Document:

Award contract with the US Army Medical Research and Material Command

 Exhibit 10.3

 

 
 Exhibit 10.3 
 AWARD/CONTRACT 
 1. THIS CONTRACT IS A RATED ORDER
UNDER DPAS (15 CFR 700) 
 RATING 
 PAGE OF 1 PAGES 14 
 2. CONTRACT (Proc. Inst.
Ident.) NO. W81XWH-11-1-0361 
 3. EFFECTIVE DATE 01 Jun 2011 

4. REQUISITION/PURCHASE REQUEST/PROJECT NO. W23RYX1034N601 

5. ISSUED BY 
 USA MED RESEARCH ACQ ACTIVITY 
 820 CHANDLER ST

 FORT DETRICK MD 21702-5014 
 CODE W81XWH 
 6. ADMINISTERED BY (lf other than
Item 5) 
 US ARMY MEDICAL RESEARCH ACQUISITION ACT 

ATTN: CHASEN DEENER 
 301-619-8585 
 CHASEN.DEENER@AMEDD.ARMY.MIL

 FORT DETRICK MD 21702 
 CODE W81XWH 
 7. NAME AND ADDRESS OF CONTRACTOR
(No., street, city, county, state and zip code) 
 ACELRX PHARMACEUTICALS INC. 

575 CHESAPEAKE DR 
 REDWOOD CITY CA 94063-4724 
 8. DELIVERY

 [ ] FOB ORIGIN [X] OTHER (See below) 
 9. DISCOUNT FOR PROMPT PAYMENT 
 Net 30 days

 10. SUBMIT INVOICES 
 (4 copies unless otherwise specified) 
 TO THE
ADDRESS SHOWN IN: 
 ITEM 
 CODE 5ZVQ4 FACILITY CODE 
 11. SHIP TO/MARK FOR

 USA MED RESEARCH MAT CMD 
 1077 PATCHEL STREET BLDG 1077 
 FORT DETRICK MD
21702 
 CODE W91ZSQ 
 12. PAYMENT WILL BE MADE BY 
 DEFENSE FINANCE AND
ACCOUNTING SERVICE 
 DFAS ROME 
 325 BROOKS ROAD 
 CUSTOMER SVC:1-800-553-0527

 ROME NY 13441-4527 
 CODE HQ0302 
 13. AUTHORITY FOR USING OTHER THAN
FULL AND OPEN COMPETITION: [ ] 10 U.S.C. 2304(c)( ) [ ] 41 U.S.C. 253(c)( ) 
 14. ACCOUNTING AND APPROPRIATION
DATA See Schedule 
 15A. ITEM NO. 15B. SUPPLIES/ SERVICES SEE SCHEDULE 15C. QUANTITY 15D. UNIT 15E. UNIT PRICE
15F. AMOUNT 
 15G. TOTAL AMOUNT OF CONTRACT $5,598,600.00 EST 

16. TABLE OF CONTENTS 
 (X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S) 
 PART I - THE SCHEDULE 
 X A SOLICITATION/CONTRACT
FORM 1 
 B SUPPLIES OR SERVICES AND PRICES/ COSTS 

C DESCRIPTION/ SPECS./ WORK STATEMENT 
 D PACKAGING AND MARKING 
 E INSPECTION AND
ACCEPTANCE 
 F DELIVERIES OR PERFORMANCE 

G CONTRACT ADMINISTRATION DATA 
 H SPECIAL CONTRACT REQUIREMENTS 
 PART II -
CONTRACT CLAUSES 
 I CONTRACT CLAUSES 
 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 
 J LIST OF ATTACHMENTS 
 PART IV - REPRESENTATIONS
AND INSTRUCTIONS 
 K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 

L INST RS., CONDS., AND NOTICES TO OFFERORS 
 M EVALUATION FACTORS FOR AWARD 
 CONTRACTING
OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE 
 17. [ ] CONTRACTOR’S NEGOTIATED AGREEMENT Contractor is
required to sign this document and return copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated
herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award/contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and
specifications, as are attached or incorporated by reference herein. (Attachments are listed herein.) 
 18. [ ]
AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on
any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government’s solicitation and your offer, and (b) this award/contract. No further contractual document is necessary. 

