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EXHIBIT 10.1  

 
  TRANSITION SERVICES AGREEMENT    
  

    THIS TRANSITION SERVICES AGREEMENT (the "Agreement") by and between Optio Software, Inc. ("Company"),
and C. Wayne Cape ("You" or "Your")(collectively referred to as the "Parties"), is entered into and effective as of the 1st of August, 2001 (the "Effective Date").1 

    WHEREAS,
prior to the Effective Date You served as the Chief Executive Officer and Chairman of the Board of Directors of the Company; 

    WHEREAS,
you have resigned as Chief Executive Officer and the Company desires to continue to employ You as an employee to provide consulting and transition services to the Company,
and You desire to accept said continued employment; and 

    WHEREAS,
the Company and You have agreed upon the terms and conditions of Your continued employment with the Company and the Parties desire to express the terms and conditions in this
Agreement. 

    NOW,
THEREFORE, in consideration of the mutual covenants and agreements set forth herein, it is agreed: 

    1.
Employment and Duties. 

        A.  Company
shall continue to employ You as an employee of the Company to provide consulting and transition services at the request and direction of the Board of
Directors of the Company (the "Board"), in accordance with the terms and conditions set forth in this Agreement. You accept employment on the terms set forth herein. You shall report to the Board. 

        B.  You
shall perform such services as set forth on Exhibit B ("Services") and as may otherwise be agreed to by
You and the Board from time to time. 

    2.
Compensation. 

        A.  Base Salary. During the term of this Agreement, Company shall pay to You a base salary of $25,000.00 per month
("Base Salary"), subject to all applicable withholdings. Your Base Salary shall be paid to You in accordance with the Company's normal payroll practices. 

        B.  Executive Benefits. You shall be entitled to participate in all benefit plans as shall be in effect for all
executive level personnel or applicable generally to employees of the Company from time to time, subject to the terms and conditions of such plans and programs. 

        C.  Modification of Stock Options. You and the Company acknowledge that you hold the following stock options (adjusted
for splits prior to the date hereof) (i) an option to purchase 500,000 shares at an exercise price of $0.02 per share granted in 1989 (the "1989 Option"); (ii) an option to purchase
500,000 shares at an exercise price of $0.05 granted in 1993 (the "1993 Option"); (iii) an option to purchase 1,000,000 shares at an exercise price of $0.80 per share which is fully vested (the
"Vested 1998 Option"); and (iv) an option to purchase 1,000,000 shares at an exercise price of $0.80 per share which is vested as to 750,000 shares (the "Partially Vested 1998 Option"). The
Company by this Agreement hereby amends the Vested 1998 Option and the Partially Vested 1998 Option to extend the date for termination of such options, as set forth in Section 3 thereof, to the
date two (2) years from the last day of the Term of this Agreement. 

	1
	1   Unless
 otherwise indicated, all capitalized terms used in this Agreement are defined in the "Definitions" section attached as Exhibit A.
Exhibit A is incorporated by reference and is included in the Definition of "Agreement." 

 

    3. Term and Termination. The term of this Agreement shall be for the period beginning on the
Effective Date and ending on July 31, 2003 (the "Term"). Upon expiration of the Term, this Agreement and Your
employment with the Company will terminate. This Agreement and Your employment may be terminated prior to expiration of the Term upon the occurrence of any of the following events: 

        A.  Your
death; 

        B.  Mutual
written agreement between You and the Company at any time; 

        C.  Your
written notice to the Board, of your termination of this Agreement; or 

        D.  Your
receipt of notice from the Board of Directors of Your termination For Cause, based upon: (i) Your breach
of Your obligations under Sections 6, 7 or 8 of this Agreement or (ii) any act or omission by You which constitutes fraud, dishonesty, malfeasance, negligence or misconduct and
is, or is likely to be, injurious to the Company or the business reputation of the Company. 

    4.  Post Termination Payment Obligations. 

        A.  If
this Agreement terminates for any of the reasons stated in sub-sections B, C, or D of Section 3 of this Agreement  and Section 4C below does not apply, then You shall be entitled to
receive Your Base Salary through the termination date and thereafter the
Company shall have no further obligations under this Agreement, but You shall continue to be bound by all post-termination obligations to which You are subject, including, but not limited
to, the obligations contained in this Agreement. 

        B.  If
this Agreement terminates for the reason stated in sub-section A of Section 3, then (i) the Company shall continue to pay to
your heirs an amount equal to Your Base Salary in effect as of the date of termination through the end of the Term (the "Separation Payment"), payable as and when payments would have been made to you
under Section 2A above, (ii) the Company shall reimburse Your eligible dependents' COBRA premiums under the Company's major medical group health plan on a monthly basis through the
earlier of (x) the expiration of eighteen (18) months following Your death or (y) the end of the Term (the "COBRA Period") and (iii) if the COBRA Period ends before the end
of the Term, then the Company shall procure individual medical and dental insurance policies for Your dependents on substantially similar terms as the coverage provided by the Company as of the date
of your death under the Company's group health and dental insurance plan(s) for the balance of the Term following the expiration of the COBRA Period. The payments set forth in the preceding
sub-clauses (i) and (ii) shall constitute full satisfaction of the Company's obligations under this Agreement. 

        C.  Upon
a Change in Control prior to expiration of the Term, at its option and in its sole discretion, the Company may pay You a lump sum payment equal to the amount
of Base Salary You would have received through the end of the Term, which shall fully satisfy the Company's obligations pursuant to
Section 2A above. Such lump sum payment shall not discharge any of the Company's other obligations to You hereunder unless, after a Change in Control, You elect to terminate this Agreement
prior to the end of the Term, upon which the Company shall reimburse You and Your eligible dependents' COBRA premiums under the Company's major medical group health plan on a monthly basis through the
earlier of (x) the expiration of eighteen (18) months following termination of this Agreement or (y) the end of the Term (the "COBRA Period") and if the COBRA Period ends before
the end of the Term, then the Company shall procure individual medical and dental insurance policies for You and Your dependents on substantially similar terms as the coverage provided by the Company
as of the date of termination of this Agreement under the Company's group health and dental insurance plan(s) for the balance of the Term following the expiration of the COBRA Period. Should the
Company elect not to make a lump sum payment on a Change of Control, You shall continue to receive the Base Salary and benefits described herein through the end of the Term. 

