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Exhibit 10.9(a)  

 
 

FIRST AMENDMENT TO EMPLOYMENT LETTER    
    

        THIS FIRST AMENDMENT TO EMPLOYMENT LETTER ("First Amendment") is entered into effective this 13th day of June 2003, by and between LECG, LLC, a California Limited
Liability Company ("LECG") and WALTER VANDAELE ("Employee"), with reference to the following facts: 

RECITALS 

	A.
	LECG
and Employee entered into an Employment Letter Agreement dated October 13, 2000 ("Employment Agreement"), a copy of which is attached hereto.

	B.
	LECG
and Employee wish to amend the Employment Agreement as more fully set forth in this First Amendment;

	C.
	Capitalized
terms used in this First Amendment as defined terms but not specifically defined in this First Amendment shall have the meanings assigned to such terms in the Employment
Agreement. 

 
 

AGREEMENT  

        NOW,
THEREFORE, in consideration of the mutual covenants and obligations contained in this First Amendment and for other good and valuable consideration, the receipt and sufficiency of
which are
hereby acknowledged, LECG and Employee agree as follows, effective as of the Effective Date of this First Amendment, as defined below: 

	1.
	Employee
will receive a draw of $500,000 commencing July 1, 2003. To the extent that Employee's earnings (collections plus outstanding invoices) for the year exceed $500,000,
and for each year thereafter that Employee remains employed with LECG, Employee's draw will continue to the following year at the same $500,000 rate. To the extent that Employee's collections plus
outstanding invoices for this year, or any year thereafter, do not exceed $500,000, LECG and Employee will enter into good faith negotiations to revise Employee's draw for the following year, and LECG
and Employee will agree to a mutually acceptable repayment program for the deficit for the year, which repayment period will not exceed six (6) months.

	2.
	Employee
will receive 100% of his own collected professional billings for work sourced by either the Employee or the Company.

	3.
	Full Force and Effect.    Except as expressly set forth in this First Amendment, the Employment Agreement has not been
modified or amended and remains in full force and effect, including, but not limited to the provision in the Employment Agreement relating to LECG providing Employee with Errors and Omissions
insurance coverage at no cost to Employee. 

        IN
WITNESS WHEREOF, LECG and Employee have executed this First Amendment as of the date first set forth above. 

	LECG:	 	EMPLOYEE:
	

LECG, LLC, A California Limited Liability	
 	

Walter Vandaele
	

By:	

/s/  DAVID P. KAPLAN      
	
 	

/s/  WALTER VANDAELE      

	

Name:	

David P. Kaplan	
 	

Date:	

6/16/03
	

Title:	

President	
 	

 	

 

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FIRST AMENDMENT TO EMPLOYMENT LETTER

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Exhibit 10.10    
    

NEITHER THIS NOTE NOR THE COMMON UNITS INTO WHICH IT MAY BE CONVERTED HAS BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "ACT") OR ANY APPLICABLE STATE
SECURITIES LAWS AND MAY NOT BE SOLD, TRANSFERRED OR ASSIGNED WITHOUT REGISTRATION OF THIS NOTE AND SUCH COMMON UNITS UNDER THE ACT AND ALL APPLICABLE STATE SECURITIES LAWS UNLESS AN EXEMPTION FROM
SUCH REGISTRATION IS AVAILABLE  

  
 

    CONVERTIBLE PROMISSORY NOTE    
    

	 
	 	 

	$5,000,000	 	Emeryville, CA

June 13, 2002

        FOR VALUE RECEIVED, the undersigned, LECG, LLC, a California limited liability company
("Maker"), hereby promises to pay to Thoma Cressey Fund VII, L.P., a Delaware limited partnership
("Holder"), the holder of this Convertible Promissory Note (this "Note"), upon the terms and conditions
set forth herein the principal sum of five million dollars ($5,000,000) or such lesser amount as may be designated as outstanding from time to time on Schedule A  hereto, together with all accrued
interest on such outstanding balance, in accordance with the terms and provisions of this Note. 

        1.    Relation to Credit Agreement and Letter Agreement.    Reference is made to
(a) that certain Credit Agreement dated as of September 29, 2000, by and among LECG Holding Company, LLC ("Parent"), the Maker, the
Lenders referred to therein, Wachovia Bank, National Association (formerly known as First Union National Bank), as Administrative Agent for the Lenders ("Administrative
Agent") and U.S. Bank National Association, as Documentation Agent of the Lenders, as amended (the "Credit Agreement"), and
(b) that certain Letter Agreement, dated as of June 13, 2002 (the "Letter Agreement"), by and among, Maker, Holder, Parent and David J.
Teece ("Teece"). Capitalized terms used herein but not defined herein shall have the meanings ascribed to such terms in the Letter Agreement. 

