Document:

First Lease Amendment

 EXHIBIT 10.1 
  
 FIRST LEASE AMENDMENT 
  

THIS FIRST LEASE AMENDMENT (the “Amendment”) is executed this 30th day of JUNE, 2004, by and between DUKE REALTY LIMITED PARTNERSHIP, an Indiana limited partnership, formerly known as Duke-Weeks Realty Limited Partnership
(“Landlord”), and CAPTIVA SOFTWARE CORPORATION, a Delaware corporation (“Tenant”). 
  
 W I T N E S S E T H : 
  
 WHEREAS, Landlord and ADP Context, Inc., an Illinois corporation, now known as Captiva Context, Inc. (“Original Tenant”) entered into a certain
lease dated September 30, 1999 (the “Lease”), whereby Original Tenant leased from Landlord certain premises consisting of approximately 11,035 rentable square feet of space (the “Leased Premises”) in an office building commonly
known as Oakmont Circle, located at 601 Oakmont Lane, Suite 200, Westmont, Illinois 60559; and 
  
 WHEREAS, Original Tenant assigned all of its right, title and interest in, to and under the Lease to Tenant pursuant to a certain Assignment and Assumption of Lease dated simultaneously herewith; and 
  
 WHEREAS, Tenant has assumed all of the obligations of Original Tenant under
the Lease pursuant to such Assignment and Tenant hereby acknowledges that all provisions of the Lease remain in full force and effect; and 
  
 WHEREAS, Landlord and Tenant desire to extend the Lease Term; and 
  

WHEREAS, Landlord and Tenant desire to amend certain provisions of the Lease to reflect such extension, changes and additions to the Lease; 

 
 NOW, THEREFORE, in consideration of the foregoing premises, the mutual
covenants herein contained and each act performed hereunder by the parties, Landlord and Tenant hereby agree that the Lease is amended as follows: 
  
 1.    Incorporation of Recitals.  The above recitals are hereby incorporated into this Amendment as if fully set
forth herein. 
  
 2.    Extension of Lease
Term.  The Lease Term is hereby extended through March 31, 2012. 
  
 3.    Amendment of Section 1.01.  Basic Lease Provisions and Definitions.  Commencing on July 1, 2004, Section 1.01 of the Lease is hereby amended by
deleting subsections C, D, E, F, I, L and M in their entirety and the following are substituted in lieu thereof: 
  
 “C.    Building Expense Percentage: 
  

			
	 July 1, 2004 - March 31, 2005
	  	0.00%
	 April 1, 2005 - March 31, 2012
	  	9.57%;

  
 D.    Minimum Annual Rent: 
  

			
	 July 1, 2004 - March 31, 2005
	  	$          0.00 (9 months)
	 April 1, 2005 - June 30, 2005
	  	$ 31,035.93 (3 months)
	 July 1, 2005 - June 30, 2006
	  	$127,895.64 per year
	 July 1, 2006 - June 30, 2007
	  	$131,757.96 per year
	 July 1, 2007 - June 30, 2008
	  	$135,730.56 per year
	 July 1, 2008 - June 30, 2009
	  	$139,813.44 per year
	 July 1, 2009 - June 30, 2010
	  	$144,006.72 per year
	 July 1, 2010 - June 30, 2011
	  	$148,310.40 per year
	 July 1, 2011 - March 31, 2012
	  	$114,543.27 (9 months);

	 	E.	Monthly Rental Installments: 

  

			
	 July 1, 2004 - March 31, 2005
	  	$          0.00 per month
	 April 1, 2005 - June 30, 2005
	  	$ 10,345.31 per month
	 July 1, 2005 - June 30, 2006
	  	$ 10,657.97 per month
	 July 1, 2006 - June 30, 2007
	  	$ 10,979.83 per month
	 July 1, 2007 - June 30, 2008
	  	$ 11,310.88 per month
	 July 1, 2008 - June 30, 2009
	  	$ 11,651.12 per month
	 July 1, 2009 - June 30, 2010
	  	$ 12,000.56 per month
	 July 1, 2010 - June 30, 2011
	  	$ 12,359.20 per month
	 July 1, 2011 - March 31, 2012
	  	$ 12,727.03 per month;

  