19A. NAME AND TITLE OF SIGNER (Type or print) 
 James Welch, CFO 
 20A. NAME OF CONTRACTING OFFICER

 BLOSSOM WIDDER / CONTRACTING OFFICER 
 TEL: 301-619-7143 EMAIL: blossom.widder@us.army.mil 

19B. NAME OF CONTRACTOR 
 BY /s/ James Welch 
 (Signature of person
authorized to sign) 
 19C. DATE SIGNED 
 5/27/11 
 20B. UNITED STATES OF AMERICA 

BY /s/ Blossom Widder 
 (Signature of Contracting Officer) 
 20C. DATE
SIGNED 26-May-2011 
 AUTHORIZED FOR LOCAL REPRODUCTION 

Previous edition is usable 
 STANDARD FORM 26 (REV. 4/2008) 
 Prescribed by GSA

 FAR (48 CFR) 53.214(a) 

 W81XWH-11-1-0361 
  Page
 2
 of 14 
  

 Section 00010 - Solicitation Contract Form 

 

													
	ITEM NO	  	SUPPLIES/SERVICES	  	QUANTITY	  	UNIT	  	UNIT PRICE	  	AMOUNT	 
	0001	  		  		  	Dollars,
U.S.	  		  	$	5,598,600.00	  
		  	 Sufentanil NanoTab Study
	  		  		  		  			
		  	 COST
	  		  		  		  			
		  	A Non-Invasive, Rapid-Acting, Sublingual Sufentanil NanoTab for Treatment of Acute Pain Due to Battlefield Injuries. Conduct study IAW proposal dated 05 November
2010. Period of Performance 01 June 2011 to 30 September 2012 (Research ends 31 August 2012; Final Report due 30 September 2012).	  			
						
		  	 Grant. New start ERMS 11301005.
	  		  		  		  			
		  	 GOR will be Dr. Tony Gover.
	  		  		  		  			
		  	 FOB: Destination
	  		  		  		  			
		  	 MILSTRIP: W23RYX1034N601
	  		  		  		  			
		  	PURCHASE REQUEST NUMBER: W23RYX1034N601	  			
						
		  		  		  		  	ESTIMATED COST	  	$	5,598,600.00 	(EST.) 
		  	 ACRN AA
	  		  		  		  	$	5,598,600.00	  
		  	 CIN: W23RYX1034N6010001
	  		  		  		  			

 INSPECTION AND ACCEPTANCE TERMS 
 Supplies/services will be inspected/accepted at: 
  

									
	CLIN	  	INSPECT AT	  	INSPECT BY	  	ACCEPT AT	  	ACCEPT BY
	 0001
	  	N/A	  	N/A	  	N/A	  	Government

 DELIVERY INFORMATION 
  

													
	CLIN	  	DELIVERY DATE	  	QUANTITY	 	  	SHIP TO ADDRESS	  	UIC	 
					
	 0001
	  	 POP 01-JUN-2011 TO

30-SEP-2012
	  	 	N/A	  	  	 USA MED RESEARCH MAT CMD
 1077 PATCHEL STREET
 BLDG 1077
 FORT DETRICK MD 21702
 FOB: Destination
	  	 	W91ZSQ	  

 W81XWH-11-1-0361 
  Page
 3
 of 14 
  

 Section 00700 - Contract Clauses 
 CLAUSES INCORPORATED BY FULL TEXT 
 A. This award is made under the authority of 31 U.S.C.
6304 and 10 U.S.C. 2358. The recipient’s statement of work and the budget of the proposal dated 05 November 2010 are incorporated herein by reference. The Catalog of Federal Domestic Assistance Number relative to this award is CFDA 12.420.

 B. ACCEPTANCE OF AWARD: The recipient is not required to countersign this assistance award. In case of disagreement, the recipient
shall notify the Grants Officer and not assess the award any costs until such disagreement(s) is resolved. 
 C. USAMRAA GENERAL TERMS AND
CONDITIONS: This assistance agreement is subject to the USAMRAA General Terms and Conditions and to any special considerations as contained in the below mentioned Section titled “Special Terms and Conditions”. These USAMRAA General
Terms and Conditions are incorporated by reference with the same force and effect as if they were given in full text. The full text of the USAMRAA General Terms and Conditions may be accessed electronically at http://www.usamraa.army.mil.