        2.    Principal Amount.    The principal amount outstanding shall be set forth on  Schedule A hereto which amount shall be adjusted by Holder from time to time to reflect any payments made by Holder to Maker and/or U.S. Bank
National Association and/or Wachovia Bank, National Bank, under the TCEP Guarantee (any such payment, a "Guarantee Payment"). Upon making any Guarantee
Payments, Holder shall promptly provide written notice of such payment to Maker and adjust Schedule A hereto accordingly;  provided, however, that the
failure to provide such notice shall not diminish Holder's rights under the this Note in any manner. The initial principal
amount outstanding under this Note shall be $0. 

        3.    Payment; Conversion.    

        (a)   Interest shall accrue on any outstanding principal amount at the rate of fifteen percent (15%) per annum, compounded
annually, beginning on the date corresponding to the date of the Guarantee Payment for which such principal amount is outstanding. 

        (b)   Any unpaid principal balance of this Note, together with all accrued but unpaid interest thereon, shall be due and
payable in full, forty-five (45) calendar days after the date corresponding to the date of the Guarantee Payment for which such principal amount is outstanding (the  "Grace Period"). Immediately
after such Grace Period, Holder may, by providing written notice to Parent and Maker, convert (the  "Conversion") such principal amount together with all accrued but unpaid interest thereon (in the
aggregate, the "Default
Amount"), into such number of Common Units of Parent equal to the Default Amount divided by the lesser of (i) $5.00 or (ii) five times Maker's earnings before
interest, income taxes, depreciation and amortization for the most recent 12 month period for which financial statements are available, as computed in accordance with generally accepted
accounting principles consistently applied, per Common Unit (the "Conversion Price"). Notwithstanding such Conversion right, Holder in its sole
discretion may decide not to exercise its 

 

Conversion
right and demand payment in full of the entire Default Amount from Maker in which case the Default Amount shall be payable in full by Maker upon the expiration of the Grace Period. 

        (c)   All payments by Maker hereunder shall be applied (i) first, to expenses of collection pursuant to  Section 8, (ii) second, to the
interest due and unpaid under this Note and (iii) third, to the outstanding principal amounts
corresponding to the date of the most recent Guarantee Payment for which any principal amounts are outstanding. 

        (d)   In case Parent shall at any time prior to the Conversion subdivide its outstanding shares of Common Units into a greater
number of units, the Conversion Price, as defined in Paragraph 3(b) hereof, in effect immediately prior to such subdivision shall be
proportionately reduced, and, in case the outstanding units of Common Units shall be combined into a smaller number of units, the Conversion Price in effect immediately prior to such combination, as
defined in Paragraph 3(b) hereof, shall be proportionately increased. 

        (e)   Subject to the terms of Paragraph 3(b) hereof, the Conversion
shall occur immediately upon Parent's and Maker's receipt of the Conversion Notice. On and after such date, Holder(s) identified in the Conversion Notice shall be treated for all purposes as the
record holder(s) of the Common Units issuable upon such Conversion. Holder's Conversion rights shall be extinguished upon payment in full of all principal and accrued interest and all other amounts
due hereunder. 

        (f)    If any capital reorganization, merger or reclassification of the capital of Parent shall be effected in such a way that
the holders of Common Units shall be entitled, to receive stock, securities or assets with respect to or in exchange for such Common Unit, then, as a condition to the consummation of such
reorganization, merger or reclassification, lawful and adequate provisions shall be made whereby Holder shall have the right to receive, upon conversion of this Note and in lieu of the Common Units
otherwise receivable upon the conversion of this Note, the shares of stock, securities or assets that a holder of the number of Common Units into which this Note was convertible immediately prior to
such reorganization, merger or reclassification would receive pursuant to such reorganization, merger or reclassification and this Note shall be deemed to have been amended to include such provisions. 

