODUCTS in the TERRITORY, conditioned upon obtaining regulatory approval in each particular foreign nation or region. 

6.3        After clinical or other evidence, provided in writing [***], to the Company, demonstrates the
practicality of a particular application or technique which is not being developed or commercialized by the Company, The Company shall either provide JHU with a reasonable development plan and start development or attempt to reasonably sublicense
the particular technology to a third party. If within six (6) months of such notification [***], The Company has not initiated such development efforts or sublicensed that particular technique, JHU may terminate this license for such particular
application or technique. This Paragraph 6.3 shall not be applicable if the Company reasonably demonstrates to JHU that commercializing such LICENSED PRODUCT(S) or granting such a sublicense would have a potentially adverse

  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 9 

 
commercial effect upon marketing or sales of the LICENSED PRODUCTS developed and being sold by the Company. 

6.4        Upon breach or default of any of the terms and conditions of this Agreement, the
defaulting party shall be given written notice of such default in writing and a period of sixty (60) days after receipt of such notice to correct the default or breach. If the default or breach is not corrected within said sixty (60) day
period, the party not in default shall have the right to terminate this Agreement. 

6.5        The Company may terminate this Agreement and the license granted herein, for any
reason, upon giving JHU sixty (60) days written notice. 
 6.6        Termination
shall not affect JHU’s right to recover unpaid royalties or fees or reimbursement for patent expenses incurred pursuant to Paragraph 4.1 prior to termination. Upon termination all rights in and to the licensed technology shall revert to JHU at
no cost to JHU, except as provided in Paragraph 6.7 below. 
 6.7        In the event
the Company sublicenses any of the rights granted it herein, JHU agrees that such sublicense shall survive termination of this Agreement if the default or breach causing termination did not occur under such sublicense and the sublicensee agrees to
substitute JHU as the sublicensor and to pay the royalties due thereunder without imposing upon JHU any of the sublicensor’s obligations under the sublicense. 

ARTICLE 7 - MISCELLANEOUS 

7.1 All notices pertaining to this Agreement shall be in writing and sent certified mail, return receipt requested, to the parties at the
following addresses or such other address as such party shall have furnished in writing to the other party in accordance with this Paragraph 7.1: 

FOR JHU: 

Howard Califano, Esq. 

Assistant Dean and Director 

Office of Technology Licensing 

The Johns Hopkins University 

School of Medicine 

2024 E. Monument St., Suite. 2-100 

Baltimore, MD 21205 
  

 10 

 FOR the Company: 

Steve Gorlin 

Chairman of the Board 

Surgi-Vision, Inc. 

150 Gulf Shore Drive 

Unit 601 
 Destin
FL 32541 
 7.2        All written progress reports, royalty and other payments, and any
other related correspondence shall be in writing and sent to: 
 FOR JHU: 

Howard Califano, Esq. 

Assistant Dean and Director 

Office of Technology Licensing 

The Johns Hopkins University 

School of Medicine 

2024 E. Monument St., Suite. 2-100 

Baltimore, MD 21205 

or such other addressee which JHU may designate in writing from time to time. Checks are to be made payable to “The Johns Hopkins
University”. 
 7.3        This Agreement is binding upon and shall inure to the
benefit of JHU, its successors and assignees and shall not be assignable to another party without the written consent of JHU, which consent shall not be unreasonably withheld, except that the Company shall have the right to assign this Agreement to
another party without the consent of JHU in the case of the sale or transfer by the Company of all, or substantially all, of its assets relating to the LICENSED PRODUCT or LICENSED SERVICE, to that party. 

7.4        In the event that any one or more of the provisions of this Agreement should for any
reason be held by any court or authority having jurisdiction over this Agreement, or over any of the parties hereto to be invalid, illegal or unenforceable, such provision or provisions shall be reformed to approximate as nearly as possible the
intent of the parties, and if unreformable, shall be divisible and deleted in such jurisdictions; elsewhere, this Agreement shall not be affected. 