27

 

        D.  If this Agreement terminates prior to expiration of the Term for any reason other than as described in Section 4A above, then Your right to any separation
payments or other compensation or remuneration hereunder is not conditioned upon any obligation to mitigate any loss of income. 

    5.
Set-Off. If You have any outstanding obligations to the Company at the time this Agreement terminates for any reason,
You acknowledge that the Company is authorized to deduct any amounts owed to the Company from Your final paycheck and/or from any amounts that would otherwise be due to You under Section 4B
above. 

    6.
Restrictive Covenants. You acknowledge that the restrictions contained in this Section 6 are reasonable and necessary to
protect the legitimate business interests of the Company, and will not impair or infringe upon Your right to work or earn a living after Your employment with the Company ends. 

        A.  Trade Secrets and Confidential Information. You represent and warrant that: (i) You are not subject to any
agreement that would prevent You from performing Your duties for the Company or otherwise complying with this Agreement, and (ii) You are not subject to or in breach of any
non-disclosure agreement, including any agreement concerning trade secrets or confidential information owned by any other party. 

        You
agree that You will not: (i) use, disclose, or reverse engineer the Trade Secrets or the Confidential Information, except as authorized by the Company;
(ii) during Your employment with the Company, use, disclose, or reverse engineer (a) any confidential information or trade secrets of any former employer or third party, or
(b) any works of authorship developed in whole or in part by You during any former employment or for any other party, unless authorized in writing by the former employer or third party; or
(iii) upon Your resignation or termination (a) retain Trade Secrets or Confidential Information, including any copies existing in any form (including electronic form), which are in Your
possession or control, or (b) destroy, delete, or alter the Trade Secrets or Confidential Information without the Company's consent. 

        The
obligations under this Section 6A shall: (i) with regard to the Trade Secrets, remain in effect as long as the information constitutes a trade
secret under applicable law, and (ii) with regard to the Confidential Information, remain in effect during the Restricted Period. 

        The
confidentiality, property, and proprietary rights protections available in this Agreement are in addition to, and not exclusive of, any and all other rights to
which the Company is entitled under federal and state law, including, but not limited to, rights provided under copyright laws, trade secret and confidential information laws, and laws concerning
fiduciary duties. 

        B.  Non-Solicitation of Customers. During the Restricted Period, You will not solicit any Customer of the
Company for the purpose of providing any goods or services competitive with the Business. The restrictions set forth in this Section 6B apply only to the Customers with whom You had Contact. 

        C.  Non-Recruit of Employees. During the Restricted Period, You will not, directly or indirectly, solicit,
recruit or induce any Employee to (a) terminate his or her employment relationship with the Company or (b) work for any other person or entity engaged in the Business. 

        D.  Non-Competition. During the Restricted Period, You will not, on Your own behalf or on behalf of any
person or entity engaged in the Business, engage in or perform within the Territory any of the activities which you performed, or which are substantially similar to those which you performed, as Chief
Executive Officer, President and Chairman of the Board of the Company. Nothing in this Agreement shall be construed to prohibit You from performing activities which You did not perform for the
Company. 

28

 

    7. Work Product. Your employment duties may include inventing in areas directly or indirectly related to the business of the Company or
to a line of business that the Company may reasonably be interested in pursuing. All Work Product shall constitute work made for hire. If (i) any of the Work Product may not be considered work
made for hire, or (ii) ownership of all right, title, and interest to the legal rights in and to the Work Product will not vest exclusively in the Company, then, without further consideration,
You assign all presently-existing Work Product to the Company, and agree to assign, and automatically assign, all future Work Product to the Company. 

    The
Company will have the right to obtain and hold in its own name copyrights, patents, design registrations, proprietary database rights, trademarks, rights of publicity, and any
other protection available in the Work Product. At the Company's request, You agree to perform, during or after Your employment with the Company, any acts to transfer, perfect and defend the Company's
ownership of the Work Product, including, but not limited to: (i) executing all documents (including a formal assignment to the Company) necessary for filing an application or registration for
protection of the Work Product (an "Application"), (ii) explaining the nature of the Work Product to persons designated by the Company, (iii) reviewing Applications and other related
papers, or (iv) providing any other assistance reasonably required for the orderly prosecution of Applications. 

    You
agree to provide the Company with a written description of any Work Product in which You are involved (solely or jointly with others) and the circumstances surrounding the
creation of such Work Product. 

    8.
License. You grant to the Company an irrevocable, nonexclusive, worldwide, royalty-free license to: (i) make,
use, sell, copy, perform, display, distribute, or otherwise utilize copies of the Licensed Materials, (ii) prepare, use and distribute derivative works based upon the Licensed Materials, and
(iii) authorize others to do the same. You shall notify the Company in writing of any Licensed Materials You deliver to the Company. 

    9.
Injunctive Relief. You agree that if You breach Sections 6, 7, and/or 8 of this Agreement: (i) the Company would
suffer irreparable harm; (ii) it would be difficult to determine damages, and money damages alone would be an inadequate remedy for the injuries suffered by the Company, and (iii) if the
Company seeks injunctive relief to enforce this Agreement, You will waive and will not (a) assert any defense that the Company has an adequate remedy at law with respect to the breach,
(b) require that the Company submit proof of the economic value of any Trade Secret or Confidential Information, or (c) require the Company to post a bond or any other security. Nothing
contained in this Agreement shall limit the Company's right to any other remedies at law or in equity. 

    10.
Books and Records. You agree that all files, documents, records, customer lists, books and other materials which come into Your use
or possession during the term of this Agreement and which are in any way related to the Company's business shall at all times remain the property of the Company, and that upon request by Company or
upon the termination of this Agreement for any reason, You shall immediately surrender to Company all such property and copies thereof. 

    11.  Severability. The provisions of this Agreement are severable. If any provision is determined to be invalid, illegal, or
unenforceable, in whole or in part, the remaining provisions and any partially enforceable provisions shall remain in full force and effect. 

    12.
Attorneys' Fees. In the event of litigation relating to this Agreement, the Company shall, if it is the prevailing party, be
entitled to recover attorneys' fees and costs of litigation in addition to all other remedies available at law or in equity. 

    13.  Waiver. The Company's failure to enforce any provision of this Agreement shall not act as a waiver of that or any other provision.
The Company's waiver of any breach of this Agreement shall not act as a waiver of any other breach. 