	 	F.	Term:  Through March 31, 2012; 

  

	 	I.	Brokers:  Duke Services, Inc. and CB Richard Ellis, Inc. representing Landlord and Grubb & Ellis representing Tenant; 

  

	 	L.	Addresses for payments and notices: 

  

			
	 Landlord:
	  	 Duke Realty Limited Partnership

	 	  	 Attn: Senior Property Manager

	 	  	 4225 Naperville Road, Suite 150

	 	  	 Lisle, IL 60532

		
	With rental payments to:	  	 Duke Realty Limited Partnership

	 	  	 75 Remittance Drive, Suite 3205

	 	  	 Chicago, IL 60675-3205

		
	 Tenant:
	  	 Captiva Software Corporation

	 	  	 10145 Pacific Heights Boulevard #600

	 	  	 San Diego, CA 92121

  

	 	M.	Guarantor:  None.” 

  
 4.    Amendment of Section 2.02.  Construction of Tenant Finish Improvements and
Possession.  Section 2.02 of the Lease is hereby amended by incorporating the following: 
  
 “Tenant is currently occupying the Leased Premises and accepts the same “AS IS” without representation or warranty by Landlord of any kind
and with the understanding that Landlord shall have no responsibility with respect thereto, except to construct in a good and workmanlike manner the improvements to be determined by Tenant and approved by Landlord, which approval will not be
unreasonably withheld (the “Tenant Finish Improvements”). Landlord shall provide an allowance for the direct costs of the Tenant Finish Improvements to the Leased Premises in the amount of Eighty-two Thousand Seven Hundred Sixty-two
Dollars and Fifty Cents ($82,762.50) (the “Allowance”) to be used by Tenant on or before September 30, 2005. The Allowance shall be used exclusively to construct and pay for the Tenant Finish Improvements that are directly related to the
construction or refurbishment of the Leased Premises, except Tenant may use up to Forty-one Thousand Three Hundred Eighty-one Dollars and Twenty-five Cents ($41,381.25) of the Allowance (i) to pay for soft costs associated with the Tenant Finish
Improvements; or (ii) to credit against the Minimum Annual Rent due hereunder. Tenant shall reimburse Landlord for any cost or expense attributable to the Tenant Finish Improvements which exceed the Allowance, no later than thirty (30) days after
receipt of an invoice from Landlord for such costs or expenses. Any Allowance not used by Tenant on or before September 30, 2005, shall be forfeited by Tenant. Landlord shall contract with Duke Construction Limited Partnership, or a subsidiary or
affiliate of Landlord (“Duke”), to complete the Tenant 

  

 -2- 

 
Finish Improvements who will competitively bid all major trades to achieve the best possible pricing. Duke shall receive five percent (5%) overhead and five
percent (5%) fee as Landlord’s construction manager or general contractor, which amounts shall be deducted from the Allowance. Tenant shall have the right to request a specific subcontractor and provided such subcontractor meets with
Landlord’s approval, such subcontractor shall have the right to enter a bid.” 
  
 5.    Amendment of Section 2.03.  Surrender of the Premises.  Section 2.03 of the Lease is hereby amended by deleting the second (2nd) sentence thereof and by substituting the following in lieu thereof: 
  
 “Tenant shall remove its personal property and computer equipment in the
Leased Premises, at its sole cost and expense; provided, however, Tenant shall not be required to remove the wiring and cabling (including above ceiling).” 
  

6.    Amendment of Section 16.03.  Guaranty.  Section 16.03 of the Lease is hereby amended
by incorporating the following: 
  
 “Landlord hereby
acknowledges that the Unconditional Guaranty of Lease dated September 30, 1999, executed by Automatic Data Processing, Inc., a Delaware corporation, shall automatically and without the need for further action by any party, terminate upon the
execution of this Amendment, and Guarantor shall be released from its obligations thereunder, but not for any period of time prior to such date.” 
  
 7.    Amendment of Section 16.06.  Indemnification for Leasing Commissions.  Section 16.06 of
the Lease is hereby deleted in its entirety and the following is substituted in lieu thereof: 
  
 “Section 16.06. Indemnification for Leasing Commissions. 
  