7.5        The construction, performance, and execution of this Agreement shall be governed by the laws of the
State of Maryland. 
 7.6        The Company shall not use the name of THE JOHNS HOPKINS
UNIVERSITY or THE JOHNS HOPKINS HEALTH SYSTEM or any of its constituent parts, such as the Johns Hopkins Hospital or any contraction thereof or the name of Inventors of PATENT RIGHTS in any advertising, promotional, sales literature or fundraising

  

 11 

 
documents without prior written consent from an officer of JHU except to the extent that such disclosures are determined by counsel for the Company to be necessary or desirable to comply with
applicable laws and governmental regulations. The Company shall allow at least seven (7) business days notice of any proposed public disclosure for JHU’s review and comment or to provide written consent. 

7.7        JHU warrants that it has good and marketable title to its interest in the inventions
claimed under PATENT RIGHTS WITH THE EXCEPTION OF CERTAIN RETAINED RIGHTS OF THE UNITED STATES GOVERNMENT. JHU DOES NOT WARRANT THE VALIDITY OF ANY PATENTS OR THAT PRACTICE UNDER SUCH PATENTS SHALL BE FREE OF INFRINGEMENT. EXCEPT AS EXPRESSLY SET
FORTH IN THIS PARAGRAPH 7.7, COMPANY, AFFILIATED COMPANIES AND SUBLICENSEES AGREE THAT THE PATENT RIGHTS ARE PROVIDED “AS IS”, AND THAT JHU MAKES NO REPRESENTATION OR WARRANTY WITH RESPECT TO THE PERFORMANCE OF LICENSED PRODUCT(S) AND
LICENSED SERVICES INCLUDING THEIR SAFETY, EFFECTIVENESS, OR COMMERCIAL VIABILITY. JHU DISCLAIMS ALL WARRANTIES WITH REGARD TO PRODUCT(S) AND SERVICES LICENSED UNDER THIS AGREEMENT, INCLUDING, BUT NOT LIMITED TO, ALL WARRANTIES, EXPRESS OR IMPLIED,
OF MERCHANTABILITY AND FITNESS FOR ANY PARTICULAR PURPOSE. NOTWITHSTANDING ANY OTHER PROVISION OF THIS AGREEMENT, JHU ADDITIONALLY DISCLAIMS ALL OBLIGATIONS AND LIABILITIES ON THE PART OF JHU AND INVENTORS, FOR DAMAGES, INCLUDING, BUT NOT LIMITED
TO, DIRECT, INDIRECT, SPECIAL, AND CONSEQUENTIAL DAMAGES, ATTORNEYS’ AND EXPERTS’ FEES, AND COURT COSTS (EVEN IF JHU HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, FEES OR COSTS), ARISING OUT OF OR IN CONNECTION WITH THE MANUFACTURE,
USE, OR SALE OF THE PRODUCT(S) AND SERVICES LICENSED UNDER THIS AGREEMENT. THE COMPANY, AFFILIATED COMPANIES AND SUBLICENSEES EACH ASSUME ALL RESPONSIBILITY AND LIABILITY FOR LOSS OR DAMAGE CAUSED BY A PRODUCT AND SERVICE MANUFACTURED, USED, OR SOLD
BY THAT ENTITY WHICH IS A LICENSED PRODUCT OR LICENSED SERVICE AS DEFINED IN THIS AGREEMENT. 