 D. SPECIAL TERMS AND CONDITIONS 
 1. CLINICAL TRIAL QUARTERLY TECHNICAL PROGRESS REPORTS (DEC 2008) (USAMRAA) 

a. For all awards proposing phase 0-II clinical trials, the PI is required to submit quarterly reports to the Grants
Officer’s Representative (GOR) that outline the following progress: accruals, amendments submitted for IRB review, adverse events, and serious adverse events. The PI should also discuss any problems or barriers they have encountered if
applicable as well as any preliminary results. Discussion may focus on the current status of this study, their current enrollment and their planned enrollment. Discussion may highlight enrollment problems or retention problems, if any. The report
may outline the issues the PI has encountered and what has been done to mitigate those issues. PI should address all the possible questions in the report, such as; when did the PI start accruing patients; what has been the rate of patient accrual;
what problems have they encountered with patient accrual; what actions have they taken to increase accrual; what is the projected future accrual; what is the rationale for the accrual rate etc. 

The PI shall submit a Quarterly Technical Progress Report covering work accomplished during each of the first three quarters of award performance. A
Quarterly Technical Progress Report for the fourth quarter will not be required, as the annual technical report will incorporate all four quarters of progress. The Quarterly Technical Progress Report shall be brief, factual, and informal, and shall
be prepared in accordance with the following: 
 (1) Cover containing: 

(a) Grant/Cooperative Agreement number and title 
 (b) Type of report, sequence number of report, and period of performance being reported 
 (c) Recipient’s name, address, and telephone number 
 (d) Principal
Investigator name, address and telephone number 
 (e) Date of publication 

(f) Grants Officer’s Representative name 
 (2) Section I - A brief introduction covering the purpose and scope of the research effort. 
 (3) Section II - A brief description of overall progress to date plus a separate description for each task or other logical segment of work on which effort was expended during the report period.
Description shall include pertinent data and graphs in sufficient detail to explain any significant results achieved. If this award includes the recruitment of human subjects for clinical research or a clinical trial, report progress on subject
recruitment (i.e., number of subjects enrolled versus total number proposed). 

 W81XWH-11-1-0361 
  Page
 4
 of 14 
  

 (4) Section III - Problem Areas 

(a) A description of current problems that may impede performance along with proposed corrective action. 

(b) A description of anticipated problems that have a potential to impede progress and what corrective action is planned should the
problem materialize. 
 (5) Section IV - A description of work to be performed during the next reporting period. 

(6) Section V - Administrative Comments (Optional) - Description of proposed site visits and participation in technical meetings, journal
manuscripts in preparation, coordination with other organizations conducting related work, etc. 
 b. Quarterly Technical
Progress Reports shall submitted to the following e-mail addresses within 10 days of the end of the report quarter. Please incorporate in the Subject Line of the e-mail the USAMRAA Grant/Cooperative award number associated with this award. The
Quarterly Technical Progress Report shall be emailed to the following addresses: 
 Email: tony.d.gover@us.army.mil 

Email: chasen.deener@amedd.army.mil 
 2. TECHNICAL REPORTING REQUIREMENTS (DEC 2008) (USAMRAA) 
 QUARTERLY REPORTS

 a. Quarterly reports are the most immediate and direct contact between the Principal Investigator (PI) and the Grants
Officer’s Representative (GOR). The reports provide the means for keeping this Command advised of developments and problems as the research effort proceeds. The quarterly reports also provide a measure against which decisions on release of
funding and on requests for supplements are made. 
 b. In accordance with Section C, a Quarterly Report shall be submitted for
each three-month period beginning with the effective date of the assistance agreement. This requirement includes all three-month periods of the assistance agreement. 
 c. Copies of each report shall be submitted in the quantities indicated to the addresses shown below within fifteen (15) days after the end of each quarter. Internal Government distribution
will be made by those offices (electronic submission preferred). 
 (1) One (1) copy of the report to: 

tony.d.gover@us.army.mil 
 (2) One (1) copy of the report to: 
 chasen.deener@amedd.army.mil

 d. The Quarterly Report sample (See following Quarterly Report Format) shall serve as the format. Each item of the report
format shall be completed. 

