Document:

Placement Agent Agreement dated June 24, 2005

 Exhibit 10.45 
 Placement Agent Agreement 
 Alien Technology Corporation & Advanced Equities, Inc.

 Alien Technology Corporation, a Delaware corporation (the “Company”), hereby engages Advanced Equities, Inc., an
Illinois corporation (“PA”), to assist the Company in obtaining financing through a private placement, between the date of this Agreement and November 24, 2005, of the Company’s Series H Preferred Stock (the
“Preferred Shares”) described in the attached Exhibit B (the “Financing”) as follows: 
 1.
Services. 
 (a) PA shall offer participation in the Financing to potential investors which PA reasonably believes
after conducting due inquiry are “accredited investors” as defined by Regulation D. The potential investors in the Financing first introduced by PA to Company are set forth on Exhibit A-1 (each, a “Qualified
Investor”); provided, however, Qualified Investors shall not include persons that are stockholders of the Company on the date of this Agreement or those entities set forth on Exhibit A-2; provided,
further, no new Qualified Investors shall be added to Exhibit A-1 without the written consent of the Company. 
 (b) PA
acknowledges that (i) the Company is free to contact potential investors directly and engage other agents on its behalf, (ii) the Company may determine, in its sole discretion, whether to accept an offered investment by a Qualified
Investor and (iii) the Company is not obligated to compensate PA for investments offered to the Company that the Company does not accept. However, the Company is obligated to accept investments in the Financing in the aggregate amount up to
$48,259,685, and has accepted such amount as of November 4, 2005, from Qualified Investors that (x) have completed the suitability questionnaire in a form similar to Exhibit C and (y) the Company determines, in its reasonable
discretion based on such suitability questionnaires, are accredited investors. 
 2. Compensation. 
 (a) Cash Compensation. The Company shall pay PA, as partial compensation for the services provided by PA hereunder, a cash fee (the “Cash
Fee”) equal to 0.05 of the funds invested, as set forth on Appendix 1 to Exhibit A-1 (which Appendix shall be updated upon each subsequent closing of the Financing). By signing this Agreement, Company and PA hereby acknowledge
that PA has already received from the Company funds in the amounts set forth opposite each Qualified Investor’s name under the heading “Fees Paid” on Appendix 1 and such funds shall be deemed to satisfy the Cash Fee owed to PA
for placement of such Qualified Investor pursuant to this Section 2(a) (for the amounts invested in the Financing through November 4, 2005). 
 (b) Warrant Compensation. The Company shall issue PA, as the remainder of the compensation for the services provided by PA hereunder, a warrant (the “Warrant Fee” and with the Cash Fee,
collectively, the “Fee”) in the form of the Warrant Agreement attached as Exhibit D. The Warrant Agreement will be exercisable for that number of shares of Series H Preferred Stock of the Company equal to the product of the
number of shares of Series H Preferred Stock sold in the Financing to Qualified Investors and 0.05. In order for shares to be considered sold under this Section 2(b), the Company or its designated agent must have accepted possession of the
applicable investment funds. 

 3. Term. 
 (a) Term. Unless and until terminated as set forth herein, this Agreement will continue in full force and effect for an initial term expiring at
the earlier of: (i) the final closing of the Financing; or (ii) November 24, 2005; provided, however, Sections 6, 7 and 8 shall survive the termination of this Agreement. 
 (b) Renewal. Upon expiration of this Agreement pursuant to Section 3(a)(ii), the Company may renew this Agreement on a month-to-month
basis by notice to PA at least 15 days prior to such expiration. 
 (c) Termination. (i) The Company may terminate this Agreement
immediately and without notice in the event of breach by PA of this Agreement, and (ii) either party may terminate this Agreement upon 30 days’ prior written notice to the other party for any reason other than breach by PA of this
Agreement. In the event the Company terminates this Agreement pursuant to Section 3(c)(i), PA will not be entitled to any unpaid Fee and the Company will be entitled to all other remedies available under applicable law. In the event the
Company terminates this Agreement pursuant to Section 3(c)(ii), PA will be entitled to the Fee with respect to approved Qualified Investors if the Financing closes on or before November 24, 2005. 
 4. Performance. In connection with the performance of its duties under this Agreement, PA agrees as follows: 
 (a) PA shall act in a manner consistent with the instructions of the Company and comply with all applicable laws, whether foreign or domestic, of each
jurisdiction in which PA proposes to carry on the business contemplated by this Agreement. PA shall not take any action or omit to take any action that would cause the Company to violate any law or any applicable exemption from registration under
the Securities Act or the Securities Exchange Act or any applicable state securities law. 
 (b) PA shall provide the Company with a copy of
each such record upon request by the Company’s counsel for compliance with applicable law or in response to judicial or administrative process. 
 (c) PA shall not make any untrue statement of a material fact or omit to state any fact necessary to make any statement made not misleading regarding the Company or the offer or sale of the Preferred Shares.

 (d) PA shall not engage in any form of general solicitation or general advertising. For example PA shall not mention the Company in any
public medium without the written permission of the Company. 
 (e) Before mentioning or sending any material related to the Company to any
potential investor, PA shall, on the basis of PA’s prior relationship with the potential offeree, and 

  

 -2- 

 
after conducting due inquiry, reasonably believe that the potential offeree is: (x) an “accredited investor” and (y) so sophisticated and
knowledgeable in business and financial matters that the potential offeree is capable of evaluating the merits and risks of an investment in the Company. 
 (f) PA shall cause its employees and affiliates to comply with all of the foregoing provisions of this Section 4. 
 5. Representations and Warranties. 
 PA represents and warrants that PA has and will maintain
during this Agreement all licenses, registrations, permits and other authorizations required for PA to perform the activities and receive the compensation contemplated by this Agreement in each jurisdiction in which PA proposes to engage in such
activities. In particular, but without limiting the generality of the foregoing, PA is and will be duly licensed or registered as a broker dealer or registered representative of a broker dealer under the Exchange Act and under the laws of each
jurisdiction requiring such licensing or registration. 
 6. Indemnification. 
 (a) The Company agrees to indemnify and hold harmless PA, its officers, directors, employees, legal counsel and its affiliates (each, a “PA
Indemnified Party”) against any and all losses, claims, damages, liabilities, joint or several, and expenses (including all legal or other expenses reasonably incurred by a PA Indemnified Party) caused by or arising out of (i) any
misrepresentation or untrue statement or alleged misrepresentation or untrue statement of a material fact made by the Company, its officers or representatives to PA, or the omission or the alleged omission to state to PA a material fact necessary in
order to make statements made not misleading in light of the circumstances under which they were made (except to the extent such misrepresentations, untrue statements or omissions are based on information provided to the Company by PA), or
(ii) any misrepresentation or untrue statement or alleged misrepresentation or untrue statement of a material fact contained in any document related to the Company furnished to the Qualified Investors, or the omission or the alleged omission to
state in the documents related to the Company furnished to the Qualified Investors a material fact necessary in order to make the statements therein not misleading in light of the circumstances under which they were made, to the extent such
misstatements or omissions are made in reliance upon and in conformity with written information furnished by the Company for use in the documents related to the Company furnished to the Qualified Investors (it being understood that the only written
information that shall be deemed furnished by the Company for use in documents to be furnished to the Qualified Investors is the information contained on pages 8-18 of the Advanced Equities Late Stage Opportunities Fund I, LLC’s Private
Placement Memorandum dated May 12, 2005, as amended and supplemented by the Supplement thereto dated June 8, 2005). The Company agrees to reimburse the PA Indemnified Party for any reasonable expense (including reasonably fees and expenses
of counsel) incurred as a result of producing documents, presenting testimony or evidence, or preparing to present testimony or evidence (based upon time expended by the PA Indemnified Party at its then current time charges or if such person shall
have no established time charges, then based upon reasonable charges), in connection with any court or administrative proceeding (including any investigation which may be preliminary thereto) arising out of or relating to the performance by the PA
Indemnified Party or any obligation hereunder. The Company’s obligations under this Section 6(a) shall be limited to the net amount of funds received from investors on which the Company paid a fee to PA. 
  