29

 

    14. Entire Agreement. This Agreement, including Exhibits A and B which are incorporated by reference, constitutes the
entire agreement between the Parties concerning the subject matter of this Agreement. This Agreement supersedes any prior communications, agreements or understandings, whether oral or written, between
the Parties relating to the subject matter of this Agreement. Other than terms of this Agreement, no other representation, promise or agreement has been made with You to cause You to sign this
Agreement. 

    15.
Amendments. This Agreement may not be amended or modified except in writing signed by both Parties. 

    16.
Successors and Assigns. This Agreement shall be assignable to, and shall inure to the benefit of, the Company's successors and
assigns, including, without limitation, successors through merger, name change, consolidation, or sale of a majority of the Company's stock or assets, and shall be binding upon You. You shall not have
the right to assign Your rights or obligations under this Agreement. 

    17.
Governing Law. The laws of the State of Georgia shall govern this Agreement. If Georgia's conflict of law rules would apply another
state's laws, the Parties agree that Georgia law shall still govern. 

    18.
No Strict Construction. If there is a dispute about the language of this Agreement, the fact that one Party drafted the Agreement
shall not be used in its interpretation. 

    19.  Notice. Whenever any notice is required, it shall be given in writing addressed as follows: 

	To Company:	 	Optio Software, Inc.

3015 Windward Plaza

Windward Fairways II

Alpharetta, Georgia 30005

Attn: Chief Executive Officer
	

To Executive:	
 	

C. Wayne Cape

1280 Northcliff Trace

Roswell, Georgia 30076

    Notice shall be deemed given and effective three (3) days after the deposit in the U.S. mail of a writing addressed as above and sent first class mail,
certified, return receipt requested, or when actually received. Either Party may change the address for notice by notifying the other party of such change in accordance with this Section. 

    20.
Consent to Jurisdiction and Venue. You agree that any claim arising out of or relating to this Agreement shall be
(i) brought in the Superior Court of Fulton County, Georgia, or (ii) brought in or removed to the United States District Court for the Northern District of Georgia, Atlanta Division. You
consent to the personal jurisdiction of the courts identified above. You waive (i) any objection to jurisdiction or venue, or (ii) any defense claiming lack of jurisdiction or improper
venue, in any action brought in such courts. 

    21.
AFFIRMATION. YOU ACKNOWLEDGE THAT YOU HAVE CAREFULLY READ THIS AGREEMENT, YOU KNOW AND UNDERSTAND ITS TERMS AND CONDITIONS, AND YOU
HAVE HAD THE OPPORTUNITY TO ASK THE COMPANY ANY QUESTIONS YOU MAY HAVE HAD PRIOR TO SIGNING THIS AGREEMENT. 

30

 

    IN WITNESS WHEREOF, the Parties hereto have executed this Agreement as of the day and year first above written. 

	 	 	OPTIO SOFTWARE, INC.:
	

 	
 	

By:	
 	

/s/ WARREN K. NEUBURGER   
 Warren K. Neuburger

Chief Executive Officer
	

 	
 	
C. Wayne Cape:
	

 	
 	

/s/ C. WAYNE CAPE   

	

 	
 	
Confirmation of Approval by Compensation Committee:
	

 	
 	

/s/ MITCHEL LASKEY   
 Mitchel Laskey, Chairman of the Compensation Committee of the Board of Directors of the Company

31

 
 
 

EXHIBIT A
  
    DEFINITIONS    
  

	A.
	"Business"
shall mean the business of (i) developing and providing software that enables a business to integrate and present information to its customers, suppliers,
partners, and employees through various types of media (including, but not limited to, print, Internet, e-mail and fax) by customizing, delivering and exchanging information over a
computer network (the "Software"), and (ii) providing the implementation, training, and consulting services that support the Software.

	B.
	"Change
of Control" shall mean either of the following: (i) the acquisition, directly or indirectly after the date of this Agreement, in one series of related transactions,
of 30% or more of the Company's common stock by any "person" as that term is defined in Section 13(d)(3) of the Securities Exchange Act of 1934, as amended excluding any acquisitions in capital
raising transactions; (ii) the consummation of a merger, consolidation, share exchange or similar transaction of the Company with any other corporation, entity or group, as a result of which
the holders of the voting capital stock of the Company as a group would receive less than 30% of the voting capital stock of the surviving or resulting corporation, or (iii) the consummation of
an agreement providing for the sale or transfer (other than as security for obligations of the Company) of substantially all the assets of the Company, provided that none of the transactions described
in subsections (i), (ii) or (iii) shall include a transaction or series of transactions with an entity which is controlled, directly or indirectly, after the transaction, by the Company
or another entity in which the shareholders of the Company immediately prior to such transaction control, directly or indirectly, at least 30% of the outstanding voting securities (including any
entity which as a result of such transaction owns the Company or all or substantially all of the Company's assets either directly or through one or more subsidiaries).

	C.
	"Company"
means Optio Software, Inc., its parents, subsidiaries, affiliates and all related companies, as well as their respective officers, directors, shareholders,
employees, agents and any other representatives.

	D.
	"Confidential
Information" means (a) information of the Company, to the extent not considered a Trade Secret under applicable law, that (i) relates to the business of
the Company, (ii) possesses an element of value to the Company, (iii) is not generally known to the Company's competitors, and (iv) would damage the Company if disclosed, and
(b) information of any third party provided to the Company which the Company is obligated to treat as confidential. Confidential Information includes, but is not limited to, (i) future
business plans, (ii) the composition, description, schematic or design of products, future products or equipment of the Company, (iii) communication systems, audio systems, system
designs and related documentation, (iv) advertising or marketing plans, (v) information regarding independent contractors, employees, clients and customers of the Company, and
(vi) information concerning the Company's financial structure and methods and procedures of operation. Confidential Information shall not include any information that (i) is or becomes
generally available to the public other than as a result of an unauthorized disclosure, (ii) has been independently developed and disclosed by others without violating this Agreement or the
legal rights of any party, or (iii) otherwise enters the public domain through lawful means.

	E.
	"Contact"
means any interaction between You and a Customer which (i) takes place in an effort to establish, maintain, and/or further a business relationship on behalf of the
Company and (ii) occurs during the last year of Your employment with the Company (or during Your employment if employed less than a year).

	F.
	"Customer"
means any person or entity to whom the Company has sold its products or services, or solicited to sell its products or services. 