 W81XWH-11-1-0361 
  Page
 5
 of 14 
  

 QUARTERLY REPORT FORMAT 

 

							
	1. Award No.	 	  
	 	2. Report Date	 	  

 

							
	3. Reporting period from	 	  
	 	to	 	  

  

							
	4. PI	 	  
	  	5. Telephone No.	 	  

 

							
	6. Institution	 	  

 

							
	7. Project Title	 	  

	
	  

	
	  

 

															
	8. Current staff, with percent effort of each on project.	 		 	
								
	  
	 		 	  
	 	%	 	      
	 		 	  
	 	%
								
	  
	 		 	  
	 	%	 	  
	 		 	  
	 	%

  

															
	9. Award expenditures to date (as applicable):	 		 		 		 		 		 		 	

															
				
	This Qtr/Cumulative	 		 	This Qtr/Cumulative	 	

															
								
	Personnel	 		 	 /
	 		 	Travel	 		 	 /
	 	

															
								
	Fringe Benefits	 		 	 /          
	 		 	Equipment	 		 	 /
	 	

															
								
	Supplies	 		 	 /
	 		 	Other	 		 	 /
	 	

  

					
		 	This Qtr/Cumulative
			
		 	Subtotal	 	 /

					
			
		 	Indirect Costs	 	
/                

					
			
		 	Fee	 	
        
/

					
			
		 	Total	 	 /

	
	10. Comments on administrative and logistical matters.
	
	  

	
	  

	
	  

 11. Use additional page(s), as necessary, to describe scientific progress for the quarter in terms of the tasks or
objectives listed in the statement of work for this assistance agreement. 
 12. Use additional page(s) to present a brief statement of plans or
milestones for the next quarter. 

 W81XWH-11-1-0361 
  Page
 6
 of 14 
  

 3. TECHNICAL REPORTING REQUIREMENTS (DEC 2008) (USAMRAA) 

Format Requirements for Annual/Final Reports 
 a. Annual reports must provide a complete summary of the research accomplishments to date with respect to the approved Statement of Work. Journal articles can be substituted for detailed descriptions of
specific aspects of the research, but the original articles must be attached to the report as an appendix and appropriately referenced in the text. The importance of the report to decisions relating to continued support of the research cannot be
overemphasized. An annual report shall be submitted within 30 calendar days of the anniversary date of the award for the preceding 12 month period. If the award period of performance is extended by the Grants Officer, then an annual report must
still be submitted within 30 days of the anniversary date of the award. A final report will be due upon completion of the extended performance date that describes the entire research effort. 

b. A final report summarizing the entire research effort, citing data in the annual reports and appended publications shall be submitted
at the end of the award performance period. The final report will provide a complete reporting of the research findings. Journal publications can be substituted for detailed descriptions of specific aspects of the research, but an original copy of
each publication must be attached as an appendix and appropriately referenced in the text. All final reports must include a bibliography of all publications and meeting abstracts and a list of personnel (not salaries) receiving pay from the research
effort. 
 Although there is no page limitation for the reports, each report shall be of sufficient length to provide a thorough
description of the accomplishments with respect to the approved Statement of Work. Submission of the report in electronic format (PDF or Word file only), shall be submitted to https://ers.amedd.army.mil. 

All reports shall have the following elements in this order 
 FRONT COVER: Sample front cover provided at https://mrmc.amedd.army.mil/rrpindex.asp. The Accession Document (AD) Number should remain blank. 

STANDARD FORM 298: Sample SF 298 provided at https://mrmc.amedd.army.mil/rrpindex.asp. The abstract in Block 13 must state the
purpose, scope, major findings and be an up-to-date report of the progress in terms of results and significance. Subject terms are keywords that may have previously assigned to the proposal abstract or are keywords that may be significant to the
research. The number of pages shall include all pages that have printed data (including the front cover, SF 298, table of contents, and all appendices). Please count pages carefully to ensure legibility and that there are no missing pages as this
delays processing of reports. Page numbers should be typed: please do not hand number pages. 
 TABLE OF CONTENTS: Sample table
of contents provided at https://mrmc.amedd.army.mil/rrpindex.asp. 
 INTRODUCTION: Narrative that briefly (one paragraph)
describes the subject, purpose and scope of the research. 
 BODY: This section of the report shall describe the research
accomplishments associated with each task outlined in the approved Statement of Work. Data presentation shall be comprehensive in providing a complete record of the research findings for the period of the report. Provide data explaining the
relationship of the most recent findings with that of previously reported findings. Appended publications and/or presentations may be substituted for detailed descriptions of methodology but must be referenced in the body of the report. If
applicable, for each task outlined in the Statement of Work, reference appended publications and/or presentations for details of result findings and tables and/or figures. The report shall include negative as well as positive findings. Include
problems in accomplishing any of the tasks. Statistical tests of significance shall be applied to all data whenever possible. Figures and graphs referenced in the text may be embedded in the text or appended. Figures and graphs can also be
referenced in the text and appended to a publication. Recommended changes or future work to better address the research topic may also be included, although changes to the original Statement of Work must be approved by the Army Grants Officer’s
Representative. This approval must be obtained prior to initiating any change to the original Statement of Work. 