 -3- 

 (b) PA agrees to indemnify and hold harmless the Company, its officers, directors, employees, legal
counsel and its affiliates (each, a “Company Indemnified Party”) against any and all losses, claims, damages and liabilities, joint or several, and expenses (including all legal or other expenses reasonably incurred by a Company
Indemnified Party) caused by or arising out of (i) any misrepresentation or untrue statement or alleged misrepresentation or untrue statement of a material fact made by PA to the Qualified Investors, or the omission or the alleged omission to
state to the Qualified Investors a material fact necessary in order to make statements made not misleading in light of the circumstances under which they were made (except to the extent such misrepresentations, untrue statements or omissions are
based on information provided to PA by the Company for use in the documents related to the Company furnished to the Qualified Investors (it being understood that the only written information that shall be deemed furnished by the Company for use in
documents to be furnished to the Qualified Investors is the information contained on pages 8-18 of the Advanced Equities Late Stage Opportunities Fund I, LLC’s Private Placement Memorandum dated May 12, 2005, as amended and supplemented by
the Supplement thereto dated June 8, 2005), (ii) any misrepresentation or untrue statement or alleged misrepresentation or untrue statement of a material fact contained in any document furnished to the Qualified Investors, or the omission
or the alleged omission to state in the documents furnished to the Qualified Investors a material fact necessary in order to make the statements therein not misleading in light of the circumstances under which they were made, to the extent such
misstatements or omissions are made in reliance upon and in conformity with written information furnished by PA for use in the documents furnished to the Qualified Investors, (iii) any breach or alleged breach of any representation, warranty or
covenant made by PA in this Agreement, or (iv) PA’s bad faith, gross negligence or willful misconduct in performing the services described herein. PA agrees to reimburse the Company Indemnified Party for any reasonable expense (including
reasonable fees and expenses of counsel) incurred as a result of producing documents, presenting testimony or evidence, or preparing to present testimony or evidence (based upon time expended by the Company Indemnified Party at its then current time
charges or if such person shall have no established time charges, then based upon reasonable charges), in connection with any court or administrative proceeding (including any investigation which may be preliminary thereto) arising out of or
relating to the performance by the Company Indemnified Party of any obligation hereunder. PA’s obligations under this Section 6(b) shall be limited to the amount of the Fee paid to it by the Company. 
 (c) This Section 6 will survive expiration or termination of this Agreement. 
  

 -4- 

 7. Confidentiality. PA will maintain in confidence and will not use for its own benefit or
other than for the performance of its obligations under this Agreement: any inventions, confidential know-how, trade secrets and other non-public information and data disclosed to it by the Company, and it will not divulge the same to any other
persons until such time as the information becomes a matter of public knowledge. This Section 7 will survive expiration or termination of this Agreement. 
 8. Purchase and Sale of Secondary Interests of the Company. Commencing August 1, 2005 and continuing through the earlier of (i) January 25, 2007 or (ii) closing of the sale of the
Company’s Common Stock pursuant to a registration statement filed by the Company under the Securities Act, in connection with the first underwritten offering of the Company’s securities to the general public, neither PA nor its officers,
directors, employees or affiliates will engage in brokering or dealing (or participate in any discussions regarding the brokering or dealing, other than discussions with the Company) of secondary interests of the Company, or otherwise purchase
secondary interests of the Company, from any individual, entity or group. This Section 8 will survive expiration or termination of this Agreement. 
 9. Expenses. The Company shall, promptly following the final closing of the Financing, pay PA (i) its actual legal fees and expenses (up to a maximum of $25,000) incurred in connection with
fulfilling its obligations under this Agreement; and (ii) its other reasonable out-of-pocket expenses (up to a maximum of $10,000) incurred in connection with fulfilling its obligations under this Agreement; provided, however,
that the Company shall have no such obligation to pay PA until PA provides the Company reasonably detailed invoices that set forth the fees and expenses in (i) and (ii). PA will not be reimbursed for any other expenses it incurs in connection
with fulfilling its obligations under this Agreement. 
 10. Independent Contractor. PA will perform its services hereunder as
an independent contractor, and nothing in this Agreement will in any way be construed to constitute PA the agent, employee or representative of the Company. Neither PA nor any agent acting on behalf of PA will enter into any agreement or incur any
obligations on the Company’s behalf or commit the Company in any manner or make any representations, warranties or promises on the Company’s behalf or hold itself (or allow itself to be held) as having any authority whatsoever to bind the
Company without the Company’s prior written consent, or attempt to do any of the foregoing. 
 11. General.

 (a) Arbitration. Except as otherwise provided by law, the parties hereto agree that any dispute or controversy arising out
of, relating to or concerning any interpretation, construction, performance or breach of this Agreement, shall be settled by arbitration to be held in Santa Clara County, California, in accordance with the commercial dispute resolution rules then in
effect of the American Arbitration Association. The arbitrator may grant injunctions or other relief in such dispute or controversy. The decision of the arbitrator will be final, conclusive and binding on the parties to the arbitration. Judgment may
be entered on the arbitrator’s decision in any court having jurisdiction. The parties shall each pay one-half of the costs and expenses of such arbitration, and each shall separately pay its counsel fees and expenses. 
  

 -5- 

 (b) Covenant against Assignment. This Agreement is personal to the parties hereto, and accordingly
neither the Agreement nor any right hereunder or interest herein may be assigned or transferred or charged or otherwise dealt with by either party without the express written consent of the other. Notwithstanding the foregoing, however, the Company
will be entitled to assign this Agreement and the Company’s rights hereunder to a successor to all or substantially all of its assets, whether by sale, merger or otherwise. 
 (c) Entire Agreement; Amendment. This Agreement and the attached exhibits constitute the entire contract between the parties with respect to the
subject matter hereof and supersede any prior agreements between the parties. Notwithstanding the forgoing, Company and PA agree that nothing in this Agreement effects the rights or obligations of the parties with respect to their Placement Agent
Agreement dated July 25, 2003 (“PA Agreement”) relating to the sale of certain shares of Company’s Series F Preferred Stock, including without limitation PA’s rights under the terms of such PA Agreement to participate in
Company’s underwriting syndicate as the seller of up to 7% of the shares of Company in its initial public offering. This Agreement may not be amended, nor any obligation hereunder waived, except by an agreement in writing executed by, in the
case of an amendment, each of the parties hereto, and, in the case of a waiver, by the party waiving performance. 
 (d) No Waiver.
The failure or delay by a party to enforce any provision of this Agreement will not in any way be construed as a waiver of any such provision or prevent that party from thereafter enforcing any other provision of this Agreement. The rights granted
both parties hereunder are cumulative and will not constitute a waiver of either party’s right to assert any other legal remedy available to it. 
 (e) Severability. Should any provision of this Agreement be found to be illegal or unenforceable, the other provisions will nevertheless remain effective and will remain enforceable to the greatest extent
permitted by law. 
 (f) Notices. Any notice, demand, offer, request or other communication required or permitted to be given by
either the Company or PA pursuant to the terms of this Agreement must be in writing and will be deemed effectively given the earlier of (i) when received, (ii) when delivered personally, (iii) one business day after being delivered by
facsimile (with receipt of appropriate confirmation) to the number provided to the other party or such other number as a party may request by notifying the other in writing, (iv) one business day after being deposited with an overnight courier
service or (v) four days after being deposited in the U.S. mail, First Class with postage prepaid, and addressed to the party at the address previously provided to the other party or such other address as a party may request by notifying the
other in writing. 
 (g) Counterparts. This Agreement may be executed in one or more counterparts, each of which will be deemed an
original, but all of which together will constitute one and the same agreement. Facsimile copies of signed signature pages will be deemed binding originals. 
  

 -6- 

 The parties have executed this Placement Agent Agreement as of June 24, 2005. 
  

	
	 ALIEN TECHNOLOGY CORPORATION

	
	 /S/    ROBERT K. EULAU

	Signature of Authorized Signatory
	
	 Robert K. Eulau, CFO

	Name and Title of Authorized Signatory
	
	 PLACEMENT AGENT

	
	  

	Name of PA
	
	 /S/    DWIGHT O. BADGER

	Signature of Authorized Signatory
	
	  

	Name and Title of Authorized Signatory

  