A–1

 
	G.
	"Employee"
means any person who (i) is employed by the Company at the time Your employment with the Company ends, (ii) was employed by the Company during the last year
of Your employment with the Company (or during Your employment if employed less than a year), or (iii) is employed by the Company during the Restricted Period.

	H.
	"Licensed
Materials" means any materials that You utilize for the benefit of the Company, or deliver to the Company or the Company's customers, which (i) do not constitute
Work Product, (ii) are created by You or of which You are otherwise in lawful possession, and (iii) You may lawfully utilize for the benefit of, or distribute to, the Company or the
Company's customers.

	I.
	"Restricted
Period" means the time period during Your employment with the Company, and for one year after Your employment with the Company ends.

	J.
	"Territory"
means the United States of America.

	K.
	"Trade
Secrets" means information of the Company, and its licensors, suppliers, clients and customers, without regard to form, including, but not limited to, technical or
nontechnical data, a formula, a pattern, a compilation, a program, a device, a method, a technique, a drawing, a process, financial data, financial plans, product plans, or a list of actual or
potential customers or suppliers which is not commonly known by or available to the public and which information (i) derives economic value, actual or potential, from not being generally known
to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use, and (ii) is the subject of efforts that are reasonable under
the circumstances to maintain its secrecy.

	L.
	"Work
Product" means (a) any data, databases, materials, documentation, computer programs, inventions (whether or not patentable), designs, and/or works of authorship,
including but not limited to, discoveries, ideas, concepts, properties, formulas, compositions, methods, programs, procedures, systems, techniques, products, improvements, innovations, writings,
pictures, audio, video, images of You, and artistic works, and (b) any subject matter protected under patent, copyright, proprietary database, trademark, trade secret, rights of publicity,
confidential information, or other property rights, including all worldwide rights therein, that is or was conceived, created or developed in whole or in part by You while employed by the Company and
that either (i) is created within the scope of Your employment, (ii) is based on, results from, or is suggested by any work performed within the scope of Your employment and is directly
or indirectly related to the business of the Company or a line of business that the Company may reasonably be interested in pursuing, (iii) has been or will be paid for by the Company, or
(iv) was created or improved in whole or in part by using the Company's time, resources, data, facilities, or equipment. 

A–2

 
 
 

EXHIBIT B    
  

Description of Consulting and Transition Services:  

	•
	Perform
special projects and executive officer transition services as directed by the Board of Directors of the Company.

	•
	Develop
and implement long-term strategic initiatives with the Board of Directors, including strategic partnerships, large account sales
strategies, strategic acquisition investigations, and other future initiatives to position the Company in the rapidly changing e-commerce environment. 

B–1

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EXHIBIT A DEFINITIONS

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  TABLE OF CONTENTS FOR EXHIBIT 10–a

ADC TELECOMMUNICATIONS, INC.  

 EXECUTIVE CHANGE IN CONTROL

SEVERANCE PAY PLAN  

Effective July 1, 2001 

ADC TELECOMMUNICATIONS, INC.  

 EXECUTIVE CHANGE IN CONTROL

SEVERANCE PAY PLAN  

  
 

    TABLE OF CONTENTS    
  

 

	 

	SECTION 1. INTRODUCTION
	 	1.1. Establishment
	 	1.2. Definitions
	 	 	 	1.2.1. Base Pay
	 	 	 	1.2.2. Change in Control
	 	 	 	1.2.3. Cause
	 	 	 	1.2.4. Code
	 	 	 	1.2.5. Continuing Director
	 	 	 	1.2.6. Disability
	 	 	 	1.2.7. Effective Date
	 	 	 	1.2.8. Eligible Employee
	 	 	 	1.2.9. Employer
	 	 	 	1.2.10. ERISA
	 	 	 	1.2.11. Exchange Act
	 	 	 	1.2.12. Good Reason
	 	 	 	1.2.13. Incentive Bonus Plan
	 	 	 	1.2.14. Participant
	 	 	 	1.2.15. Plan
	 	 	 	1.2.16. Plan Statement
	 	 	 	1.2.17. Plan Year
	 	 	 	1.2.18. Principal Sponsor
	 	 	 	1.2.19. Termination of Employment
	

SECTION 2. PARTICIPATION
	 	2.1. Eligibility to Participate
	 	2.2. Termination of Participation
	

SECTION 3. SEVERANCE PAYMENT
	 	3.1. Eligibility for Payment
	 	3.2. Amount of Benefits
	 	3.3. Benefit Offset
	 	3.4. Time and Form of Payment
	 	3.5. Withholding Tax

	SECTION 4. BONUS PAYMENT
	 	4.1. General
	 	4.2. Bonus Payments
	 	4.3. Adjusted Bonus Payments
	

SECTION 5. 280G LIMITATION
	 	5.1. Gross-Up Payment
	 	5.2. Payment Date
	 	5.3. Controversies with Tax Authorities
	

SECTION 6. FUNDING
	

SECTION 7. AMENDMENT AND TERMINATION
	

SECTION 8. CLAIMS PROCEDURE
	

SECTION 9. MISCELLANEOUS
	 	9.1. Type of Plan
	 	9.2. No Assignment
	 	9.3. Named Fiduciaries
	 	9.4. Administrator
	 	9.5. Service of Legal Process
	 	9.6. Validity
	 	9.7. Governing Law
	 	9.8. No Employment Rights
	 	9.9. No Guarantee
	 	9.10. No Co-Fiduciary Responsibility

  

 
 
SECTION 1

INTRODUCTION  

 
 

    1.1.  Establishment.  ADC Telecommunications, Inc., a Minnesota corporation, has previously established
and maintained a welfare benefit plan to provide severance benefits to certain Eligible Employees following a Change in Control. In its most recent form this severance plan is embodied in a document
which was first adopted effective September 26, 1989 and amended effective September 23, 1997 and entitled "ADC Telecommunications, Inc. Change in Control Severance Pay Plan." Effective July 1, 2001,
ADC Telecommunications has amended and restated its existing plan to, among other things, exclude certain employees from participation. This "ADC Telecommunications, Inc. Executive Change in Control
Severance Pay Plan" has been adopted, effective July 1, 2001, to provide change in control severance benefits for certain executives no longer eligible to participate in the "ADC Telecommunications,
Inc. Change in Control Severance Pay Plan." 