7.8        JHU and the Inventors of LICENSED PRODUCT(S) and LICENSED SERVICES will not, under the
provisions of this Agreement or otherwise, have control over the manner in which the Company or its AFFILIATED COMPANIES or its sublicensees or those operating for its account or third parties who purchase LICENSED PRODUCT(S) or LICENSED SERVICES
from any of the foregoing entities, practice the inventions of LICENSED PRODUCT(S) and LICENSED SERVICES. The Company shall defend and hold JHU, The Johns Hopkins Health Systems, their present and former trustees, officers, Inventors of PATENT
RIGHTS, agents, faculty, employees and students harmless as against any judgments, fees, expenses, or other costs arising from or incidental to any product liability or other lawsuit, claim, demand or other action brought as a consequence of the
practice of said inventions by any of the foregoing entities, 
  

 12 

 
whether or not JHU or said Inventors, either jointly or severally, is named as a party defendant in any such lawsuit. Practice of the inventions covered by LICENSED PRODUCT(S) and LICENSED
SERVICES, by an AFFILIATED COMPANY or an agent or a sublicensee or a third party on behalf of or for the account of the Company or by a third party who purchases LICENSED PRODUCT(S) and LICENSED SERVICES from the Company, shall be considered the
Company’s practice of said inventions for purposes of this Paragraph 7.8. The obligation of the Company to defend and indemnify as set out in this Paragraph 7.8 shall survive the termination of this Agreement. 

7.9        Prior to initial human testing or first commercial sale of any LICENSED PRODUCT or
LICENSED SERVICE as the case may be in any particular country, the Company shall, to the best of its ability, establish and maintain, in each country in which the Company, an AFFILIATED COMPANY or sublicensee shall test or sell LICENSED PRODUCT(S)
and LICENSED SERVICES, product liability or other appropriate insurance coverage appropriate to the risks involved in marketing LICENSED PRODUCT(S) and LICENSED SERVICES and will annually present evidence to JHU that such coverage is being
maintained. Upon JHU’s request, the Company will furnish JHU with a Certificate of Insurance of each product liability insurance policy obtained and agrees to increase or change the kind of insurance pertaining to the LICENSED PRODUCT(S) and
LICENSED SERVICES at the request of JHU. JHU shall be listed as an additional insured in the Company’s said insurance policies. 

7.10        JHU may publish manuscripts, abstracts or the like describing the PATENT RIGHTS and
inventions contained therein provided the necessary filings for protection of any such rights under applicable patent laws have been made and confidential information of the Company as defined in Paragraph 5.3, is not included or without first
obtaining approval from the Company to include such matters for which patents have not been filed or confidential information. Otherwise, unless otherwise agreed to by the parties, JHU and the Inventors shall be free to publish manuscripts and
abstracts or the like directed to the work done at JHU related to the licensed technology without prior approval, provided, however, in any such materials the author will note that the Company has been granted the exclusive license to the PATENT
RIGHTS. 
 7.11        JHU represents that the PATENT RIGHTS include all potential
patents and patent applications owned or controlled by JHU that describe the CORE TECHNOLOGY as of the EFFECTIVE DATE and that such patents and patent applications are in force or are pending in the appropriate patent offices or being prepared as of
the EFFECTIVE DATE. 
 7.12        This Agreement constitutes the entire understanding
between the parties with respect to the obligations of the parties with respect to the subject matter hereof, and supersedes and replaces all prior agreements, understandings, writings, and discussions between the parties relating to said subject
matter. 
 7.13        This Agreement may be amended and any of its terms or conditions
may be waived only by a written instrument executed by the authorized officials of the parties or, in the case of a waiver, by the party waiving compliance. The failure of either party at 

 

 13 

 
any time or times to require performance of any provision hereof shall in no manner affect its right at a later time to enforce the same. No waiver by either party of any condition or term in any
one or more instances shall be construed as a further or continuing waiver of such condition or term or of any other condition or term. 

7.14        This Agreement shall be binding upon and inure to the benefit of and be enforceable
by the parties hereto and their respective successors and permitted assigns. 

7.15        Upon termination of this Agreement for any reason, Paragraphs 5.3, 7.6,7.7, 7.8, 7.9,
and 7.14 shall survive termination of this Agreement. 
 7.16        This Agreement may
be executed in two (2) or more counterparts, each of which shall be deemed to be an original, but all of which together shall constitute one and the same instrument. 

IN WITNESS WHEREOF the respective parties hereto have executed this Agreement by their duly authorized officers on the date appearing
below their signatures. 
  