 -7- 

 Exhibit A-1 
 QUALIFIED INVESTORS 
 Name and Address of Qualified Investor 
  

	1.	Advanced Equities Late Stage Opportunities 

 Fund I, LLC

 311 S. Wacker, Suite 1650 
 Chicago, IL 60606 
  

	2.	Advanced Equities Investments XXIV, LLC 

 311 S. Wacker,
Suite 1650 
 Chicago, IL 60606 
  

	3.	Albatross Partners I, LLC 

 2020 Grande Loch 
 Roswell, GA 30075 
  

	4.	Excelsior Master Fund, L.P. 

 Walkers House 
 George Town, Grand Cayman 
  

	5.	Jocin LLC 

 1300 S. Washington Street 
 Grand Forks, ND 58201 
  

	6.	MHLE I, LLC 

 1852 Jefferson Street 
 San Francisco, CA 94213 
  

	7.	Peterson Properties 

 6420 Wilshire Blvd., 20th Floor 
 Los
Angeles, CA 90048 
  

	8.	Phoenix Parking Loop, LLC 

 7730 East Greenway Road, Suite
104 
 Scottsdale, AZ 85260 
  

	9.	Nathan Pollock 

 2510 Blossom Lane 
 Beachwood, OH 44122 
  

	10.	RFID Investment Partners LLC 

 6116 Rosemont Circle

 North Betheseda, MD 20852 
  

	11.	Technology Voyage LLC 

 190 South River 
 Holland, MI 49423 
  

	12.	Waveland Technology Partners 

 19100 Von Karman Ave, Suite
480 
 Irvine, CA 92612 

 Appendix 1 
  

							
	 Investor Name
	  	Investment Amount
(by 11/04/05)	  	Fees Paid
	 Advanced Equities Late Stage Opportunities Fund I, LLC
	  	$	10,000,000	  	$	500,000
	 Advanced Equities Investments XXIV, LLC
	  	$	16,471,685	  	$	823,584.25
	 Albatross Partners I, LLC
	  	$	1,850,000	  	$	92,500
	 Excelsior Master Fund, L.P.
	  	$	1,000,000	  	$	50,000
	 Jocin LLC
	  	$	3,700,000	  	$	185,000
	 MHLE I, LLC
	  	$	2,128,000	  	$	106,400
	 Peterson Properties
	  	$	5,000,000	  	$	250,000
	 Phoenix Parking Loop, LLC
	  	$	500,000	  	$	25,000
	 Nathan Pollock
	  	$	150,000	  	$	7,500
	 RFID Investment Partners LLC
	  	$	4,710,000	  	$	235,500
	 Technology Voyage LLC
	  	$	2,450,000	  	$	122,500
	 Waveland Technology Partners
	  	$	300,000	  	$	15,000

 Exhibit A-2 
 Shareholders Not Introduced to Company By PA 
  

	
	John Stephen Smith
	
	Jack Carsten
	
	Mark Hadley
	
	Amnon Yariv
	
	Randy Bartman
	
	Bill and Nancy Lowe
	
	Frank Lowe
	
	John Stuart Lowe-Smith
	
	Donald T. Aanestad
	
	Collier Buffington
	
	Gordon S. Craig
	
	Richard A. Flasck
	
	Sangtae Kim
	
	Veronica Lopez
	
	Paul Nealey
	
	Tom Nolan
	
	William G. Oldham
	
	George H. Schneer
	
	John T. Velcamp
	
	Howard M. Bailey
	
	Alan V. King
	
	Michelle Swenson And Stan Drobac Rev. Trust Dtd 6/8/95
	
	Donald A. Lee
	
	Arno Penzias
	
	Pamela Miguel
	
	William H. Joseph
	
	Al Joseph
	
	Charlie Bass, Trustee, The Bass Trust UTD 4/29/88

	
	
	The Carsten 1978 Trust, As Amended UTA 7/12/78, Jack C. Carsten, Trustee
	
	Neil Chlarson
	
	Dennis DeCoste
	
	Charles C. Harwood
	
	Alan V. King & Carolyn B. King Trustees UDT 8/12/86
	
	Patterson Family Trust
	
	Paul R. Patterson Irrevocable Trust
	
	Steven C. Patterson Irrevocable Trust
	
	George H. Schneer & Lois F. Schneer, Co-Trustees of the Schneer Living Trust dated October 1, 1982, as amended
	
	Richard J. Schoofs
	
	Johannes C. Severiens, Jr. Trust U/D/T dated February 1, 2004, Annette Severiens, Successor Trustee
	
	University of Wisconsin Foundation
	
	Lida Urbanek, Trustee of the Lida Urbanek Revocable Trust dated 6/28/95
	
	Samuel Urcis
	
	Bernard Vonderschmitt
	
	WS Investment Company 95A
	
	Danielle Yariv
	
	Dana Yariv Irrevocable Trust
	
	Gabriela Yariv
	
	CMEA Ventures II, L.P.
	
	Dow Chemical Company
	
	David and Valerie Estes
	
	Thomas Lawrence
	
	Mill Valley Partners
	
	Gregory R. Schoofs
	
	Sevin Rosen VI Affiliates Fund L.P.

	
	Sevin Rosen Fund VI L.P.
	
	Sunrise Capital Fund I, LLC
	
	BVCF IV, L.P.
	
	Dr. Jean M.J. Frechet
	
	NEA Presidents Fund, L.P.
	
	NEA Ventures 1999, L.P.
	
	New Enterprise Associates VIII, L.P.
	
	Sevin Rosen Bayless Management Company
	
	Neil Wolff
	
	Allen & Company, Inc.
	
	Avery Dennison Corporation
	
	Digital BandWidth LLC
	
	DuPont Chemical and Energy Operations, Inc., a wholly owned subsidiary of DuPont
	
	Equitek Bridge Ltd.
	
	Beagle Limited
	
	Jack C. Provine & Janice E. Provine, Trustees of the Provine Family Revocable Trust, RTA August 1, 1999
	
	Rho Management Trust I
	
	Robert W. Shapiro and Peggy Y. Shapiro, Trustees for the Shapiro Family Revocable Trust dated November 30, 1990
	
	Stephen Berke
	
	Yoco Partners LLC
	
	Philips Venture Capital Fund, BV
	
	Comdisco, Inc.
	
	Silicon Valley Bank
	
	Ronald Nowicki
	
	Hemant T. Sathe
	
	DVI Financial Services, Inc.

	
	Miroslav Anic
	
	Kathleen A. Wilkerson
	
	Quan Ventures, L.P. (Delaware)
	
	Quan Ventures, L.P. (BVI)
	
	Eric S. Dobkin Charitable Remainder Trust
	
	Lior Bregman
	
	Emigrant Capital Corporation
	
	Northwestern University
	
	Nicholas Guerra
	
	Daniel and Margaret Seligson Trust UAD 3/27/97
	
	Toray International Inc.
	
	Jay Furman
	
	Richard Goldberg
	
	Qventures KG
	
	TeKBanC Limited
	
	Infrastructure and Environmental Private Equity Fund III, L.P.
	
	Environmental and Information Technology Private Equity Fund III
	
	The Productivity Fund IV, L.P.
	
	The Productivity Fund IV Advisors Fund, L.P.
	
	Janos Czukor
	
	Mohammad Zaher
	
	Jean-Pierre Gloton
	
	Paul Intrieri
	
	Firstcorp Funding III
	
	Roehl Pagala
	
	University of California Berkeley
	
	TBCC FUNDING TRUST II
	
	Stan Drobac
	
	WS Investment Company 99A

	
	WS Investment Company 2000A
	
	Glenn Gengel
	
	Bruce Dougan
	
	Randolph Eisenhardt
	
	Nicole Talesfore
	
	Louis Kan
	
	Roger Stewart
	
	Anno Hermanns
	
	New Enterprise Associates 8A, Limited Partnership
	
	Battelle Memorial Institute
	
	Jay Tu
	
	Robert & Susan Robert Abramowitz and Susan Stewart
	
	IDEO Product Development, Inc.
	
	UPM-Kymmene Corporation
	
	Equitek Global Technology Fund, L.P.
	
	Equitek Global Technology Fund (Cayman)
	
	Equitek Bridge II Limited
	
	Jan Bernkopf
	
	Robert W. Shapiro
	
	Jack C. Provine
	
	Omar Alvarado
	
	Teresa Gruber
	
	Tuyen Tran
	
	Jane Ellis
	
	Brian Hoobler
	
	Frank Cuomo
	
	James Atherton
	
	Tom Credelle
	
	Robert A. Buchman
	
	John H. Patton

	
	Debra E. Keller
	
	John Simon
	
	Michael Mcgregor
	
	Elena DeCoste
	
	Corinne DeCoste
	
	Andrew Niu
	
	Arcadio Mariano
	
	Dahlia Tobias
	
	Erlinda Chartrand
	
	Trish McCall
	
	William G. Murphy
	
	Najib Kahn
	
	Brian Daley
	
	Barbara Martinez-Smith
	
	Mary Piasecki
	
	Alice Olmeda-Young
	
	Jun Liu
	
	Hoang Pham
	
	Sherry Dykes
	
	Frederic Vincentini
	
	Wolff Trust UDT 5/25/02
	
	Yihan Shi
	
	Duy Phach Vu
	
	Anne Chiang
	
	Sean Pearson
	
	Elaine Yau
	
	Heller Financial Leasing, Inc.
	