 The parties hereby represent and warrant that the only real estate brokers involved in the negotiation and execution of this Amendment are the Brokers set
forth in Section 1.01. Each party shall indemnify the other from any and all liability for the breach of this representation and warranty on its part and shall pay any compensation to any other broker or person who may be entitled
thereto.” 
  
 8.    Deletion of
Section 16.11.  Option to Extend.  Section 16.11 of the Lease is hereby deleted it its entirety and is of no further force or effect. 
  
 9.    Amendment of Section 16.12.  Right of First Refusal.  Section
16.12 of the Lease is hereby amended by incorporating the following: 
  
 “Notwithstanding anything contained herein to the contrary, in the event Tenant exercises its Refusal Option for the Refusal Space on or before June 30, 2005, the Refusal Space shall be offered to Tenant at the
same rental rate and the same terms and conditions as the Leased Premises.” 
  
 10.    Amendment of Section 16.13.  Option to Terminate.  Section 16.13 of the Lease is hereby deleted in its entirety and the following is substituted in
lieu thereof: 
  
 “Section 16.13. Options to
Terminate. 
  
 Provided Tenant is not in Default hereunder,
Tenant shall have the option to terminate this Lease effective as of March 31, 2008 (the “First Option to Terminate”), or effective as of March 31, 2010 (the “Second Option to Terminate”). Such option shall be exercised by (i)
Tenant’s giving written notice to Landlord of its intention to terminate on or before June 30, 2007, with respect to the First Option to Terminate, or June 30, 2009, with respect to the Second Option to Terminate, and (ii) Tenant’s payment
to Landlord of an amount equal to the sum of nine (9) months of the then-current gross rent with respect to the First Option to Terminate, or an amount equal to the sum of four (4) months of the then-current gross rent with respect to the Second
Option to Terminate. Such payment shall be payable to Landlord fifty percent (50%) at the time 

  

 -3- 

 
Tenant provides written notice to Landlord of its intention to terminate and fifty percent (50%) on or before the effective date of termination. Such payment
is made in consideration for Landlord’s grant of this option to terminate, to compensate Landlord for rental and other concessions given to Tenant, and for other good and valuable consideration. Such payment shall not in any manner affect
Tenant’s obligations to pay Minimum Annual Rent and Additional Rent or to perform its obligations under the Lease up to and including the effective date of termination. If such option is validly exercised, then upon such termination, Tenant
shall surrender the Leased Premises to Landlord in accordance with the terms of this Lease and each party shall be released from further liability hereunder; provided, however, that such termination shall not affect any right or obligation arising
prior to termination or which survives termination of this Lease.” 
  
 11.    Amendment of Section 16.15.  Parking.  Section 16.15 of the Lease is hereby amended by deleting “one (1) executive parking space” in the second line thereof
and by inserting “two (2) executive parking spaces” in lieu thereof. 
  
 12.    Amendment of Article 16.  Miscellaneous.  Article 16 of the Lease is hereby amended by incorporating the following: 
  
 “Section 16.18. Expansion Needs. 
  
 Provided that (i) Tenant has not been in Default hereunder at any time during
the Lease Term, (ii) the creditworthiness of Tenant is then acceptable to Landlord, (iii) Tenant originally named herein, or a permitted assignee, remains in possession of and has been continuously operating in the entire Leased Premises throughout
the Lease Term, (iv) the current use of the Leased Premises is acceptable to Landlord, (v) subject to the availability of space, (vi) Tenant requires no less than 16,035 rentable square feet of space, and (vii) Tenant enters into a lease with
Landlord for such expansion space for a minimum term of five (5) years, Landlord will use commercially reasonable efforts to accommodate Tenant’s expansion needs in another building owned by Landlord, although Landlord in no way guarantees such
expansion accommodation. If Landlord and Tenant mutually agree and execute a new lease for such expansion space, upon the commencement date of such new lease, Tenant shall immediately surrender the Leased Premises to Landlord in accordance with the
terms and provisions of this Lease and each party shall be released from further liability hereunder, including any termination fees; provided, however, that such termination shall not affect any right or obligation arising prior to termination or
which specifically survives the termination of this Lease.” 
  