 
 

    1.2.  Definitions.  When the following terms are used in this document with initial capital letters, they
shall have the following meanings. 

 
 

    1.2.1.  Base Pay—the regular basic cash remuneration before deductions for taxes and
other items withheld, payable to a Participant for services rendered to the Employer, but not including items such as Incentive Bonus payments, perquisites, allowances, per diem payments, bonuses,
incentive compensation, stock options, equity compensation, fringe benefits, special pay, awards or commissions. Base pay shall include regular basic cash remuneration that is contributed by an
employee to a qualified retirement plan, nonqualified deferred compensation plan or similar plan sponsored by the Employer but it shall not include earnings on those amounts. 

 
 

    1.2.2.  Change in Control—the occurrence of any of the following events: 

	(a)
	a
change in control of the Principal Sponsor of a nature that would be required to be reported in response to Item 6(e) of Schedule 14A of Regulation 14A promulgated under the
Exchange Act, whether or not the Principal Sponsor is then subject to such reporting requirement;

	(b)
	the
public announcement (which, for purposes of this definition, shall include, without limitation, a report filed pursuant to Section 13(d) of the Exchange Act) by the Principal
Sponsor or any "person" (as such term is used in Section 13(d) of the Exchange Act) that such person has become the "beneficial owner" (as defined in Rule 13d-3 promulgated under the Exchange Act), of
securities of the Principal Sponsor representing 20% or more of the combined voting power of the Principal Sponsor's then outstanding securities, determined in accordance with Rule 13d-3;

	(c)
	the
Continuing Directors cease to constitute a majority of the Principal Sponsor's Board of Directors;

	(d)
	consummation
of a reorganization, merger or consolidation of, or a sale or other disposition of all or substantially all of the assets of, the Principal Sponsor (a "Business
Combination"), in each case, unless, following such Business Combination, (A) all or substantially all of the persons who were the beneficial owners of the Principal Sponsor's outstanding voting
securities immediately prior to such Business Combination beneficially own voting securities of the corporation resulting from such Business Combination having more than 50% of the combined voting
power of the outstanding voting securities of such resulting Corporation and (B) at least a majority of the members of the Board of Directors of the corporation resulting from such Business
Combination were Continuing Directors at the time of the action of the Board of Directors of the Principal Sponsor approving such Business Combination; 

1

 

	(e)
	approval
by the shareholders of the Principal Sponsor of a complete liquidation or dissolution of the Principal Sponsor; or

	(f)
	the
majority of the Continuing Directors determine in their sole and absolute discretion that there has been a change in control of the Principal Sponsor.
 
 

    1.2.3.  Cause—the willful and continued failure by a Participant to perform his or
her duties or gross and willful misconduct including, but not limited to, wrongful appropriation of funds. 

 
 

    1.2.4.  Code—the U.S. Internal Revenue Code of 1986, as amended. 

 
 

    1.2.5.  Continuing Director—any person who is a member of the Board of Directors of
the Principal Sponsor, while such person is a member of the Board of Directors, who is not an Acquiring Person (as defined below) or an Affiliate or Associate (as defined below) of an Acquiring
Person, or a representative of an Acquiring Person or of any such Affiliate or Associate, and who (i) was a member of the Board of Directors on the Effective Date of the Plan as first written above,
or (ii) subsequently becomes a member of the Board of Directors, if such person's initial nomination for election or initial election to the Board of Directors is recommended or approved by a majority
of the Continuing Directors. For purposes of definition, "Acquiring Person" shall mean any "person" (as such term is used in Sections 13(d) and 14(d) of the Exchange Act) who or which, together with
all Affiliates and Associates of such person, is the "beneficial owner" (as defined in Rule 13d-3 promulgated under the Exchange Act), directly or indirectly, of securities of the Principal Sponsor
representing 20% or more of the combined voting power of the Principal Sponsor's then outstanding securities, but shall not include the Principal Sponsor, any subsidiary of the Principal Sponsor or
any employee benefit plan of the Principal Sponsor or of any subsidiary of the Principal Sponsor or any entity holding shares of common stock of the Principal Sponsor organized, appointed or
established for, or pursuant to the terms of, any such plan; and "Affiliate" and "Associate" shall have the respective meanings ascribed to such terms in Rule 12b-2 promulgated under the Exchange Act. 

 
 

    1.2.6.  Disability—the Participant's inability, due to an impairment, to perform the
essential functions of the Participant's position, with or without reasonable accommodation, provided the Participant has exhausted the Participant's entitlement to any applicable disability-related
leave of absence, if the Participant desires to take and satisfies all eligibility requirements for such leave. 

 
 

    1.2.7.  Effective Date—July 1, 2001. 

 
 

    1.2.8.  Eligible Employee—an individual who, immediately prior to a Change in
Control is the Chief Executive Officer of the Principal Sponsor, or is classified by the Employer as a regular employee in ADC global job grades 22 or higher. 

    Eligible
Employee does not include an employee who is employed outside the United States (other than a U.S. regular employee whose assignment outside the United States has been
classified by the Employer as temporary, provided that any assignment outside the United States that is expected to exceed 60 months will not be considered temporary) or who is a non-immigrant worker
residing in the United States covered by any non-immigrant visa status other than an H-1B visa status. 

    The
Employer's classification of a person as a regular employee shall be conclusive. No reclassification of a person's status with the Employer, for any reason, without regard to
whether it is initiated by a court, governmental agency or otherwise and without regard to whether or not the Employer agrees to such reclassification, shall result in the person being an Eligible
Employee, either retroactively or prospectively. Notwithstanding anything to the contrary in this provision, however, the Employer may declare that a reclassified person will be classified as an
Eligible Employee, either retroactively or prospectively. 

 
 

2

 

    1.2.9.  Employer—ADC Telecommunications, Inc., a Minnesota corporation, its wholly
owned subsidiaries with employees who meet the definition of Eligible Employee, and any successor of the Principal Sponsor. Employer shall also refer to any affiliates designated by ADC
Telecommunications, Inc. 