	Keystone European Equity Investments Limited
	
	Marla Abeyta
	
	Mark Berry
	
	Fred Patton
	
	Stav Prodromou

	
	The Gillette Company
	
	Manhattan Associates, Inc.
	
	Lago Ventures Fund One Limited
	
	Eric S. Dobkin
	
	Sevin Rosen Fund VIII L.P.
	
	Sevin Rosen VIII Affiliates Fund L.P.
	
	WS Investment Company, LLC
	
	Jeffery Jacobsen
	
	Larry Hennick
	
	Tanlin Dickey
	
	Patricia Lou Rogness Smith
	
	Oscar R. Rodriguez
	
	Shirley Kim
	
	Scott Family Living Trust
	
	John M. Hemingway
	
	David Aaron
	
	Paul Drziac
	
	Robert Martin
	
	Michael A. Allocco
	
	Kelly Merritt
	
	David Norval
	
	Michael Schnoll
	
	Greg Wimble
	
	Scott Herrmann
	
	David Bledsoe
	
	Christopher Parkinson
	
	Mike Gallagher
	
	Cornelius Sutu
	
	Kimberly Wilson
	
	Ronald Gilbert
	
	Samuel Warner
	
	Susan Pearson

	
	Hans-Rudolph Wickler
	
	SunBridge Partners Technology Fund AH
	
	Bauer Management Associates I, LLC
	
	HS Partners Holding III, L.P.
	
	Theresa Bruno
	
	Charles C. Hamilton
	
	Bradley Bank Associates, LLC
	
	Miami Valley Venture Fund I & II L.P.
	
	Equitek Global Technology Fund AH

 Exhibit B 
 SUMMARY OF TERMS 

 Exhibit C 
 SUITABILITY QUESTIONNAIRE 
 PURCHASER QUESTIONNAIRE 
 (PROVIDE ALL APPLICABLE INFORMATION) 
 (Please print or type) 
 Size of Investor Member Interest :
                     
 Purchaser
Information: 
  

							
	Name of Individual or Entity:	 	  

		
	Federal Tax ID or Social Security Number:	 	  

				
	Marital Status (Natural Persons):	 	  
	  	Date of Birth:	  	  

		
	Citizen of or State of Organization:	 	  

		
	Principal Address:	 	  

			
		 	(street)	  	
	
	  

			
	(city)	 	(state)	  	(zip)
		
	Telephone Number:	 	  

		
	Mailing Address:	 	  

	(if different)	 	(street)	  	
	  
	 	  

			
	(city)	 	(state)	  	(zip)
	
	Co-Purchaser Information:
		
	Name of Individual or Entity:	 	  

		
	Federal Tax ID or Social Security Number:	 	  

				
	Marital Status (Natural Persons):	 	  
	  	Date of Birth:	  	  

		
	Citizen of or State of Organization:	 	  

		
	Principal Address:	 	  

		 	(street)	  	
	
	  

	(city)	 	(state)	  	(zip)
		
	Telephone Number:	 	  

		
	Mailing Address:	 	  

	(if different)	 	(street)	  	
		
	  
	 	  

	(city)	 	(state)	  	(zip)

 Indicate Type of Ownership: 
  ̈  Individual 
  ̈  Tenants by the Entireties* 
  ̈  Joint tenants with Rights of Survivorship* 
  ̈  Community Property* 
  ̈  Tenants in Common* 
  ̈  Individual Retirement Account (IRA)* (signature of Custodian also required)

  ̈  Pension Plan 
  ̈  Keogh Plan 
  ̈  Trust 
  ̈  Partnership 
  ̈  Limited Liability Company 
  ̈  Corporation 
  ̈  Uniform Gift to Minors Act 
  

			
	State:	 	  

		
	Custodian’s Name:	 	  

		
	Minor’s Name:	 	  

  

	*	Two or more signatures required 

  

	12.	[FOR INDIVIDUALS] (a) The subscriber’s gross income as evidenced by federal income tax returns for applicable years: 

  

							
	 	 	 	  	Individual	  	With Spouse
	 (i)
	 	 in [2002] was in excess of
	  	$            	  	$            
	 (ii)
	 	 in [2003] was in excess of
	  	$            	  	$            
	 (iii)
	 	 in [2004] is expected to be in excess of
	  	$            	  	$            

 (b) The subscriber’s net worth, or joint net worth with the subscriber’s spouse, is in
excess of (including the value of home, home furnishings and automobiles): 
 $             
 (c) The current value of my liquid assets (cash,
marketable securities, cash surrender value of life insurance and other items easily convertible into cash) is sufficient to provide for my current needs and possible personal contingencies: 
 Yes   ̈    No   ̈ 

	13.	Based upon the foregoing, which of the following categories, if any, constitutes you as an Accredited Investor? 

 (Initial one) 
  

	 	 ̈	I have a net worth (including home, home furnishings and automobiles) either jointly or with spouse or individually in excess of $1,000,000. 

  

	 	 ̈	I have had an individual income (not including income of spouse) during the past two calendar years in excess of $200,000, or joint income with my spouse in excess of $300,000, and
I reasonably expect to have income in excess of $200,000 (or joint income with my spouse in excess of $300,000) during this current calendar year. 

  

	 	 ̈	Other (for entity investors, (i) has $5,000,000 or more of assets and was not formed for the specific purpose of making this investment or (ii) all beneficial owners meet
one of the above tests). 

  

	 	NOTE—	SECTION IV OF THE SUBSCRIPTION AGREEMENT MUST ALSO BE FILLED OUT IN A MANNER CONSISTENT WITH THE ABOVE 

  

	14.	I have previously participated in any of the following types of investment: 

  

							
	 	  	Yes	  	No
	 Stocks
	  	 ̈	 	  	 ̈	 
			
	 Bonds
	  	 ̈	 	  	 ̈	 
			
	 Real Estate Limited Partnerships
	  	 ̈	 	  	 ̈	 
			
	 Oil and Gas Limited Partnerships
	  	 ̈	 	  	 ̈	 
			
	 Other Tax Shelters
	  	 ̈	 	  	 ̈	 
			
	 Other Private Placements of Securities
	  	 ̈	 	  	 ̈	 

  

	15.	If subscriber is an individual, I consider myself to be an experienced and sophisticated investor; or, if subscriber is an entity (a partnership,
corporation, limited liability corporation, trust or estate), the entity considers itself to be an experienced and sophisticated investor. 

 Yes   ̈    No   ̈ 
  

	16.	If subscriber is an individual, I have such knowledge and experience in financial and business matters that I am capable of evaluating the risks and merits of this investment
and believe that I can afford the loss of my investment in the Company; or, if subscriber is an entity, the entity has such knowledge and experience in financial and business matters that it is capable of evaluating the risks
and merits of this investment and believes that it can afford the loss of its investment in the Company. 

 Yes   ̈    No   ̈ 

 [SIGNATURES SET FORTH ON THE FOLLOWING PAGE] 

 (NOTE: Signatures should conform with those used in Subscription Agreement.) 
  

	Dated:	                         ,
200   

  

					
	 If an INDIVIDUAL OR JOINT TENANCY or
 CO-TENANCY,
 complete the following:
	 		 	
			
	  
	 		 	  

	Print name of individual or joint or co-tenant	 		 	Print name of second joint or co-tenant (if any)
			
	  
	 		 	  

	Signature of individual or joint or co-tenant	 		 	Signature of second joint or co-tenant
			
	If a PARTNERSHIP, CORPORATION, LIMITED LIABILITY CORPORATION, TRUST OR OTHER ENTITY, complete the following:	 		 	If an INDIVIDUAL RETIREMENT ACCOUNT
			
	  
	 		 	  

	Capacity of authorized Signatory	 		 	Print name of Beneficiary
			
	  
	 		 	  

	Title of Entity	 		 	(Signature of Custodian)
			
	  
	 		 	Name of Broker Dealer Selling Interest:
	Signature of authorized Signatory	 		 	
			
		 		 	  

			
		 		 	  

		 		 	(Signature of Broker Dealer Representative)
			
		 		 	  

		 		 	Print Name of Representative

 Exhibit D 
 WARRANT AGREEMENT 
 THE SECURITIES EVIDENCED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF
1933, AS AMENDED, AND MAY NOT BE SOLD, TRANSFERRED OR ASSIGNED UNLESS THERE IS AN EFFECTIVE REGISTRATION STATEMENT UNDER SUCH ACT COVERING SUCH SECURITIES, THE SALE IS MADE IN ACCORDANCE WITH RULE 144 UNDER THE ACT, OR THE COMPANY RECEIVES AN
OPINION OF COUNSEL FOR THE HOLDER OF SUCH SECURITIES REASONABLY SATISFACTORY TO THE COMPANY STATING THAT SUCH SALE, TRANSFER, ASSIGNMENT OR HYPOTHECATION IS EXEMPT FROM THE REGISTRATION AND PROSPECTUS DELIVERY REQUIREMENTS OF SUCH ACT. 