 13.    Tenant’s Representations and Warranties.  The undersigned represents and warrants to Landlord that (i) Tenant is duly organized, validly existing and in good standing in accordance with
the laws of the state under which it was organized; (ii) all action necessary to authorize the execution of this Amendment has been taken by Tenant; and (iii) the individual executing and delivering this Amendment on behalf of Tenant has been
authorized to do so, and such execution and delivery shall bind Tenant. Tenant, at Landlord’s request, shall provide Landlord with evidence of such authority. 
  
 14.    Examination of Amendment.  Submission of this instrument for examination or
signature to Tenant does not constitute a reservation or option, and it is not effective until execution by and delivery to both Landlord and Tenant. 
  
 15.    Definitions.  Except as otherwise provided herein, the capitalized terms used in this Amendment shall have the
definitions set forth in the Lease. 
  
 16.    Incorporation.  This Amendment shall be incorporated into and made a part of the Lease, and all provisions of the Lease not expressly modified or amended hereby shall remain in full force and
effect. 
  

 -4- 

 IN WITNESS WHEREOF, the parties have caused this Amendment to be executed on the day and year first
written above. 
  

							
	 	 	 LANDLORD:

		
	 	 	 DUKE REALTY LIMITED PARTNERSHIP,
 an Indiana limited partnership

			
	 	 	 By:
	 	Duke Realty Corporation,
	 	 	 	 	 an Indiana corporation, its general partner,
 d/b/a Duke Realty of Indiana Corporation

				
	 	 	 	 	By:	 	 /s/  Steven W. Schnur

	 	 	 	 	 	 	 Steven W. Schnur
 Senior Vice President

		
	 	 	 TENANT:

		
	 	 	 CAPTIVA SOFTWARE CORPORATION,
 a Delaware corporation

			
	 	 	 By:
	 	 /s/  Rick Russo

			
	 	 	 Printed:
	 	 Rick Russo

			
	 	 	 Title:
	 	 CFO

  
 STATE
OF California     ) 
                                  ) SS: 
 COUNTY OF San Diego) 
  
 Before me, a Notary Public in and for said County and State, personally appeared Rick Russo, by me known and by me known to be the CFO of Captiva
Software Corporation, a Delaware corporation, who acknowledged the execution of the foregoing “First Lease Amendment” on behalf of said corporation. 
  

WITNESS my hand and Notarial Seal this 7th day of July, 2004. 
  

			
	 [GRAPHIC APPEARS HERE]
	 	 June E. Burke

 Notary Public

		
	 	 	 June E. Burke

 (Printed Signature)

  
 My Commission Expires: 1-27-08

  
 My County of Residence: San Diego 
  

 -5- 

 ASSIGNMENT AND ASSUMPTION OF LEASE 
  
 FOR AND IN CONSIDERATION of receipt of One Dollar ($1.00) and other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, CAPTIVA CONTEXT, INC., an Illinois corporation, f/k/a ADP Context, Inc. (hereinafter referred to as “Assignor”), hereby assigns to CAPTIVA SOFTWARE
CORPORATION, a Delaware corporation (hereinafter referred to as “Assignee”), all of its right, title and interest in and to a certain Lease dated September 30, 1999, by and between Assignor, as “Tenant,” and Duke Realty Limited
Partnership, f/k/a Duke-Weeks Realty Limited Partnership as “Landlord,” for certain space described therein, commonly known as Oakmont Circle, located at 601 Oakmont Lane, Suite 200, Westmont, Illinois 60559 (collectively, the
“Lease”). 
  
 Assignee hereby accepts this Assignment
and Assumption of Lease and hereby agrees to be bound by all of the rights and obligations of Assignor as Tenant under the Lease and acknowledges that all provisions of the Lease remain in full force and effect. 
  
 Assignor hereby acknowledges that this Assignment and Assumption of Lease
does not relieve it from its liability under the terms and obligations of the Lease. 
  
 This Assignment and Assumption of Lease shall not be construed to modify, waive, impair or affect any of the terms, provisions or conditions of the Lease. 
  
 This Assignment and Assumption of Lease shall not constitute a consent to any further assignment of the Lease or subletting
of the premises demised thereby. 
  
 This Assignment and
Assumption of Lease may be executed in two or more counterparts, each of which shall be deemed an original. All such counterparts shall together constitute one and the same instrument. 
  