 
 

    1.2.10.  ERISA—the United States Employee Retirement Income Security Act of 1974. 

 
 

    1.2.11.  Exchange Act—the United States Securities Exchange Act of 1934, as amended. 

 
 

    1.2.12.  Good Reason—the occurrence of any of the following events: (i) a job
reassignment that is not of comparable responsibility or status as the assignment in effect immediately prior to the Change in Control; (ii) a reduction in the Participant's Base Pay as in effect
immediately prior to a Change in Control; (iii) a material modification of the Employer's incentive compensation program (that is adverse to the Participant) as in effect immediately prior to a Change
in Control; (iv) a requirement by the Employer that the Participant be based anywhere other than within fifty miles of the Participant's work location immediately prior to a Change in Control (with
exceptions for temporary business travel); or (v) except as otherwise required by applicable law, the failure by the Employer to provide
employee benefit programs and plans (including any stock ownership and stock purchase plans) that provide substantially similar benefits, in terms of aggregate monetary value, at substantially similar
costs to the Participant as the benefits provided in effect immediately prior to a Change in Control. Termination or reassignment of the Participant's employment for Cause, or by reason of Disability
or death, are excluded from this definition. 

 
 

    1.2.13.  Incentive Bonus Plan—Employer's Management Incentive Plan ("MIP") or Sales
Management Incentive Plan ("SMIP") or any other equivalent incentive bonus plan covering management employees that the Compensation Committee of the Board has determined to be an Incentive Bonus Plan
for purposes of this Plan. 

 
 

    1.2.14.  Participant—an Eligible Employee of the Employer who becomes a Participant
under the terms of Section 2 of the Plan. 

 
 

    1.2.15.  Plan—the severance pay plan of the Employer established for the benefit of
certain Eligible Employees in the event of a Change in Control and described in this Plan Statement. (As used herein, "Plan" refers to the program established by the Employer and not the document
pursuant to which the Plan is maintained. That document is referred to herein as the "Plan Statement.") 

 
 

    1.2.16.  Plan Statement—effective July 1, 2001, this written document entitled "ADC
Telecommunications, Inc. Executive Change in Control Severance Pay Plan," as the same may be amended from time to time thereafter. 

 
 

    1.2.17.  Plan Year—the twelve consecutive month period ending on any December 31. 

 
 

    1.2.18.  Principal Sponsor—ADC Telecommunications, Inc. 

 
 

    1.2.19.  Termination of Employment—actual cessation of active employment by a
Participant as a result of (a) an involuntary termination by the Employer, with or without reasonable notice, and for any reason other than Cause, or (b) a voluntary termination by the Participant for
Good Reason. Termination of Employment shall not include termination by reason of the Participant's death or Disability. 

3

 

 
 

SECTION 2

PARTICIPATION  

 
 

    2.1.  Eligibility to Participate.  An individual shall become a Participant on
the day such individual becomes an Eligible Employee. Notwithstanding anything to the contrary in the Plan, an individual who is an employee of a successor to the Principal Sponsor immediately prior
to a Change in Control shall not be eligible for benefits under the Plan. 

 
 

    2.2.  Termination of Participation.  An individual ceases to be a Participant on
the earliest of: 

	(a)
	the
date the Participant ceases to be an Eligible Employee or otherwise ceases to satisfy the Plan's eligibility requirements, except where such cessation results in eligibility for
a severance payment as provided in Section 3;

	(b)
	the
date the Participant ceases to be an employee due to termination of the Participant's employment (with or without reasonable notice and whether voluntary or involuntary and
including retirement) with the Employer, except where such termination results in eligibility for a severance payment as provided in Section 3;

	(c)
	the
date the Participant ceases to be an employee due to Participant's death or Disability;

	(d)
	the
date following a Change in Control that the Participant receives all of the severance and bonus payments due, if any, under the Plan;

	(e)
	the
date the Plan is amended pursuant to the rules of Section 7 to exclude the Participant from participation; or

	(f)
	the
date the Plan is terminated pursuant to the rules of Section 7. 

4

 

 
 

SECTION 3

SEVERANCE PAYMENT  

 
 

    3.1.  Eligibility for Payment.  To qualify for a severance payment under this
Plan, a Change in Control must occur and a Participant must: (a) be a Participant immediately prior to the time of such Change in Control and immediately prior to the Participant's Termination of
Employment; and (b) have a Termination of Employment that occurs within 12 months following a Change in Control. 

 
 

    3.2.  Amount of Benefits.  The severance payment to a Participant under the Plan
shall be based on the Participant's position or global job grade in effect immediately prior to a Change in Control. For purposes of this Section 3.2, a Participant's "annual pay" shall be equal to
the sum of: (a) the Participant's annual Base Pay in effect immediately prior to the Change in Control or, if greater, the Termination of Employment; and (b) the Participant's annual target bonus
under the Participant's Incentive Bonus Plans in effect immediately prior to the Change in Control or, if greater, the Termination of Employment. The Participant's total severance benefit shall be
payable in a single lump sum and shall be determined according to the following schedule: 

	Position/Grade
 
	 	Severance Benefit

	CEO	 	3 x annual pay
	22 or higher	 	2 x annual pay

 
 

    3.3.  Benefit Offset.  The amount of any severance payment that a Participant is
entitled to under Section 3.2 shall be reduced by any cash compensation paid or payable by the Employer to the Participant associated with the Participant's termination of employment (including any
pay in lieu of notice and severance pay). A Participant who receives a severance benefit under the Plan will not be eligible to receive any severance benefit under the severance Plan entitled "ADC
Telecommunications, Inc. Change in Control Severance Pay Plan." 

 
 

    3.4.  Time and Form of Payment.  Payments will be made to eligible Participants
in a single lump sum cash payment as soon as administratively feasible following the Participant's Termination of Employment. If the Participant should die before actually receiving the severance
payment, such payment will be made to the personal representative of the Participant's estate. 

 
 

    3.5.  Withholding Tax.  The Employer shall deduct from the amount of any
severance payment under the Plan any amount required to be withheld by reason of any law or regulation for the payment of federal, state or local taxes. 

5

 
 
 
SECTION 4

BONUS PAYMENT  

 
 

    4.1.  General.  A Participant is eligible to receive a bonus payment provided for
in this Section 4 only if the Participant is eligible to receive a severance payment as provided in Section 3. This Section 4 is intended to provide for a final payment under any applicable Incentive
Bonus Plans for the bonus period in which Participant's Termination of Employment occurs. Any amounts determined pursuant to this Section 4 shall be offset by amounts otherwise paid or payable to the
Participant under the relevant Incentive Bonus Plans for the bonus period in which the Participant's Termination of Employment occurs. 