 

			
	Date of Issuance: July 31, 2005	  	                    Number of Shares:
		  	                    (subject to adjustment)

 WARRANT TO PURCHASE STOCK 
 of 
 ALIEN TECHNOLOGY CORPORATION 
 (void after July 31, 2010) 
 1. Number of Shares Subject to Warrant.
ALIEN TECHNOLOGY CORPORATION (the “Company”), for value received, hereby certifies that AEI Holding Corporation, or its registered assigns (the “Registered Holder”), is entitled, subject to the terms set forth
below, to purchase from the Company the amount and kind of shares of the Company, at a purchase price per share, subject to adjustment as hereinafter provided, upon the occurrence of certain events, all as provided below. The shares purchasable upon
exercise of this Warrant, and the purchase price per share, each as adjusted from time to time pursuant to the provisions of this Warrant, are hereinafter referred to as the “Warrant Stock” and the “Warrant Price,”
respectively. This Warrant shall expire on the earliest of (i) 5:00 p.m., Pacific time, on July 31, 2010; (ii) the closing of the sale of the Company’s Common Stock pursuant to a registration statement filed by the Company
under the Securities Act of 1933, as amended (the “Securities Act”), in connection with the first underwritten offering of its securities to the general public (the “IPO”); or (iii) the effective date of a
Change of Control (the “Termination Date”). 
 2. Definitions. As used in this Warrant, the following terms
shall have the definitions ascribed to them below: 
 (a) The term “Change of Control” means (i) the acquisition of all
or substantially all of the assets of the Company by another entity or (ii) the acquisition of the Company by another entity by means of any transaction or series of related transactions (including, without limitation, any 

 
reorganization, merger or consolidation but excluding any sale of stock for capital raising purposes) that results in the voting securities of the Company
outstanding immediately prior thereto failing to represent immediately after such transaction or series of transactions (either by remaining outstanding or by being converted into voting securities of the surviving entity or the entity that controls
such surviving entity) a majority of the total voting power represented by the outstanding voting securities of the Company, such surviving entity or the entity that controls such surviving entity. 
 (b) The term “Warrant Price” means $5.00. 
 (c) The term “Warrant Stock” means the Company’s Series H Preferred Stock or other stock or securities received in respect of, or in exchange for, the Preferred Stock. 
 3. Exercise. 
 (a) Exercise
Procedure. This Warrant is exercisable immediately. This Warrant may be exercised by the Registered Holder, in whole or in part, by surrendering this Warrant, with the Notice of Exercise and the Investment Representation Statement in the forms
attached hereto as Attachments 1 and 2, respectively, as duly executed by such Registered Holder or by such Registered Holder’s duly authorized attorney, at the principal office of the Company, or at such other office or agency as
the Company may designate by notice to the Registered Holder, accompanied by payment of the Warrant Price payable in respect of the number of shares of Warrant Stock purchased upon such exercise. 
 (b) Effectiveness of Exercise. Each exercise of this Warrant shall be deemed to have been effected immediately prior to the close of business on
the day on which this Warrant shall have been surrendered to the Company as provided in Section 3(a) above. At such time, the person or persons in whose name or names any certificates for Warrant Stock shall be issuable upon such exercise as
provided in Section 3(d) below shall be deemed to have become the holder or holders of record of the Warrant Stock represented by such certificates. 
 (c) Net Issue Exercise. 
 (i) In lieu of exercising this Warrant in the manner provided above in
Section 3(a), the Registered Holder may elect to receive shares of Warrant Stock equal to the value of this Warrant (or the portion thereof being canceled) by surrender of this Warrant at the principal office of the Company together with a
Notice of Conversion in the form attached hereto as Attachment 3 in which event the Company shall issue to holder a number of shares of Warrant Stock computed using the following formula: 
  

					
	X	  	=	  	Y (A - B)
		  		  	      A
	Where X	  	=	  	The number of shares of Warrant Stock to be issued to the Registered Holder.

  

 -2- 

					
	Y	  	=	  	The number of shares of Warrant Stock purchasable under this Warrant or the portion thereof to be surrendered (at the date of such calculation).
			
	A	  	=	  	The fair market value of one share of Warrant Stock (at the date of such calculation).
			
	B	  	=	  	The Warrant Price (as adjusted to the date of such calculation).

 (ii) For purposes of this Section 3, the current fair market value of Warrant Stock, with
respect to each share of Warrant Stock, shall mean: 
 (1) If the exercise is in connection with the IPO, the current fair
market value shall be the “price to the public” of one share of Common Stock in the final prospectus. 
 (2) If the
exercise is in connection with a Change of Control, the current fair market value shall be the per share value received by the holders of the Common Stock pursuant to the Change of Control, and the exercise shall be effective upon the closing of the
Change of Control, subject to due, proper and prior surrender of this Warrant. 
 (3) Otherwise, the current fair market
value shall be the highest price per share which the Company could obtain from a willing buyer (not a current employee or director) for shares sold by the Company from authorized but unissued shares of Common Stock as determined in good faith by its
Board of Directors. 
 (d) Share Certificates. As soon as practicable after the exercise of this Warrant in full or in part, the
Company at its expense will cause to be issued in the name of, and delivered to, the Registered Holder, or as such Registered Holder (upon payment by such Registered Holder of any applicable transfer taxes) may direct: 
 (i) a certificate or certificates for the number of shares of Warrant Stock to which such Registered Holder shall be entitled, with the following
legends: 
 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 (THE “ACT”), AS AMENDED, OR
ANY APPLICABLE STATE SECURITIES LAWS (“BLUE SKY LAWS”). ANY TRANSFER OF SUCH SECURITIES WILL BE INVALID UNLESS A REGISTRATION STATEMENT UNDER THE ACT OR AS REQUIRED BY BLUE SKY LAWS IS IN EFFECT AS TO SUCH TRANSFER OR IN THE OPINION OF
COUNSEL SATISFACTORY TO THE COMPANY SUCH REGISTRATION IS UNNECESSARY IN ORDER FOR SUCH TRANSFER TO COMPLY WITH THE ACT OR BLUE SKY LAWS. 
  

 -3- 

 THE SHARES REPRESENTED BY THIS CERTIFICATE ARE SUBJECT TO A MARKET STAND-OFF AGREEMENT BETWEEN THE
COMPANY AND THE ORIGINAL STOCKHOLDER THAT PROHIBITS SALE OR TRANSFER OF SUCH SHARES FOR A PERIOD OF UP TO 180 DAYS FOLLOWING THE DATE OF THE FINAL PROSPECTUS FOR THE INITIAL PUBLIC OFFERING OF THE ISSUER’S COMMON STOCK. THIS AGREEMENT IS
BINDING UPON TRANSFEREES. A COPY OF THE AGREEMENT IS ON FILE WITH THE SECRETARY OF THE ISSUER. 
 Furthermore, the Company may place on each certificate any
legend required by any applicable state blue sky law; and 
 (ii) in case such exercise is in part only, a new warrant or warrants of like
tenor, calling in the aggregate on the face or faces thereof for the number of shares of Warrant Stock equal to the number of such shares called for on the face of this Warrant minus the number of such shares purchased by the Registered Holder upon
such exercise as provided in Section 3(a) above. 
 4. Adjustments and Notices. 
 (a) Subdivision, Stock Dividends or Combinations. In case the Company shall at any time subdivide the outstanding shares of the Warrant Stock or
shall issue a stock dividend with respect to the Warrant Stock, the Warrant Price in effect immediately prior to such subdivision or the issuance of such dividend shall be proportionately decreased, and in case the Company shall at any time combine
the outstanding shares of the Warrant Stock, the Warrant Price in effect immediately prior to such combination shall be proportionately increased, effective at the close of business on the date of such subdivision, dividend or combination, as the
case may be. When any adjustment is required to be made to the Warrant Price, the number of shares of Warrant Stock purchasable upon the exercise of this Warrant shall be changed to the number determined by dividing (i) an amount equal to the
number of shares issuable upon the exercise of this Warrant immediately prior to such adjustment multiplied by the Warrant Price in effect immediately prior to such adjustment by (ii) the Warrant Price in effect immediately after such
adjustment. 
 (b) Reclassification, Exchange, Substitution, In-Kind Distribution. Except with respect to a Change of Control, any
reclassifications, exchange, substitution, or other event that results in a change of the number and/or class of the securities issuable upon exercise or conversion of this Warrant or upon the payment of a dividend in securities or property other
than Warrant Stock, the Registered Holder shall be entitled to receive, upon exercise or conversion of this Warrant, the number and kind of securities and property that the Registered Holder would have received for the Warrant Stock if this Warrant
had been exercised immediately before the record date for such reclassification, exchange, substitution, or other event or immediately prior to the record date for such dividend. The Company or its successor shall promptly issue to the Registered
Holder a new warrant for such new securities or other property. The new warrant shall provide for adjustments which shall be as nearly equivalent as may be practicable to the adjustments provided for in this Section 4 including, without
limitation, adjustments to the Warrant Price and to the number of securities or property issuable upon exercise of the new warrant. The provisions of this Section 4(b) shall similarly apply to successive reclassifications, exchanges,
substitutions, or other events and successive dividends. 
  