 W81XWH-11-1-0361 
  Page
 7
 of 14 
  

 KEY RESEARCH ACCOMPLISHMENTS: Bulleted list of key research accomplishments emanating
from this research. 
 REPORTABLE OUTCOMES: Provide a list of reportable outcomes that have resulted from this research to
include: 
 manuscripts, abstracts, presentations; patents and licenses applied for and/or issued; degrees obtained that are
supported by this award; development of cell lines, tissue or serum repositories; infomatics such as databases and animal models, etc.; funding applied for based on work supported by this award; employment or research opportunities applied for
and/or received based on experience/training supported by this award. 
 CONCLUSION: Summarize the results to include the
importance and/or implications of the completed research and when necessary, recommend changes on future work to better address the problem. A “so what section” which evaluates the knowledge as a scientific or medical product shall also be
included in the conclusion of the report. 
 REFERENCES: List all references pertinent to the report using a standard journal
format (i.e. format used in Science, Military Medicine, etc.). 
 APPENDICES: Attach all appendices that contain
information that supplements, clarifies or supports the text. Examples include original copies of journal articles, reprints of manuscripts and abstracts, a curriculum vitae, patent applications, study questionnaires, and surveys, etc. 

Pages shall be consecutively numbered throughout the report. DO NOT RENUMBER PAGES IN THE APPENDICES. 

Mark all pages of the report which contain proprietary or unpublished data that should be protected by the U.S. Government. REPORTS NOT
PROPERLY MARKED FOR LIMITATION WILL BE DISTRIBUTED AS APPROVED FOR PUBLIC RELEASE. It is the responsibility of the Principal Investigator to advise the U.S. Army Medical Research and Materiel Command when restricted limitation assigned to a document
can be downgraded to Approved for Public Release. DO NOT USE THE WORD “CONFIDENTIAL” WHEN MARKING DOCUMENTS. 
 4. COST
REIMBURSEMENT PAYMENTS AND FULL FUNDING (NOV 2000) (USAMRAA) 
 a. Payments. Payments under this award shall be made to the
recipient on a cost reimbursement basis. The recipient shall submit one original Standard Form 270, Request for Advance or Reimbursement (form available on web site http://www.usamraa.army.mil), monthly, but not less frequently than quarterly, to:

 USAMRAA.goldteam@AMEDD.ARMY.MIL 
 No payment will be made if the recipient fails to submit the required form. Failure to invoice at least quarterly may result in delay of payment and may be cause for termination of the grant. 

Questions relative to payment issues involving Defense Finance and Accounting Service shall be directed to: 

USAMRAA.goldteam@AMEDD.ARMY.MIL 

 W81XWH-11-1-0361 
  Page
 8
 of 14 
  

 b. Financial Reporting Requirements: 

Federal Financial Report (SF 425): Annual and Final Reports (For reporting individual assistance agreements) 

Reporting period end dates fall on the end of the calendar year for annual reports (12/31) and the end date of the assistance agreement performance
period of performance for the final report. Reports are due 30 days after the reporting period end date for annual reports and 90 days after the end date of the assistance agreement for the final report. 