 
 

    4.2.  Bonus Payments.  Bonus payment(s), if any, shall be equal to the target
bonus amount in effect for the bonus period in which the Termination of Employment occurs multiplied by a fraction, the numerator of which is the number of days worked by the Participant in the bonus
period prior to the Termination of Employment, and the denominator of which is the number of days in the bonus period. The bonus payment will be made to the Participant in a single lump sum cash
payment as soon as administratively feasible following the Participant's Termination of Employment. If the Participant should die before actually receiving the payment, such payment will be made to
the personal representative of the Participant's estate. 

 
 

    4.3.  Adjusted Bonus Payments.  At the end of the bonus period, the Employer
shall calculate the amount a Participant would receive for a bonus period in which a Termination of Employment occurs based on actual performance over the entire bonus period multiplied by a fraction,
the numerator of which is the number of days worked by the Participant in the bonus period prior to the Termination of Employment and the denominator of which is the number of days in the bonus period
(the "Actual Bonus Amount"). If the Actual Bonus Amount is greater than the amount calculated under Section 4.2 above, the Employer shall pay the difference to the Participant in a single lump sum
cash payment as soon as administratively feasible following the end of the bonus period. If the Participant should die before actually receiving the payment, such payment will be made to the personal
representative of the Participant's estate. 

6

 
 
 
SECTION 5

280G LIMITATION  

 
 

    5.1.  Gross-Up Payment.  In the event a Participant becomes entitled to payments
under the Plan, the Employer shall cause its independent auditors (the "Auditors") promptly to review, at the Employer's sole expense, the applicability of Section 4999 of the Code to those payments. 

    If
the Auditors shall determine that any payment or distribution of any type by the Employer to a Participant or for a Participant's benefit, whether paid or payable or distributed or
distributable pursuant to the terms of the Plan or otherwise (the "Total Payments"), would be subject to the excise tax imposed by Section 4999 of the Code, or any interest or penalties with respect
to such excise tax (the excise tax, together with any interest and penalties, are collectively referred to as the "Excise Tax"), then the Participant shall be entitled to receive an additional cash
payment (a "Gross-Up Payment") equal to an amount such that after payment by the Participant of all taxes (including any interest or penalties imposed with respect to such taxes), including any Excise
Tax, imposed upon the Gross-Up Payment, the Participant would retain an amount of the Gross-Up Payment equal to the Excise Tax imposed upon the Total Payments. 

    For
purposes of determining the amount of any tax pursuant to this Section, the Participant's tax rate shall be deemed to be the highest statutory marginal state and Federal tax rate
(on a combined basis and including the Participant's share of F.I.C.A. and Medicare taxes) then in effect. 

    A
Participant shall in good faith cooperate with the Auditors in making the determination of whether a Gross-Up Payment is required, including but not limited to providing the
Auditors with information or documentation as reasonably requested by the Auditors. A determination by the Auditors regarding whether a Gross-Up Payment is required and the amount of such Gross-Up
Payment shall be conclusive and binding upon the Participant and the Employer for all purposes. 

 
 

    5.2.  Payment Date.  A Gross-Up Payment required to be made by Section 5.1 of
this Plan shall be paid to Participant within 30 days of a final determination by the Auditors that the Gross-Up Payment is required. 

    If
the Auditors have not yet made the determination required by Section 5.1 prior to the time the Participant is required to file a tax return reflecting the Total Payments, the
Participant will be entitled to receive a Gross-Up Payment calculated on the basis of the Total Payments reported by the Participant in such tax return, within 30 days of the filing of such tax
return. 

 
 

    5.3.  Controversies with Tax Authorities.  The Employer and the Participant shall
promptly deliver to each other copies of any written communications, and summaries of any oral communications, with any taxing authority regarding the applicability of Section 280G or 4999 of the Code
to any portion of the Total Payments. In the event of any controversy with the Internal Revenue Service or other tax authority with regard to the applicability of Section 280G or 4999 of the Code to
any portion of the Total Payments, Employer shall have the right, exercisable in its sole discretion, to control the resolution of such controversy at its own expense. Participant and the Employer
shall in good faith cooperate in the resolution of such controversy. 

    If
the Internal Revenue Service or any tax authority makes a final determination that a greater Excise Tax should be imposed upon the Total Payments than is determined by the Auditors
or reflected in the Participant's tax return pursuant to this Section, the Participant shall be entitled to receive from the Employer the full Gross-Up Payment calculated on the basis of the amount of
Excise Tax determined to be payable by such tax authority. That amount shall be paid to the Participant within 30 days of the date of such final determination by the relevant tax authority. 

7

 
 
 
SECTION 6

FUNDING  

    The Employer may establish a trust to fund the Plan but the Employer is not under any obligation to establish a trust. A Participant will be entitled to claim
benefits from the trust to the extent the Plan is funded under a trust and a Participant shall have only such rights as set forth in the trust. To the extent benefits are not funded under a trust,
payments made pursuant to the Plan will be paid out of the general funds of the Employer. To the extent benefits are not funded under a trust, a Participant will not have any secured or preferred
interest by way of trust, escrow, lien or otherwise in any specific assets and the Participant's rights shall be solely those of an unsecured general creditor of the Employer. 

8

 
 
 
SECTION 7

AMENDMENT AND TERMINATION  

    The right has been reserved to the Board of Directors of the Principal Sponsor to amend the provisions of the Plan Statement and to amend or terminate the Plan
at any time prior to a Change in Control. If any of these actions are taken, affected Participants will be notified. During one year following the date of a Change in Control, the provisions of the
Plan Statement may not be amended if any amendment would adversely affect the rights, expectancies or benefits provided by the Plan (as in effect immediately prior to the Change in Control) of any
Participant or other person entitled to payment under the Plan. The Plan may not be terminated during the same one-year period. Except to the extent benefits have become payable but have not actually
been paid, the Plan terminates automatically on the first anniversary of the date of a Change in Control, except to pay any remaining severance benefits to any Participant who has a Termination of
Employment on or before the Plan's termination date and except to resolve claims for benefits under the Plan arising on or before the Plan's termination date. 

9

 
 
 
SECTION 8

CLAIMS PROCEDURE  

    The claims procedure set forth in this section shall be the exclusive procedure for the disposition of claims for benefits arising under this Plan. 