 -4- 

 (c) No Impairment. The Company shall not, by amendment of its Certificate of Incorporation, as
amended from time to time (the “Certificate”), or through a reorganization, transfer of assets, consolidation, merger, dissolution, issue, or sale of securities or any other voluntary action, avoid or seek to avoid the observance or
performance of any of the terms to be observed or performed under this Warrant by the Company, but shall at all times in good faith assist in carrying out of all the provisions of this Section 4 and in taking all such action as may be necessary
or appropriate to protect the Registered Holder’s rights under this Section 4 against impairment. 
 (d) Notice. Upon any
adjustment of the Warrant Price and any increase or decrease in the number of shares of the Warrant Stock purchasable upon the exercise or conversion of this Warrant, then, and in each such case, the Company, as promptly as practicable thereafter,
shall give written notice thereof to the Registered Holder of this Warrant at the address of such Registered Holder as shown on the books of the Company, which notice shall state the Warrant Price as adjusted and the increased or decreased number of
shares purchasable upon the exercise or conversion of this Warrant, setting forth in reasonable detail the method of calculation of each. The Company further agrees to notify the Registered Holder of this Warrant in writing of a Change of Control at
least ten (10) days prior to the effective date thereof. The Company also agrees to notify the Registered Holder of this Warrant in writing of the IPO at least ten (10) days prior to the effective date thereof. 
 5. No Stockholder Rights. This Warrant, by itself, as distinguished from any Warrant Stock purchased hereunder, shall not entitle the
Registered Holder to any of the rights of a stockholder of the Company. 
 6. Transfer of Warrant. This Warrant may be
transferred or assigned by the Registered Holder hereof in whole or in part, provided that (i) the transferor provides, at the Company’s request, an opinion of counsel satisfactory to the Company that such transfer does not require
registration under the Securities Act and the securities law applicable with respect to any other applicable jurisdiction, (ii) the transferee agrees to execute all documents necessary to be bound by the terms of this Warrant and (iii) the
Company, in its sole discretion, consents to such assignment or transfer. Notwithstanding the foregoing, this Warrant may be transferred by a Registered Holder which is a partnership to a limited or general partner of such partnership if
(i) the transferee agrees in writing to be subject to the terms of this Warrant; (ii) the Registered Holder delivers written notice of such transfer to the Company and (iii) there are no more than five (5) transferees.

 7. Registration Rights. The Registered Holder, with respect to the Warrant Stock issuable upon exercise of this Warrant,
shall be entitled to certain registration rights upon entering into the Eighth Amended and Restated Registration Rights Agreement dated on or about June 2005, as amended, by and among the Company and the persons and entities listed on Exhibit A
and Exhibit B thereto, and upon the terms and obligations set forth in such agreement. 
  

 -5- 

 8. Market Stand-off Agreement. The Registered Holder agrees in connection with the IPO
that, upon request of the Company or the underwriters managing the IPO, not to sell, make any short sale of, loan, grant any option for the purchase of, pledge, hypothecate, limit such Registered Holder’s market risk regarding or otherwise
directly or indirectly dispose of any Warrant Stock or other capital stock of the Company or securities exchangeable or convertible into capital stock of the Company without the prior written consent of the Company or such underwriters, as the case
may be, for such period of time (not to exceed one hundred eighty (180) days from the date of the final prospectus used in such registration) as may be requested by the Company or such managing underwriters; provided, that the officers and
directors of the Company who own stock or options of the Company also agree to such restrictions. The Registered Holder agrees to provide to such underwriters further agreements as such underwriters may reasonably request in connection with this
market stand-off agreement, provided that the terms of such agreements are substantially consistent with this Section 8. 
 9.
Reservation of Stock. The Company will at all times reserve and keep available, solely for the issuance and delivery upon the exercise of this Warrant, such shares of Warrant Stock as shall be issuable upon the exercise of this
Warrant. 
 10. Replacement of Warrants. Upon receipt of evidence reasonably satisfactory to the Company of the loss,
theft, destruction or mutilation of this Warrant and (in the case of loss, theft or destruction) upon delivery of an indemnity agreement (with surety if reasonably required) in an amount reasonably satisfactory to the Company, or (in the case of
mutilation) upon surrender and cancellation of this Warrant, the Company will issue, in lieu thereof, a new warrant of like tenor. 
 11.
Mailing of Notices. Any notice required or permitted pursuant to this Warrant shall be in writing and shall be deemed sufficient when delivered personally or sent by telegram or fax or forty-eight (48) hours after being
deposited in the U.S. mail, as certified or registered mail, with postage prepaid, addressed (a) if to the Registered Holder, to the address of the Registered Holder most recently furnished in writing to the Company and (b) if to the
Company, to the address set forth below or subsequently modified by written notice to the Registered Holder. 
 12. No Fractional
Shares. No fractional shares of Warrant Stock will be issued in connection with any exercise hereunder. In lieu of any fractional shares which would otherwise be issuable, the Company shall pay cash equal to the product of such fraction
multiplied by the fair market value of one share of Warrant Stock on the date of exercise, as determined in the same manner as described in Section 3(c)(ii). 
 13. Representations and Covenants of the Registered Holder. This Warrant has been entered into by the Company in reliance upon the following representations and covenants of the Registered Holder.

 (a) Investment Purpose. The right to acquire Warrant Stock contained herein will be acquired for investment and not with a view to
the sale or distribution of any part thereof, and the Registered Holder has no present intention of selling or engaging in any public distribution of the same except pursuant to a registration or exemption from registration. 
  

 -6- 

 (b) Private Issue. The Registered Holder understands (i) that the Warrant Stock issuable upon
exercise of this Warrant is not registered under the Securities Act or qualified under applicable state securities laws on the ground that the issuance contemplated by this Warrant will be exempt from the registration and qualifications requirements
thereof, and (ii) that the Company’s reliance on such exemption is predicated on the representations set forth in this Section 13. 
 (c) Financial Risk. The Registered Holder has such knowledge and experience in financial and business matters as to be capable of evaluating the merits and risks of its investment, and has the ability to bear the economic risks of
its investment. 
 (d) Risk of No Registration. The Registered Holder understands that if the Company does not register with the
Securities and Exchange Commission pursuant to Section 12 of the Securities and Exchange Act of 1934, as amended (the “1934 Act”), or file reports pursuant to Section 15(d), of the 1934 Act, or if a registration statement
covering the securities under the Securities Act is not in effect when the Registered Holder desires to sell (i) the rights to purchase Warrant Stock pursuant to this Warrant or (ii) the Warrant Stock issuable upon exercise of the right to
purchase, it may be required to hold such securities for an indefinite period. The Registered Holder also understands that any sale of its rights to purchase Warrant Stock which might be made by it in reliance upon Rule 144 under the
Securities Act may be made only in accordance with the terms and conditions of that Rule. 
 (e) Accredited Investor. Registered
Holder is an “accredited investor” within the meaning of Rule 501 under the Securities Act, as presently in effect. 
 14.
Amendment or Waiver. Any term of this Warrant may be amended or waived only by an instrument in writing signed by the party against which enforcement of the amendment or waiver is sought. 
 15. Headings. The headings in this Warrant are for purposes of reference only and shall not limit or otherwise affect the meaning of any
provision of this Warrant. 
 16. Governing Law. This Warrant shall be governed, construed and interpreted in accordance with
the laws of the State of California, without giving effect to principles of conflicts of law. In case any provision of this Warrant shall be invalid, illegal, or unenforceable, the validity, legality and enforceability of the remaining provisions of
this Warrant shall not in any way be affected thereby. 
 17. Severability. If any provision of this Warrant is held to be
unenforceable under applicable law, such provision shall be excluded from this Warrant, and the balance hereof shall be interpreted as if such provision were so excluded. 
 18. Successors and Assigns. Except as otherwise expressly provided herein, the provisions hereof shall inure to the benefit of, and be binding upon, the successors, assigns, heirs, executors and
administrators of the parties hereto. 
 19. Delay and Omissions. No delay or forbearance by any party to this Warrant in
exercising or enforcing its rights under this Warrant shall be deemed to constitute a waiver or release 

  

 -7- 

 
of any rights of such party, and no inference shall be made that any party has waived or released any rights as a result of such party’s delay or
forbearance in exercising or enforcing its rights under this Warrant. 
 20. Counterparts. This Warrant may be executed in any
number of counterparts, each of which shall be an original, but all of which together shall be deemed to constitute one instrument. 
 21.
Entire Agreement. Except as otherwise set forth herein, this Warrant constitutes the full and entire and agreement between the parties with regard to the subject matter hereof. 
 [This space intentionally left blank] 
  

 -8- 

 IN WITNESS WHEREOF, this Warrant to Purchase Stock was executed as of this
    day of                     . 
  