													
	THE JOHNS HOPKINS UNIVERSITY	 	 	 	SURGI-VISION, INC.	 	 
							
	 By:
	 	             /s/ Edward D. Miller, M.D.
	 		 		 	 By:
	 	 /s/ Steve Gorlin
	 	
	 	 		 		 	 	 	
	 Edward D. Miller, M.D.
	 		 	 Steve Gorlin
	 	
	 Chief Executive Officer, Johns Hopkins Medicine

Dean of Medical Faculty, School of Medicine
	 		 	 Title: President
	 	

  

							
	 Date:
	  	 as of June 30, 1998
	  	     Date:
	  	 as of June 30,
1998

 I HAVE READ AND AGREE TO ABIDE BY THE TERMS OF THIS AGREEMENT 

 

			
	 By
	 	 : /s/ [***]

			
		
	 Printed Name:
	 	 [***]

			
		
	 Date
	 	 : as of June 30,
1998

  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 14 

			
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/6/98

		
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/6/98

		
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/8/98

		
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/13/98

		
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/7/98

  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 15 

			
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/16/98

		
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/7/98

		
	 By:
	 	             /s/ [***]

	
	 Printed Name: [***]

		
	 Date:
	 	
                7/13/98

  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 16 

 APPENDIX
A 

PATENT RIGHTS 

[***] 
  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 

 AMENDMENT TO LICENSE AGREEMENT 

THIS AMENDMENT TO LICENSE AGREEMENT (this “Agreement”) is made on this 15th day of January 2000, to be effective as of
June 30, 1998, by and between The Johns Hopkins University, a non-profit educational institution, having a principal place of business at 3400 N. Charles Street, Baltimore, Maryland, (the “JHU”), and Surgi-Vision, Inc. a Delaware
corporation, having an address at Suite 601, 150 Gulf Shore Drive, Destin, Florida 32541 (the “Company”). Unless otherwise defined herein, all capitalized terms have the meanings set forth in the License Agreement dated as of June 30,
1998 by and between JHU and the Company (the “License Agreement”). 
 EXPLANATORY STATEMENT 

WHEREAS, JHU and the Company are parties to the License Agreement for certain PATENT RIGHTS involving magnetic resonance coil detection
probes; and 
 WHEREAS, subsequent to the EFFECTIVE DATE of the License Agreement, JHU acquired through assignment rights, title
and interest to an invention developed by [***], employees of JHU, entitled [***] for which patent applications have been filed (the “Invention”); and 

WHEREAS, JHU and the Company desire to amend the License Agreement to include the Invention within the PATENT RIGHTS set forth on
Appendix A of the License Agreement subject to the terms and conditions of the License Agreement as amended as set forth below. 

AGREEMENT 
 NOW
THEREFORE, in consideration of the foregoing premises and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, and intending to be legally bound hereby, the parties agree as follows: 

1.        License of Invention. JHU and the Company hereby amend the License Agreement to
include the Invention under the PATENT RIGHTS licensed to the Company. 

2.        Amendment of Appendix A. JHU and the Company hereby amend Appendix A of the
License Agreement to incorporate the following description of the Invention: 

6.        [***] 

 

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 

 3.        Patent Cost Reimbursement. The
Company will reimburse JHU for the reasonable costs and efforts of preparing, filing, maintaining, and prosecuting the patent applications for the Invention through the date of this Agreement. The Company shall reimburse JHU within thirty
(30) days of receipt of an invoice from JHU. 
 4.        Payments under the
License Agreement. The Company acknowledges that the Invention falls within the definition of LICENSED PRODUCT(s) and/or LICENSED SERVICE(s) under the License Agreement and that all payment provisions pertaining to the sale LICENSED PRODUCT(s)
or LICENSED SERVICE(s) containing of Article 4 of the License Agreement will apply to the Invention. 