	(a)
	Original Claim.  Any Participant, former Participant, or beneficiary of such Participant or former Participant, if he
or she so desires, may file with the Principal Sponsor a written claim for benefits under this Plan. Within ninety (90) days after the filing of such a claim, the Principal Sponsor shall notify the
claimant in writing whether the claim is upheld or denied in whole or in part or shall furnish
the claimant a written notice describing specific special circumstances requiring a specified amount of additional time (but not more than one hundred eighty (180) days from the date the claim was
filed) to reach a decision on the claim. If the claim is denied in whole or in part, the Principal Sponsor shall state in writing:

	(i)
	the
specific reasons for the denial;

	(ii)
	the
specific references to the pertinent provisions of the Plan on which the denial is based;

	(iii)
	a
description of any additional material or information necessary for the claimant to perfect the claim and an explanation of why such material or information is necessary; and

	(iv)
	an
explanation of the claims review procedure set forth in this section. 

	(b)
	Review of Denied Claim.  Within sixty (60) days after receipt of notice that the claim has been denied in whole or in
part, the claimant may file with the Principal Sponsor a written request for a review and may, in conjunction therewith, submit written issues and comments. Within sixty (60) days after the filing of
such a request for review, the Principal Sponsor shall notify the claimant in writing whether, upon review, the claim was upheld or denied in whole or in part or shall furnish the claimant a written
notice describing specific special circumstances requiring a specified amount of additional time (but not more than one hundred twenty (120) days from the date the request for review was filed) to
reach a decision on the request for review.

	(c)
	General Rules.

	(i)
	No
inquiry or question shall be deemed to be a claim or a request for a review of a denied claim unless made in accordance with the claims procedure. The Principal Sponsor may
require that any claim for benefits and any request for a review of a denied claim be filed on forms to be furnished by the claimant upon request.

	(ii)
	All
decisions on claims and on requests for a review of denied claims shall be made by the Principal Sponsor or its delegatee.

	(iii)
	The
Principal Sponsor may, in its discretion, hold one or more hearings on a claim or a request for a review of a denied claim.

	(iv)
	A
claimant may be represented by a lawyer or other representative (at the claimant's own expense), but the Principal Sponsor reserves the right to require the claimant to furnish
written authorization. A claimant's representative shall be entitled, upon request, to copies of all notices given to the claimant.

	(v)
	The
decision of the Principal Sponsor on a claim and on a request for a review of a denied claim shall be served on the claimant in writing. If a decision or notice is not 

10

 

received
by a claimant within the time specified, the claim or request for a review of a denied claim shall be deemed to have been denied. 

	(vi)
	Prior
to filing a claim or a request for a review of a denied claim, the claimant or his or her representative shall have a reasonable opportunity to review a copy of the Plan and
all other pertinent documents in the possession of the Principal Sponsor.

	(vii)
	The
Principal Sponsor may permanently or temporarily delegate its responsibilities under this claims procedure to an individual or a committee of individuals. 

11

 

 
 

SECTION 9

MISCELLANEOUS  

 
 

    9.1.  Type of Plan.  Section 3 of the Plan is a severance pay welfare benefit
plan and not a pension benefit plan. Section 4 of the Plan is a payroll practice. Any severance payment under Section 3 of the Plan will not be contingent directly or indirectly upon an employee
retiring and shall not be made beyond 24
months after the employee's Termination of Employment. Section 4 is neither a severance pay welfare benefit plan nor a pension benefit plan. The plan is established with the understanding that it is
an unfounded welfare plan maintained primarily for the benefit of a select group of management or highly compensated individuals within the meaning of ERISA. 

 
 

    9.2.  No Assignment.  No Participant shall have any transmissible interest in any
benefit under the Plan nor shall any Participant have any power to anticipate, alienate, dispose of, pledge or encumber the same, nor shall the Employer recognize any assignment thereof, either in
whole or in part, nor shall any benefit be subject to attachment, garnishment, execution following judgment or other legal process. 

 
 

    9.3.  Named Fiduciaries.  The Principal Sponsor and any committee appointed
hereunder to decide claims shall be named fiduciaries for the purpose of section 402(a) of ERISA. 

 
 

    9.4.  Administrator.  The Principal Sponsor shall be the administrator for
purposes of section 3(16)(A) of ERISA. 

 
 

    9.5.  Service of Legal Process.  The corporate secretary of ADC
Telecommunications, Inc. is designated as agent for service of legal process against the Plan. Also, service of legal process may be made upon ADC Telecommunications, Inc. as Plan Administrator. 

 
 

    9.6.  Validity.  The invalidity or unenforceability of any provision of the Plan
shall not affect the validity or enforceability of any other provision of the Plan which shall remain in full force and effect. 

 
 

    9.7.  Governing Law.  This Plan Statement has been executed and delivered in the
State of Minnesota and has been drawn in conformity to the laws of that State and shall, except to the extent that U.S. federal law is controlling, be construed and enforced in accordance with the
domestic laws of the State of Minnesota without giving effect to any choice or conflict of law provision or rule (whether of the State of Minnesota or any other jurisdiction) that would cause the
application of the laws of any jurisdiction other than the State of Minnesota. 

 
 

    9.8.  No Employment Rights.  Neither the terms of this Plan Statement nor the
benefits hereunder nor the continuance thereof shall be a term of the employment of any employee, and the Employer shall not be obliged to continue the Plan. The terms of this Plan Statement shall not
give any employee the right to be retained in the employment of the Employer. The Employer assumes no obligation to the participants under this Plan Statement with respect to any doctrine or principle
of acquired rights or similar concept. 

 
 

    9.9.  No Guarantee.  Neither the members of any committee appointed by the
Principal Sponsor nor any of the Employer's officers in any way secure or guarantee the payment of any benefit or amount which may become due and payable hereunder to any Participant. Neither the
members of any committee nor any of the Employer's officers shall be under any liability or responsibility (except to the extent that liability is imposed under ERISA) for failure to effect any of the
objectives or purposes of the Plan by reason of the insolvency of the Employer. 

 
 

    9.10.  No Co-Fiduciary Responsibility.  Except as is otherwise provided in ERISA,
no fiduciary shall be liable for an act or omission of another person with regard to a fiduciary responsibility that has been allocated to or delegated in this Plan Statement or pursuant to procedures
set forth in this Plan Statement. 

12

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