The SF425 and instructions for completion can be obtained from https://usamraa.army.mil. All SF425’s shall be submitted electronically to
USAMRAASF425@amedd.army.mil. The award number assigned by USAMRAA, which looks similar to W81X WH-XX-X-XXXX shall be included in the subject line of the electronic submission. 
 NOTE: The SF425 is a single form that consolidates and replaces the Federal Cash Transaction Report (SF272.SF272A) and the Financial Status Report (SF269/SF269A) 

c. Electronic Funds Transfer. All payments to the recipient will be made by electronic funds transfer (EFT). The recipient shall contact
the Defense Finance and Accounting System (DFAS) named on the face page of this award to make arrangements for EFT. Failure to do so may result in nonpayment. 
 5. PROHIBITION OF USE OF LABORATORY ANIMALS (JAN 2007) (USAMRAA) 
 **
PROHIBITION – READ FURTHER FOR DETAILS ** 
 Notwithstanding any other provisions contained in this award or incorporated by
reference herein, the contractor is expressly forbidden to use or subcontract for the use of laboratory animals in any manner whatsoever without the express written approval of the US Army Medical Research and Materiel Command, Animal Care and Use
Office (ACURO). The contractor will receive written approval to begin research under the applicable protocol proposed for this award from the US Army Medical Research and Materiel Command, ACURO, under separate letter. A copy of this approval will
be provided to the US Army Medical Research and Acquisition Activity for the official file. Non-compliance with any provision of this clause may result in the termination of the award. 
 6. PROHIBITION OF HUMAN RESEARCH (JAN 2007) (USAMRAA) 
 **
PROHIBITION – READ FURTHER FOR DETAILS ** 
 Research under this award involving the use of human subjects, to include the use
of human anatomical substances and/or human data, may not begin until the U.S. Army Medical Research and Materiel Command’s Office of Research Protections, Human Research Protections Office (HRPO) approves the protocol. Written approval to
begin research or subcontract for the use of human subjects under the applicable protocol proposed for this award will be issued from the US Army Medical Research and Materiel Command, HRPO, under separate letter to the contractor. A copy of this
approval will be provided to the US Army Medical Research Acquisition Activity for the official file. Non-compliance with any provision of this clause may result in withholding of funds and or the termination of the award. 

7. PROHIBITION OF USE OF HUMAN CADAVERS (JAN 2007) (USAMRAA) 
 ** PROHIBITION – READ FURTHER FOR DETAILS** 
 Research under this award using
human cadavers may not begin until the U.S. Army Medical Research and Materiel Command’s Office of Research Protections, Human Research Protections Office (HRPO) approves the protocol. Written approval to begin research or subcontract for the
use of human cadavers under the applicable protocol proposed for this award will be issued from the US Army Medical Research and Materiel Command, HRPO, under separate letter to the contractor. A copy of this approval will be provided to the US Army
Medical Research Acquisition Activity for the official file. Non-compliance with any provision of this clause may result in withholding of funds and or the termination of the award. 

 W81XWH-11-1-0361 
  Page
 9
 of 14 
  

 8. MAXIMUM OBLIGATION (SEP 2006) (USAMRAA) 

The maximum obligation for support of the project will not exceed the amount specified in the award, as amended. USAMRAA does not amend assistance
agreements to provide additional funds for such purposes as reimbursement for unrecovered indirect costs resulting from the establishment of final negotiated rates or for increases in salaries, fringe benefits and other costs. 

9. OPTION TO EXTEND THE TERM OF THE ASSISTANCE AGREEMENT (MAR 2008) (USAMRAA) 

a. The Government may extend the term of this assistance agreement by issuance of a modification that provides additional funding for
continued performance of the research effort. The modification will be issued prior to the expiration date of the assistance agreement. Inclusion of this term does not commit the Government to an extension. 

b. Exercise of this option is contingent upon receipt of appropriated funds and acceptable performance by the recipient. 

c. If the Government exercises this option, the extended assistance agreement shall be considered to include this option term.

 10. SUPPORTING INFORMATION (APR 2008) (USAMRAA) 
 Information such as subawards, consultant agreements, vendor quotes, and personnel work agreements may be required in order to support proposed costs or to determine the employment status of personnel
under the assistance agreement. The Government’s receipt of this information does not constitute approval or acceptance of any term or condition included therein. The terms and conditions of the assistance agreement take precedence over any
term or condition included in supporting information. 
 11. PROGRAMMATIC/SCIENCE REVIEW (AUG 2010) (USAMRAA) 