							
		  		  	ALIEN TECHNOLOGY CORPORATION
				
		  		  	By:	  	  

		  		  	Print Name:	  	  

		  		  	Title:	  	  

				
		  		  	Address:	  	 18220 Butterfield Blvd.
 Morgan Hill, CA
95037

			
	Acknowledged and Agreed:	  		  	
			
	AEI HOLDING CORPORATION	  		  	
				
	By:	  	  
	  		  	
	Name:	  	  
	  		  	
	Title:	  	  
	  		  	
				
	Address:	  	311 S. Wacker, Suite 1650	  		  	
		  	Chicago, IL 60606	  		  	

  

 -1- 

 Attachment 1 
 NOTICE OF EXERCISE 
  

	TO:	ALIEN TECHNOLOGY CORPORATION 

 1. The undersigned hereby
elects to purchase              shares of the Warrant Stock of Alien Technology Corporation pursuant to the terms of the attached Warrant, and tenders herewith payment of the
purchase price in full, together with all applicable transfer taxes, if any. 
 2. Please issue a certificate or certificates representing
said shares of Warrant Stock in the name of the undersigned or in such other name as is specified below: 
  

	
	  

	(Name)
	
	  

	(Address)

  

					
	  
	 	  

	(Date)	 	(Name of Warrant Holder)
			
		 	By:	 	  

		 	Title:	 	  

  

 -2- 

 Attachment 2 
 INVESTMENT REPRESENTATION STATEMENT 
 Warrant Stock (as defined in the attached Warrant) 
 of 
 ALIEN TECHNOLOGY CORPORATION 
 In connection with the purchase of the above-listed securities, the undersigned hereby represents to the Company as follows: 
 (a) The securities to be received upon the exercise of the Warrant (the “Securities”) will be acquired for investment for its own
account, not as a nominee or agent, and not with a view to the sale or distribution of any part thereof, and the undersigned has no present intention of selling, granting participation in or otherwise distributing the same, but subject,
nevertheless, to any requirement of law that the disposition of its property shall at all times be within its control. By executing this Statement, the undersigned further represents that it does not have any contract, undertaking, agreement or
arrangement with any person to sell, transfer, or grant participations to such person or to any third person, with respect to any Securities issuable upon exercise of the Warrant. 
 (b) The undersigned understands that the Securities issuable upon exercise of the Warrant at the time of issuance may not be registered under the
Securities Act of 1933, as amended (the “Act”), and applicable state securities laws, on the ground that the issuance of such securities is exempt pursuant to Section 4(2) of the Act and state law exemptions relating to offers
and sales not by means of a public offering, and that the Company’s reliance on such exemptions is predicated on the undersigned’s representations set forth herein. 
 (c) Except for a transfer by the undersigned, in the event the undersigned is a partnership, to a limited or general partner of such partnership, the
undersigned agrees that in no event will it make a disposition of any Securities acquired upon the exercise of the Warrant unless and until (i) it shall have notified the Company of the proposed disposition and shall have furnished the Company
with a statement of the circumstances surrounding the proposed disposition, and (ii) it shall have furnished the Company with an opinion of counsel satisfactory to the Company and Company’s counsel to the effect that (A) appropriate
action necessary for compliance with the Act and any applicable state securities laws has been taken or an exemption from the registration requirements of the Act and such laws is available, and (B) the proposed transfer will not violate any of
said laws. 
 (d) The undersigned acknowledges that an investment in the Company is highly speculative and represents that it is able to fend
for itself in the transactions contemplated by this Statement, has such knowledge and experience in financial and business matters as to be capable of evaluating the merits and risks of its investments, and has the ability to bear the economic risks
(including the risk of a total loss) of its investment. The undersigned represents that it has had the opportunity to ask questions of the Company concerning the Company’s business and assets and to obtain any additional information which it
considered necessary to verify the accuracy of or to amplify the Company’s disclosures, and has had all questions which have been asked by it satisfactorily answered by the Company. 
  

 -3- 

 (e) The undersigned acknowledges that the Securities issuable upon exercise of the Warrant must be held
indefinitely unless subsequently registered under the Act or an exemption from such registration is available. The undersigned is aware of the provisions of Rule 144 promulgated under the Act which permit limited resale of shares purchased in a
private placement subject to the satisfaction of certain conditions, including, among other things, the existence of a public market for the shares, the availability of certain current public information about the Company, the resale occurring not
less than one year after a party has purchased and paid for the security to be sold, the sale being through a “broker’s transaction” or in transactions directly with a “market makers” (as provided by Rule 144(f)) and
the number of shares being sold during any three-month period not exceeding specified limitations. 
 Dated:
                         
  

			
	  

	(Typed or Printed Name)
		
	By:	 	  

		 	(Signature)
	
	  

	(Title)

  

 -4- 

 Attachment 3 
 NOTICE OF CONVERSION 
  

	TO:	ALIEN TECHNOLOGY CORPORATION 

 1. The undersigned hereby
elects to acquire              shares of the Warrant Stock of Alien Technology Corporation pursuant to the terms of the attached Warrant, by conversion of
     percent (    %) of the Warrant. 
 2. Please issue a certificate or
certificates representing said shares of Securities in the name of the undersigned or in such other name as is specified below: 
  

	
	  

	(Name)
	
	  

	(Address)

  

	Dated:	                         

  

			
	  

	(Typed or Printed Name)
		
	By:	 	  

		 	(Signature)
	
	  

	(Title)

  

 -5-Form of Stock Option Agreement

 Exhibit 10.5.1 
 Form of Stock Option Agreement under Amended and Restated Stock Option/Stock Issuance Plan 
 Coldwater Creek Inc.

 Notice of Grant of Incentive Stock Option 
 Notice is hereby given of the following option grant (the “Option”) to purchase shares of the Common Stock of Coldwater Creek Inc. (the
“Corporation”): 
  

			
	Optionee: «FirstName» «LastName»
	
	Grant Date: «GrantDate»
	
	Vesting Commencement Date: «VestingCommDate»
	
	Exercise Price: «ExercisePrice»
	
	Number of Option Shares: «NumberOptionShares»
	
	Expiration Date: «ExpDate»
		
	Type of Option:	  	x Incentive Stock Option
		  	 ̈ Non-Statutory Stock Option

 You understand and agree that the Option is granted subject to and in accordance with the terms of
the Coldwater Creek Inc. Amended and Restated Stock Option/Stock Issuance Plan (the “Plan”) and the attached Stock Option Agreement. You further agree to be bound by the terms of the Plan and the terms of the Option as set forth in
the attached Incentive Stock Option Agreement. 
 Date: «Date» 
  

			
	Coldwater Creek Inc.
		
	By:	 	  

	Title:	 	Chairman/CEO
	
	OPTIONEE
	Address:	 	  

		 	  

 This is not a stock certificate or a negotiable instrument. 
  

 1 

 COLDWATER CREEK INC. 
 AMENDED AND RESTATED STOCK OPTION/STOCK ISSUANCE PLAN 
 INCENTIVE STOCK OPTION AGREEMENT

  

			
	Incentive Stock Option	  	This Option is intended to be an incentive stock option under Section 422 of the Internal Revenue Code and will be interpreted accordingly. If you cease to be an employee of the Corporation or a
subsidiary but continue to provide Service, this Option will be deemed a non-statutory stock option three months after you cease to be an employee. In addition, to the extent that all or part of this Option exceeds the $100,000 rule of section
422(d) of the Internal Revenue Code, this Option or the lesser excess part will be deemed to be a non-statutory stock option.
		