 The effective date of this Assignment and Assumption of Lease shall be the date of execution hereof. 
  
 EXECUTED this 30th day of June, 2004. 
  

			
	 “ASSIGNOR”

	
	 CAPTIVA CONTEXT, INC.,
 an Illinois corporation

		
	 By:
	 	 /s/  Rick Russo

		
	 Printed:
	 	 Rick Russo

		
	 Title:
	 	 Secretary/Treasurer

	
	 “ASSIGNEE”

	
	 CAPTIVA SOFTWARE CORPORATION,
 a Delaware corporation

		
	 By:
	 	 /s/  Rick Russo

		
	 Printed:
	 	 Rick Russo

		
	 Title:
	 	 CFO

 STATE OF California     ) 
                                        
  ) SS: 
 COUNTY OF San Diego) 
  
 Before me, a Notary Public in and for said County and State, personally appeared Rick Russo, by me known and by me known to be the
Secretary/Treasurer of Captiva Context, Inc., an Illinois corporation, who acknowledged the execution of the foregoing “Assignment and Assumption of Lease” on behalf of said corporation. 
  
 Witness my hand and Notarial Seal this 7th day of July, 2004. 
  

			
	[GRAPHIC APPEARS HERE]	 	 June E. Burke

 Notary Public

		
	 	 	 June E. Burke

 (Printed Signature)

  
 My Commission Expires: 1/27/08

  
 My County of Residence: San Diego 
  
 STATE OF California     )

                                  ) SS: 
 COUNTY OF San Diego) 
  
 Before me, a Notary Public in and for said County and State, personally appeared Rick Russo, by me known and by me known to be the
CFO of Captiva Software Corporation, a Delaware corporation, who acknowledged the execution of the foregoing “Assignment and Assumption of Lease” on behalf of said corporation. 
  
 Witness my hand and Notarial Seal this 7th day of July, 2004. 
  

			
	 [GRAPHIC APPEARS HERE]
	 	 June E. Burke

 Notary Public

		
	 	 	 June E. Burke

 (Printed Signature)

  
 My Commission Expires: 1/27/08

  
 My County of Residence: San Diego 
  

 -2- 

 CONSENT AND ACCEPTANCE 
  
 DUKE REALTY LIMITED PARTNERSHIP, as Landlord under the Lease, hereby consents to the assignment of the Lease as set forth
above; provided, however, that such assignment does not affect or release any liability of Assignor under the terms and obligations of the Lease. 
  
 This Consent and Acceptance of the foregoing Assignment and Assumption of Lease shall not constitute a consent by Landlord to any further subletting or
assignments or subletting of the entire or any portion of the Leased Premises. 
  

					
	 “LANDLORD”

	
	 DUKE REALTY LIMITED PARTNERSHIP,
 an Indiana limited partnership

		
	 By:
	 	 Duke Realty Corporation,
 an Indiana corporation, its general partner,
 d/b/a Duke Realty of Indiana Corporation

			
	 	 	 By:
	 	 /s/  Steven W. Schnur

	 	 	 	 	 Steven W. Schnur

	 	 	 	 	 Senior Vice President

  

 -3-Fifth Amendment

 EXHIBIT 10.2 
  
 FIFTH AMENDMENT 
 TO 
 AMENDED AND RESTATED 
 LOAN AND SECURITY AGREEMENT 
  
 This Fifth Amendment to the Amended and
Restated Loan and Security Agreement (the “Amendment”) is entered into as of September 15, 2004, by and between COMERICA BANK (“Bank”) and CAPTIVA SOFTWARE CORPORATION (“Borrower”). 
  
 RECITALS 
  
 Borrower and Bank are parties to that certain Amended and Restated Loan and Security Agreement dated as of June 27, 2001 (as
amended from time to time, including without limitation that certain Amendment to Amended and Restated Loan and Security Agreement dated as of October 16, 2001 and that certain Amendment to Amended and Restated Loan and Security Agreement dated as
of June 26, 2002, that certain Amendment and Assumption of Loan and Security Agreement dated as of August 15, 2002, and that certain Fourth Amendment to Amended and Restated Loan and Security Agreement dated as of August 18, 2003, together
with any related agreements, the “Agreement”). Hereinafter, all indebtedness owing by Borrower to Bank shall be referred to as the “Indebtedness.” The parties desire to amend the Agreement in accordance with the terms of this
Amendment. 
  