The PI shall budget for, prepare for, and participate in a programmatic/science review, lasting not more than two days and including up to two overnight
stays, for each year of the project’s term, at the Grant Officer’s Representative / Contracting Officer’s Representative’s (GOR/COR) request. The invitation and format for the programmatic/science review will be provided by the
GOR/COR at least ninety (90) days prior to the meeting. The meetings will generally be held in the Fort Detrick, MD area but could occur elsewhere in the U.S. 
 12. INDIRECT COST LIMIT (AUG 2010) (USAMRAA) 
 This award is funded from the FY 10 DoD
Appropriation Act. In accordance with SEC 8101 of that Act, notwithstanding any other provision of law, none of the funds made available in that Act may be used to pay negotiated indirect cost rates on a contract, grant, or cooperative agreement (or
similar arrangement) entered into by the Department of Defense and an entity in excess of 35 percent of the total costs of the contract, grant, or agreement (or similar agreement). Therefore, at no time during the period of this award shall the
indirect cost exceed 35% of the total cost of the award. 

 W81XWH-11-1-0361 
  Page
 10
 of 14 
  

 13. REQUIREMENTS FOR FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT IMPLEMENTATION (2 CFR Part
170) 
 Appendix A to Part 170—Award Term 
 I. Reporting Subawards and Executive Compensation 
 A. Reporting of first-tier
subawards. 
 1. Applicability. Unless you are exempt as provided in paragraph D. of this award term, you must
report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see
definitions in paragraph e. of this award term). 
 2. Where and when to report. 

i. You must report each obligating action described in paragraph a.1. of this award term to http://www.fsrs.gov. 

ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For
example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) 
 3. What to report. You must report the information about each obligating action that the submission instructions posted at http://www.fsrs.gov specify, must report the information about each
obligating action that the submission instructions posted at http://www.fsrs.gov specify. 
 B. Reporting Total
Compensation of Recipient Executives. 
 1. Applicability and what to report. You must report total compensation for
each of your five most highly compensated executives for the preceding completed fiscal year, if— 
 i. the total Federal
funding authorized to date under this award is $25,000 or more; 
 ii. in the preceding fiscal year, you received—

 (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal
financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and 
 (B) $25,000,000 or
more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and 

iii. The public does not have access to information about the compensation of the executives through periodic reports filed under
section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange
Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.) 
 2. Where and when to report.
You must report executive total compensation described in paragraph b.1. of this award term: 
 i. As part of your registration
profile at http://www.ccr.gov. 
 ii. By the end of the month following the month in which this award is made, and
annually thereafter. 

 W81XWH-11-1-0361 
  Page
 11
 of 14 
  

 C. Reporting of Total Compensation of Subrecipient Executives. 

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier
subrecipient under this award, you shall report the names and total compensation of each of the subrecipient’s five most highly compensated executives for the subrecipient’s preceding completed fiscal year, if— 

i. in the subrecipient’s preceding fiscal year, the subrecipient received— 

(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and 
 (B) $25,000,000 or more in
annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and 
 ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C.
78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.) 
 2. Where and when to report. You must report subrecipient executive
total compensation described in paragraph c.1. of this award term: 
 i. To the recipient. 

ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date
during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. 

D. Exemptions. If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the
requirements to report: 
 i. Subawards, and 
 ii. The total compensation of the five most highly compensated executives of any subrecipient. 
 E. Definitions. For purposes of this award term: 
 1. Entity means
all of the following, as defined in 2 CFR part 25: 
 i. A Governmental organization, which is a State, local government, or
Indian tribe; 
 ii. A foreign public entity; 
 iii. A domestic or foreign nonprofit organization; 
 iv. A domestic or foreign
for-profit organization; 
 v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

 2. Executive means officers, managing partners, or any other employees in management positions. 

3. Subaward: 
 i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to
an eligible subrecipient. 
 ii. The term does not include your procurement of property and services needed to carry out the
project or program (for further explanation, see Sec. —— .210 of the attachment to OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”). 

iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.

 W81XWH-11-1-0361 
  Page
 12
 of 14 
  

 4. Subrecipient means an entity that: 

i. Receives a subaward from you (the recipient) under this award; and 

ii. Is accountable to you for the use of the Federal funds provided by the subaward. 