	Vesting	  	This Option is only exercisable before it expires and only with respect to the vested portion of the Option. Subject to the preceding sentence, you may exercise this Option, in whole or in part,
to purchase a whole number of vested shares not less than 100 shares, unless the number of shares purchased is the total number available for purchase under the Option, by following the procedures set forth in the Plan and below in this
Agreement.
		
		  	[To be determined.]
		
	[ALT: Reduction in Option Shares Upon Change in Status	  	The Number of Option Shares specified in this Notice is at a level which the Plan Administrator considered commensurate with Optionee’s position and compensation with the Corporation as of
the Grant Date of the Option. In the event that Optionee’s position with the Corporation is changed for any reason to a position of less responsibility and compensation (the “Change in Status”), the Plan Administrator may, in its sole
discretion, reduce the number of Option Shares that are subject to the Option but have not yet become exercisable in accordance with the Exercise Schedule, effective as of the time of the Change in Status. In such event, the Option shall remain
outstanding with respect to such lesser number of Option Shares, and shall continue to be governed by the terms of the Option as evidenced by the attached Stock Option Agreement. The Exercise Schedule shall remain in place, provided, however, that
each installment of the Option Shares scheduled to become exercisable after the effective date of the Change in Status shall be reduced proportionately to reflect the new reduced number of Option Shares subject to the Option. Optionee shall be
notified of the reduction in the aggregate number of Option Shares and the reduced number of Option Shares which shall become exercisable pursuant to each installment under the Exercise Schedule. Immediately upon the Change in Status, Optionee shall
lose all rights and entitlement with respect to the number of Option Shares by which the Option is reduced.
		
	Term	  	Your Option will expire at the close of business at Company headquarters on the day before the      anniversary of the Grant Date, as shown on the cover sheet. Your
Option will expire earlier if your Service terminates, as described below.
		
	Regular Termination	  	If your Service terminates for any reason, other than death, Disability or Misconduct, then your Option will expire at the close of business at Company headquarters three months after your
termination date.
		
	Termination for Misconduct	  	If your Service is terminated for Misconduct, then you shall immediately forfeit all rights to your Option and the Option shall immediately expire.
		
	Death	  	If your Service terminates because of your death, then your Option will expire at the close of business at Company headquarters on the date 12 months after the date of death. During that
12-month period, your estate or heirs may exercise the vested portion of your Option.
		
		  	In addition, if you die during the three-month period described in connection with a regular termination (i.e., a termination of your Service not on account of

  

 2 

			
		  	your death, Disability or Misconduct), and a vested portion of your Option has not yet been exercised, then your Option will instead expire on the date 12 months after your termination date. In
such a case, during the period following your death up to the date 12 months after your termination date, your estate or heirs may exercise the vested portion of your Option.
		
	Disability	  	If your Service terminates because of your Disability, then your Option will expire at the close of business at Company headquarters on the date 12 months after your termination
date.
		
	Leaves of Absence	  	For purposes of this Option, your Service does not terminate when you go on a bona fide employee leave of absence that was approved by the Corporation in writing, if the terms of the
leave provide for continued Service crediting, or when continued Service crediting is required by applicable law. However, your Service will be treated as terminating 90 days after you went on employee leave, unless your right to return to active
work is guaranteed by law or by a contract. Your Service terminates in any event when the approved leave ends unless you immediately return to active employee work.
		
		  	The Corporation determines, in its sole discretion, which leaves count for this purpose, and when your Service terminates for all purposes under the Plan.
		
	 Corporate Transaction or Change in Control
 Exercise
	  	[To be determined.]
	  	  
 When you wish to exercise this Option, you may do so through the
Corporation’s e*trade account with the user name and password supplied to you by the Corporation. You can access this account on the e*trade website at www.etrade.com. If someone else wants to exercise this Option after your death, that person
must prove to the Corporation’s satisfaction that he or she is entitled to do so.
 Your right to exercise this Option, and to transfer or sell shares of
Common Stock acquired upon any such exercise, may be subject to additional conditions or requirements under the Corporation’s Insider Trading Policy.

		
	Form of Payment	  	When you exercise this Option, you must include payment of the exercise price for the shares you are purchasing. Payment may be made in one (or a combination) of the following
forms:
		
		  	 •      Cash, your personal check, a cashier’s check, a money order or another cash equivalent
acceptable to the Corporation.

		
		  	 •      Surrender of shares of Common Stock which have been owned by you for more than six months and
which have a Fair Market Value, determined as of the Exercise Date, equal to the exercise price.

		
		  	 •      If approved in advance by the Plan Administrator if you are either an executive officer or a
director of the Corporation, by delivery on a form prescribed by the Corporation of an irrevocable direction (i) to a licensed securities broker acceptable to the Corporation to sell Common Stock and to deliver all or part of the sale proceeds to
the Corporation in payment of the aggregate exercise price and all applicable federal, state and local income and employment taxes, and (ii) to the Corporation to deliver the certificates for the purchased shares directly to such broker in order to
complete the sale transaction.

		
	Withholding Taxes	  	You will not be allowed to exercise this Option unless you make acceptable arrangements to pay any withholding or other taxes that may be due as a result of the Option exercise or sale of Common
Stock acquired under this Option. In the event that the Corporation determines that any federal, state, local or foreign tax or withholding payment is required relating to the exercise or sale of shares arising from this grant, the Corporation shall
have the right to require such payments from you, or withhold such amounts from other payments due to you from the Corporation or any Parent or Subsidiary.
		
	Transfer of Option	  	During your lifetime, only you (or, in the event of your legal incapacity or incompetency, your guardian or legal representative) may exercise the Option.

  

 3 

			
		  	You cannot transfer or assign this Option. For instance, you may not sell this Option or use it as security for a loan. If you attempt to do any of these things, this Option will immediately
become invalid. You may, however, dispose of this Option in your will or it may be transferred upon your death by the laws of descent and distribution.
		
		  	Regardless of any marital property settlement agreement, the Corporation is not obligated to honor a notice of exercise from your spouse, nor is the Corporation obligated to recognize your
spouse’s interest in your Option in any other way.
		
	No Employment or Service Contract	  	Neither your Option nor this Agreement give you the right to be retained by the Corporation (or any Parent or Subsidiaries) in any capacity or for any period of time. The Corporation (and any
Parent or Subsidiaries) reserve the right to terminate your Service at any time and for any reason.
		
	Shareholder Rights	  	You, or your estate or heirs, have no rights as a shareholder of the Corporation until a certificate for your Option’s shares has been issued (or an appropriate book entry has been made).
No adjustments are made for dividends or other rights if the applicable record date occurs before your stock certificate is issued (or an appropriate book entry has been made), except as described in the Plan.
		
	Adjustments	  	In the event of a stock split, a stock dividend or a similar change in the Common Stock, the number of shares covered by this Option and the exercise price per share shall be adjusted (and
rounded down to the nearest whole number) if required pursuant to the Plan. Your Option shall be subject to the terms of any agreement relating to a Corporate Transaction or Change in Control of the Corporation.
		
	Applicable Law	  	This Agreement will be interpreted and enforced under the laws of the State of Idaho, other than any conflicts or choice of law rule or principle that might otherwise refer construction or
interpretation of this Agreement to the substantive law of another jurisdiction.
		
	The Plan	  	The text of the Plan is incorporated in this Agreement by reference. Capitalized terms used but not defined in this Agreement are defined in the Plan, and have the meaning set forth in the Plan.
The terms and provisions of the Plan will control in the event any provision of this Agreement or the attached cover sheet is inconsistent.
		
		  	This Agreement, the attached cover sheet and the Plan constitute the entire understanding between you and the Corporation regarding this Option. Any prior agreements, commitments or
negotiations concerning this Option are superseded.
		
	Consent to Electronic Delivery	  	The Corporation may choose to deliver certain statutory materials relating to the Plan in electronic form. By accepting this Option grant you agree that the Corporation may deliver the Plan
prospectus and the Corporation’s annual report and proxy statement to you in an electronic format. If at any time you would prefer to receive paper copies of these documents, as you are entitled to, the Corporation would be pleased to provide
copies. Please contact the Human Resources department to request paper copies of these documents.
		
	Notice of Dispositions Within One Year of Exercise	  	If you sell or otherwise dispose of Common Stock acquired pursuant to the exercise of this Option sooner than the one year anniversary of the date you acquired the Common Stock, then you agree
to notify the Corporation in writing of the date of sale or disposition, the number of shares of Common Stock sold or disposed of and the sale price per share within 30 days of such sale or disposition.

 By signing the cover sheet of this Agreement, you agree to all of the terms and conditions described above and in
the Plan. 
  

 4

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00101-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00101-of-00352.parquet"}]]