5.        Statement of Work for Research Agreement. 

Contemporaneously with the execution of this Agreement, the Company and JHU are entering into a Statement of Work under the terms of the Research
Agreement dated as of June 30, 1998 by and between the Company and JHU which Statement of Work provides for the nonrefundable payment by the Company to JHU of [***] to fund research in the laboratories of [***] for a period of twelve months.

 6.        Warrant to Purchase Shares of Common Stock. 

Contemporaneously with the execution of this Agreement, the Company is issuing to JHU a warrant to purchase [***] shares of the Company’s Common
Stock at an exercise price of [***] per share (the “Warrant”) which Warrant shall be exercisable for a period of ten (10) years. 

7.        Miscellaneous 

(a)        Binding Effect. This Agreement shall be binding upon and inure to the benefit
of and be enforceable by the parties hereto and their respective successors and permitted assigns. 

(b)        Entire Agreement. The License Agreement together with this Agreement,
constitute the entire understanding between the parties with respect to the obligations of the parties with respect to the subject matter hereof, and supersedes and replaces all prior agreements, understandings, writings, and discussions between the
parties relating to the subject matter of those agreements. Except as modified by this Agreement, all other terms and conditions of the License Agreement remain in full force and effect. 

 

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 -2- 

 IN WITNESS WHEREOF, the respective parties hereto have executed this
Agreement by their duly authorized officers on the date appearing below their signatures. 
 SURGI-VISION, INC 

 

			
	 By:
	  	     /s/ Nancy E. Taylor

	 Name:
	  	
	 Title:
	  	
	
	 THE JOHNS HOPKINS UNIVERSITY

		
	 By:
	  	     /s/ Estelle A. Fishbein

	 Name:
	  	     Estelle A. Fishbein.

	 Title:
	  	     Vice President and General Counsel

 

 -3- 

 I HAVE READ AND AGREE TO ABIDE BY THE TERMS OF THIS AGREEMENT: 

 

	
	   /s/ [***]

	   [***]

	
	   /s/ [***]

	   [***]

	
	   /s/ [***] 1/14/2000

	   [***]

 

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 
  

 -4- 

 ATTACHMENT A 

PATENT RIGHTS 
  

 
 [***] 

 

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 

 ADDENDUM TO LICENSE AGREEMENT 

This Addendum to License Agreement between The Johns Hopkins University, a corporation of the State of Maryland,
having a principal place of business at 100 N. Charles Street,
5th Floor, Baltimore, MD 21201 (hereinafter referred to as
“JHU”) and Surgi-Vision, Inc., a Delaware corporation (hereinafter “SVI”), having an address at 200 N Cobb Parkway, Suite 140, Marietta, Georgia, is being executed on the date set forth below to clarify and amend that License
Agreement entered into by these parties on or about June 30, 1998 and as first Amended on or about January 14, 2000 (hereafter “Agreement”). 

WITNESSETH: 
 WHEREAS, JHU and
SVI wish to clarify and update the PATENT RIGHTS licensed under the Agreement as outlined in Appendix A of the Agreement; 
 THE
PARTIES HEREBY AGREE AS FOLLOWS: 
 Licensed PATENT RIGHTS shall include the issued U.S. Patents and pending U.S. Patent Applications listed
below: 
 [***] 
  

 [***] Indicates portions of this exhibit that have been omitted and filed separately
with the Securities and Exchange Commission pursuant to a request for confidential treatment. 

 IN WITNESS WHEREOF, the parties hereto have caused this instrument to be
signed in duplicate by their duly authorized officers. 
  

									
	 THE JOHNS HOPKINS UNIVERSITY
	 		 	 SURGI-VISION, INC.

					
	 By
	 	 /s/ R. Keith Baker, Ph.D.
	 		 	 By
	 	 /s/ Kim Jenkins

		 	 R. Keith Baker, Ph.D.
	 		 		 	 Kim Jenkins

		 	 Senior Director,
	 		 		 	 CEO Surgi-Vision, Inc.

		 	 Technology Licensing
	 		 	 Date:
	 	 12/09/04

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