        (g)   Parent will at all times reserve and keep available out of its authorized Common Units, solely for the purposes of
issuance upon the conversion of this Note as herein provided, such number of Common Units as shall then be issuable upon the conversion of the then outstanding principal balance of this Note. Parent
covenants that all Common Units which shall be so issued shall be duly and validly issued and fully paid and non-assessable and free from all taxes, liens and charges with respect to the
issuance thereof, and, without limiting the generality of the foregoing, Parent covenants that it will from time to time take all such action as may be required to assure that the par value per unit
of the Common Units is at all times equal to or less than the Conversion Price in effect at the time. Parent and Maker will take all such action as may be necessary to assure that all such Common
Units may be so issued without violation of any applicable law or regulation, or of any requirement of any national securities exchange upon which the Common Units may be listed. 

        5.    Events of Default.    Each of the following shall constitute an  "Event of Default"
hereunder: 

        (a)   Maker's failure to make any required payment of principal and/or interest under this Note. 

        (b)   Maker's or Parent's failure to perform any other obligation (other than one that can be satisfied with the payment of
money) required under this Note (as applicable), and the continuation of such failure for a period of fifteen (15) days after Holder gives Maker or Parent written notice of such failure to
perform. 

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        (c)   The occurrence of an event of default (that has not otherwise been waived) under the Credit Agreement, any agreement
related to the Credit Agreement or any other Senior Indebtedness (as such term is defined herein). 

        (d)   Maker's insolvency, general assignment for the benefit of creditors, or the final judgment by or against Maker of any
case, proceeding, or other action seeking reorganization, arrangement, adjustment, liquidation, dissolution, or composition of Maker's debts under any law relating to bankruptcy, insolvency, or
reorganization, or relief of debtors, or seeking appointment of a receiver, trustee, custodian, or other similar official for Maker or for all or any substantial part of Maker's assets. 

        6.    Acceleration.    Upon the occurrence of an Event of Default, Holder shall have the right
to cause the entire unpaid principal balance, together with all accrued interest thereon, reasonable attorneys' and paralegals' fees and all fees, charges, costs and expenses, if any, owed by Maker to
Holder, to become immediately due and payable in full by giving written notice to Maker. 

        7.    Remedies.    Upon the occurrence of an Event of Default, Holder may avail itself of any
legal or equitable rights which Holder may have at law or in equity or under this Note, including, but not limited to, the right to accelerate the indebtedness due under this Note as described in the
preceding sentence. The remedies of Holder as provided herein shall be distinct and cumulative, and may be pursued singly, successively or together, at the sole discretion of Holder, and may be
exercised as often as occasion therefor shall arise. Failure to exercise any of the foregoing options upon the occurrence of an Event of Default shall not constitute a waiver of the right to exercise
the same or any other option at any subsequent time in respect to the same or any other Event of Default, and no single or partial exercise of any right or remedy shall preclude other or further
exercise of the same or any other right or remedy. Holder shall have no duty to exercise any or all of the rights and remedies herein provided
or contemplated. The acceptance by Holder of any payment hereunder that is less than payment in full of all amounts due and payable at the time of such payment shall not constitute a waiver of the
right to exercise any of the foregoing rights or remedies at that time, or nullify any prior exercise of any such rights or remedies without the express written consent of Holder. 

        8.    Expenses of Collection.    If this Note is referred to an attorney for collection,
whether or not suit has been filed or any other action instituted or taken to enforce or collect under this Note, Maker shall pay all of Holder's costs, fees (including reasonable attorneys' and
paralegals' fees) and expenses in connection with such referral. 

        9.    Governing Law.    THE RELATIVE RIGHTS OF HOLDERS OF PARENT'S SECURITIES (INCLUDING THIS
NOTE AND PARENT'S COMMON UNITS ISSUABLE UPON CONVERSION HEREOF) SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF DELAWARE, WITHOUT GIVING EFFECT TO CONFLICT OF LAWS
PROVISIONS. 

        10.    Subordination.    This Note, and the obligations of Maker and Parent hereunder, shall
be subordinate and junior in right of payment to (a) all obligations under the Credit Agreement pursuant to the provisions of that certain Subordination Agreement dated June    ,
2002 by and among Holder, Parent, Maker and the Administrative Agent and (b) to all indebtedness of Maker which may be incurred by Maker from time to time following the date of this Note which
by its terms is senior in right of payment to this Note to the extent agreed to in writing by Holder ("Senior Indebtedness"), as amended, increased or
restated from time to time, and any Senior Indebtedness incurred in replacement thereof Holder hereby agrees to execute and deliver any customary subordination agreement(s) required by the holders of
such Senior Indebtedness to effect the subordination of this Note including, upon default of any Senior Indebtedness, a total payment bar until the payment in full of all Senior Indebtedness or the
waiver of all such defaults. 