 NOW, THEREFORE, for good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows: 
  
 AGREEMENT 
  

	I.	Incorporation by Reference.  The Recitals and the documents referred to therein are incorporated herein by this reference. Except as otherwise noted, the
terms not defined herein shall have the meaning set forth in the Agreement. 

  

	II.	Amendment to the Agreement.  Subject to the satisfaction of the conditions precedent as set forth in Article IV hereof, the Agreement is hereby amended as
set forth below. 

  

	 	A.	The definition of “Revolving Maturity Date” in Section 1.1 of the Agreement is hereby amended and restated to read as follows: 

  
 “Revolving Maturity Date” means August 13, 2005. 
  

	 	B.	Section 2.5(c) of the Agreement is hereby amended and restated to read as follows: 

  
 “(c)    Additional Fees.  If Borrower’s average deposit account balance with
Bank falls below $4,000,000 in any calendar quarter, the Borrower will be charged an additional fee of $2,500. The maximum amount of additional fees in any one year will not exceed $10,000.” 
  

	 	C.	The second, third, and fourth paragraph of Section 6.3 of the Agreement are hereby amended and restated in their entirety to read as follows: 

  
 “If there are no outstanding Obligations under the Agreement, then
Borrower shall within thirty (30) days after the last day of each fiscal quarter, deliver to Bank a Borrowing Base Certificate signed by a Responsible Officer in substantially the form of Exhibit B hereto, together with aged listings of
accounts receivable and accounts payable. If there are outstanding Obligations under the Agreement, then Borrower shall within thirty (30) days after the last day of each month, deliver to Bank a 

  

 AMENDMENT 
 PAGE 1 OF 5 

 
Borrowing Base Certificate signed by a Responsible Officer in substantially the form of Exhibit B hereto, together with aged listings of accounts
receivable and accounts payable. 
  
 Notwithstanding the above, if
at the time of an Advance request, Borrower has not provided to Bank a Borrowing Base Certificate within the previous thirty (30) day period, Borrower shall deliver to Bank a Borrowing Base Certificate signed by a Responsible Officer in
substantially the form of Exhibit B hereto, together with aged listings of accounts receivable and accounts payable. 
  
 If there are no outstanding Obligations under the Agreement, then Borrower shall deliver to Bank with the quarterly financial statements a Compliance
Certificate signed by a Responsible Officer in substantially the form of Exhibit C hereto, If there are outstanding Obligations under the Agreement, then Borrower shall deliver to Bank on a monthly basis a Compliance Certificate signed by a
Responsible Officer in substantially the form of Exhibit C hereto. 
  
 Notwithstanding the above, if at the time of an Advance request, Borrower has not provided to Bank a Compliance Certificate within the previous thirty (30) day period, Borrower shall deliver to Bank a Compliance
Certificate signed by a Responsible Officer in substantially the form of Exhibit C hereto. 
  
 Bank shall have the right from time to time hereafter to audit Borrower’s Accounts and appraise Collateral at Borrower’s expense, provided that
such audits will be conducted no more often than annually unless an Event of Default has occurred and is continuing.” 
  

	 	D.	The primary address for Bank set forth in Section 10 of the Agreement is hereby amended and restated in its entirety to read as follows: 

  

			
	 “If to Bank:
	 	 Comerica Bank

	 	 	 2321 Rosecrans Ave., Suite 5000

	 	 	 El Segundo, CA 90245

	 	 	 Attn:  Manager

	 	 	 FAX:  (310) 297-2290”

  

	 	E.	A new Section 13 is hereby added to the Agreement to read as follows: 

  

	 	“13.    	Reference Provision. 

  
 The parties prefer that any dispute between them be resolved in litigation subject to a Jury Trial Waiver as set forth in the Loan
Documents (defined below), but the availability of that process is in doubt because of the opinion of the California Court of Appeal in Grafton Partners LP v. Superior Court, 9 Cal.Rptr.3d 511. This Reference Provision will be applicable until the
California Supreme Court completes its review of that case, and will continue to be applicable if either that court or a California Court of Appeal publishes a decision holding that a pre-dispute Jury Trial Waiver provision similar to that contained
in the Loan Documents is invalid or unenforceable. Delay in requesting appointment of a referee pending review of any such decision, or participation in litigation pending review, will not be deemed a waiver of this Reference Provision. 

 
 Other than (i) nonjudicial foreclosure of security
interests in real or personal property, (ii) the appointment of a receiver or (iii) the exercise of other provisional remedies (any of which may be initiated pursuant to applicable law), any controversy, dispute or claim (each, a “Claim”)
between the parties arising out of or relating to this Agreement or any other document, instrument or agreement between the Bank and the undersigned (collectively in this Section, the “Loan Documents”), will be resolved by a reference
proceeding in California in accordance with the provisions of Section 638 et seq. of the California Code of Civil Procedure (“CCP”), or their successor sections, which shall 

  

 AMENDMENT 
 PAGE 2 OF 5 

 
constitute the exclusive remedy for the resolution of any Claim, including whether the Claim is subject to the reference proceeding. Except as otherwise
provided in the Loan Documents, venue for the reference proceeding will be in the Superior Court or Federal District Court in the County or District where venue is otherwise appropriate under applicable law (the “Court”). 
  
 The referee shall be a retired Judge or Justice selected by
mutual written agreement of the parties. If the parties do not agree, the referee shall be selected by the Presiding Judge of the Court (or his or her representative). A request for appointment of a referee may be heard on an ex parte
or expedited basis, and the parties agree that irreparable harm would result if ex parte relief is not granted. The referee shall be appointed to sit with all the powers provided by law. Each party shall have one peremptory challenge
pursuant to CCP §170.6. Pending appointment of the referee, the Court has power to issue temporary or provisional remedies. 
  
 The parties agree that time is of the essence in conducting the reference proceedings. Accordingly, the referee shall be requested to (a)
set the matter for a status and trial-setting conference within fifteen (15) days after the date of selection of the referee, (b) if practicable, try all issues of law or fact within ninety (90) days after the date of the conference and (c) report a
statement of decision within twenty (20) days after the matter has been submitted for decision. Any decision rendered by the referee will be final, binding and conclusive, and judgment shall be entered pursuant to CCP §644. 
  
 The referee will have power to expand or limit the amount and
duration of discovery. The referee may set or extend discovery deadlines or cutoffs for good cause, including a party’s failure to provide requested discovery for any reason whatsoever. Unless otherwise ordered, no party shall be entitled to
“priority” in conducting discovery, depositions may be taken by either party upon seven (7) days written notice, and all other discovery shall be responded to within fifteen (15) days after service. All disputes relating to discovery which
cannot be resolved by the parties shall be submitted to the referee whose decision shall be final and binding. 
  
 Except as expressly set forth in this Agreement, the referee shall determine the manner in which the reference proceeding is conducted
including the time and place of hearings, the order of presentation of evidence, and all other questions that arise with respect to the course of the reference proceeding. All proceedings and hearings conducted before the referee, except for trial,
shall be conducted without a court reporter, except that when any party so requests, a court reporter will be used at any hearing conducted before the referee, and the referee will be provided a courtesy copy of the transcript. The party making such
a request shall have the obligation to arrange for and pay the court reporter. Subject to the referee’s power to award costs to the prevailing party, the parties will equally share the cost of the referee and the court reporter at trial.

  
 The referee shall be required to determine all
issues in accordance with existing case law and the statutory laws of the State of California. The rules of evidence applicable to proceedings at law in the State of California will be applicable to the reference proceeding. The referee shall be
empowered to enter equitable as well as legal relief, provide all temporary or provisional remedies, enter equitable orders that will be binding on the parties and rule on any motion which would be authorized in a trial, including without limitation
motions for summary judgment or summary adjudication. The referee shall issue a decision at the close of the reference proceeding which disposes of all claims of the parties that are the subject of the reference. The referee’s decision shall be
entered by the Court as a judgment or an order in the same manner as if the action had been tried by the Court. The parties reserve the right to appeal from the final judgment or order or from any appealable decision or order entered by the referee.
The parties reserve the right to findings of fact, conclusions of laws, a written statement of decision, and the right to move for a new trial or a different judgment, which new trial, if granted, is also to be a reference proceeding under this
provision. 
  