3

 

        11.    No Waiver.    Neither any course of dealing by Holder nor any failure or delay on its
part to exercise any right, power or privilege hereunder shall operate as a waiver of any right or remedy of Holder hereunder unless said waiver is in writing and signed by Holder, and then only to
the extent specifically set forth in said writing. A waiver as to one event shall not be construed as a continuing waiver by Holder or as a bar to or waiver of any right or remedy by Holder as to any
subsequent event. 

        12.    Notices.    Any notice, request, claim, demand, waiver, consent, approval or other
communication which is required or permitted hereunder shall be in writing and shall be deemed given if delivered personally or sent by registered or certified mail, postage prepaid, return receipt
requested, or by nationally recognized overnight courier service, as follows: 

If
to Parent or Maker to: 

c/o
LECG, LLC

2000 Powell Street

Suite 600

Emeryville, CA 94608

Attention: Geoff Colton

Telephone No.: (510) 450-6799

Facsimile No.: (510) 653-6213 

with
a required copy to: 

LECG,
LLC

1603 Orrington Avenue

Suite 1500

Evanston, IL 60201

Telephone No.: (847)            

Facsimile No.: (847) 475-1031

Attention: Marvin A. Tenenbaum

                  General Counsel 

If
to Holder to: 

Thoma
Cressey Fund VII, L.P.

c/o Thomas Cressey Equity Partners

One Embarcadero Center, Suite 2930

San Francisco, CA 94111

Attention: Jeanne Plessinger

Telephone No.: (415) 263-3667

Facsimile No.: (415) 392-6480 

with
a required copy to: 

Hogan &
Hartson L.L.P.

Columbia Square

555 Thirteenth Street, NW

Washington, D.C. 20004

Attn: James A. Hutchinson, Esq.

Telephone No.: (202) 637-8696

Facsimile No.: (202) 637-5910 

or
to such other address as the person to whom notice is to be given may have specified in a notice duly given to the sender as provided herein. Such notice, request, claim, demand, waiver, consent,
approval or other communication shall be deemed to have been given as of the date so delivered, 

4

 

mailed
or dispatched and, if given by any other means, shall be deemed given only when actually received by the addressees. 

        13.    Severability.    In the event that any one or more of the provisions of this Note shall
for any reason be held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or unenforceability shall not affect any other provision of this Note, and this Note shall be
construed as, if such invalid, illegal or unenforceable provision had never been contained herein. 

        14.    Limitations of Applicable Law.    In the event the operation of any provision of this
Note results in an effective rate of interest transcending the limit of the usury or any other law applicable to the loan evidenced hereby, all sums in excess of those lawfully collectible as interest
for the period in question shall, without further agreement or notice by any party to this Note, be applied to the unpaid principal balance of this Note immediately upon receipt of such monies by
Holder, with the same force and effect as though Maker had specifically designated such extra sums to be so applied to the unpaid principal balance and Holder had agreed to accept such extra
payment(s) as a prepayment. 

        15.    Assignmen.    This Note is negotiable and assignable in full or in part at the
discretion of Holder and Maker and Parent agree to take all necessary actions to effectuate any assignment including but not limited to any assignment to Teece pursuant to the terms of the Letter
Agreement. 

        16.    Captions.    The captions herein are for convenience and reference only and in no way
define or limit the scope or content of this Note or in any way affect its provisions. 

[THIS SPACE INTENTIONALLY LEFT BLANK]

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        IN WITNESS WHEROF, Maker and Parent have executed this Convertible Promissory Note on the date first written above. 

	 
	 
	 
	 

	 	MAKER:
	

 	

LECG, LLC

California limited liability company
	

 	

By:	

/s/  J. GEOFFREY COLTON      

	 	 	Name:	J. Geoffrey Colton

	 	 	Title:	CFO

	 	PARENT:
	

 	

LECG HOLDING COMPANY, LLC,

a California limited liability company
	

 	

By:	

/s/  J. GEOFFREY COLTON      

	 	 	Name:	J. Geoffrey Colton

	 	 	Title:	CFO

	PARENT:	 	 	 

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Exhibit 10.10

CONVERTIBLE PROMISSORY NOTE

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