 AMENDMENT 
 PAGE 3 OF 5 

 If the enabling legislation which provides for appointment of a referee is repealed (and
no successor statute is enacted), any dispute between the parties that would otherwise be determined by reference procedure will be resolved and determined by arbitration. The arbitration will be conducted by a retired judge or Justice, in
accordance with the California Arbitration Act §1280 through §1294.2 of the CCP as amended from time to time. The limitations with respect to discovery set forth above shall apply to any such arbitration proceeding. 
  
 THE PARTIES RECOGNIZE AND AGREE THAT ALL DISPUTES RESOLVED UNDER THIS
REFERENCE PROVISION WILL BE DECIDED BY A REFEREE AND NOT BY A JURY, AND THAT THEY ARE IN EFFECT WAIVING THEIR RIGHT TO TRIAL BY JURY IN AGREEING TO THIS REFERENCE PROVISION. AFTER CONSULTING (OR HAVING HAD THE OPPORTUNITY TO CONSULT) WITH COUNSEL OF
THEIR OWN CHOICE, EACH PARTY KNOWINGLY AND VOLUNTARILY AND FOR THEIR MUTUAL BENEFIT AGREES THAT THIS REFERENCE PROVISION WILL APPLY TO ANY DISPUTE BETWEEN THEM WHICH ARISES OUT OF OR IS RELATED TO THIS AGREEMENT OR THE LOAN DOCUMENTS.”

  

	III.	Legal Effect. 

  

	 	A.	The Agreement is hereby amended wherever necessary to reflect the changes described above. 

  

	 	B.	Borrower agrees that it has no defenses against the obligations to pay any amounts under the Indebtedness. 

  

	 	C.	Borrower understands and agrees that in modifying the existing Indebtedness, Bank is relying upon Borrower’s representations, warranties, and agreements, as set forth in the
Agreement. Except as expressly modified pursuant to this Amendment, the terms of the Agreement remain unchanged, and in full force and effect. Bank’s agreement to modifications to the existing Indebtedness pursuant to this Amendment in no way
shall obligate Bank to make any future modifications to the Indebtedness. Nothing in this Amendment shall constitute a satisfaction of the Indebtedness. It is the intention of Bank and Borrower to retain as liable parties, all makers and endorsers
of Agreement, unless the party is expressly released by Bank in writing. No maker, endorser, or guarantor will be released by virtue of this Amendment. The terms of this paragraph apply not only to this Amendment, but also to all subsequent loan
modification requests. 

  

	 	D.	This Amendment may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one instrument.

  

	 	E.	This is an integrated Amendment and supersedes all prior negotiations and agreements regarding the subject matter hereof. All modifications hereto must be in writing and signed by
the parties. 

  

	IV.	Conditions Precedent.     Except as specifically set forth in this Amendment, all of the terms and conditions of the Agreement remain in
full force and effect. The effectiveness of this Agreement is conditioned upon receipt by Bank of this Amendment, and any other documents which Bank may require to carry out the terms hereof, including but not limited to the following:

  

	 	A.	This Amendment, duly executed by Borrower; 

  

	 	B.	Corporation Resolutions and Incumbency Certification; 

  

	 	C.	A documentation fee from the Borrower in the amount of $250; and 

  

	 	D.	Such other documents, and completion of such other matters, as Bank may reasonably deem necessary or appropriate. 

  

 AMENDMENT 
 PAGE 4 OF 5 

 IN WITNESS WHEREOF, the undersigned have executed this Amendment as of the first date above written. 
  

			
	 CAPTIVA SOFTWARE CORPORATION

		
	 By:
	 	 /s/  Rick Russo

		
	 Title:
	 	 CFO

	
	 CAPTIVA SOFTWARE CORPORATION

		
	 By:
	 	 /s/  Reynolds C. Bish

		
	 Title:
	 	 CEO

	
	 COMERICA BANK

		
	 By:
	 	 /s/  Steven J. Stuckey

		
	 Title:
	 	 Vice President

  

 AMENDMENT 
 PAGE 5 OF 5

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