5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient’s or
subrecipient’s preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): 
 i.
Salary and bonus. 
 ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for
financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. 

iii. Earnings for services under non-equity incentive plans. This does not include group life, health, hospitalization or medical
reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. 

iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. 

v. Above-market earnings on deferred compensation which is not tax- qualified. 

vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life
insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. 
 End of clause

 14. FINANCIAL ASSISTANCE USE OF UNIVERSAL IDENTIFIER AND CENTRAL CONTRACTOR REGISTRATION (2 CFR Part 25) 

Appendix A to Part 25—Award Term 
 I. Central Contractor Registration and Universal Identifier Requirements 
 A.
Requirement for Central Contractor Registration (CCR). Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the CCR until you submit the final financial
report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your
information or another award term. 
 B. Requirement for Data Universal Numbering System (DUNS) Numbers. If you are
authorized to make subawards under this award, you: 
 1. Must notify potential subrecipients that no entity (see definition in
paragraph C of this award term) may receive a subaward from you unless the entity has provided its DUNS number to you. 

2. May not make a subaward to an entity unless the entity has provided its DUNS number to you. 

C. Definitions. For purposes of this award term: 
 1. Central Contractor Registration (CCR) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about
registration procedures may be found at the CCR Internet site (currently at http://www.ccr.gov). 
 2. Data Universal
Numbering System (DUNS) number means the nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or
the Internet (currently at http://fedgov.dnb.com/webform). 

 W81XWH-11-1-0361 
  Page
 13
 of 14 
  

 3. Entity, as it is used in this award term, means all of the following, as
defined at 2 CFR part 25, subpart C: 
 a. A Governmental organization, which is a State, local government, or Indian Tribe;

 b. A foreign public entity; 
 c. A domestic or foreign nonprofit organization; 
 d. A domestic or foreign
for-profit organization; and 
 e. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal
entity. 
 4. Subaward: 
 a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to
an eligible subrecipient. 
 b. The term does not include your procurement of property and services needed to carry out the
project or program (for further explanation, see Sec. ——.210 of the attachment to OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”). 

c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 

5. Subrecipient means an entity that: 
 a. Receives a subaward from you under this award; and 
 b. Is accountable to you
for the use of the Federal funds provided by the subaward. 
 End of Clause 

 W81XWH-11-1-0361 
  Page
 14
 of 14 
  

 Section 00800 - Special Contract Requirements 

ACCOUNTING AND APPROPRIATION DATA 
 AA:
970013018310748119352000000004150P1FK8UW23RYX1034N601FK8UP1018064 
 AMOUNT: $5,598,600.00 

CIN W23RYX1034N6010001: $5,598,600.00Amendment No. 3 to Credit Agreement dated August 8, 2011

 Exhibit 10.1 

AMENDMENT NO. 3 TO CREDIT AGREEMENT 
 AMENDMENT NO. 3 TO CREDIT AGREEMENT, dated as of August 8, 2011 (this “Amendment”), among AVAYA INC., a Delaware corporation (the “Borrower”), CITIBANK, N.A., as
Administrative Agent (in such capacity, the “Administrative Agent”) and the Lenders (as defined below) party hereto. 
 PRELIMINARY STATEMENTS 
 A. The Borrower, Avaya Holdings Corp. (formerly
known as Sierra Holdings Corp.), a Delaware corporation (“Holdings”), the Administrative Agent and each lender from time to time party thereto (the “Lenders”) have entered into a Credit Agreement, dated as of
October 26, 2007, as amended by Amendment No. 1, dated as of December 18, 2009, and as amended and restated as of February 11, 2011 pursuant to the Amendment Agreement (as amended, amended and restated, supplemented or otherwise
modified from time to time through the date hereof, the “Restated Credit Agreement”). 
 B. The parties hereto
wish to amend the Restated Credit Agreement to extend the maturity of the Revolving Credit Facilities. 
 C. The Extending
Revolving Credit Lenders party hereto hold all of the Revolving Credit Commitments under the Restated Credit Agreement as of the date hereof and have agreed to extend the maturity of all of the Revolving Credit Commitments under the Restated Credit
Agreement in accordance with the terms and subject to the conditions set forth herein. 
 D. Section 2.16 of the Restated
Credit Agreement provides that the Borrower, the Administrative Agent and the Extending Revolving Credit Lenders may enter into an Extension Amendment to provide for the extension of the Revolving Credit Facilities contemplated by this Amendment.

 NOW, THEREFORE, in consideration of the premises and for other good and valuable consideration, the sufficiency and receipt
of all of which is hereby acknowledged, the parties hereto hereby agree as follows: 
 SECTION 1. Definitions.
Capitalized terms not otherwise defined in this Amendment have the same meanings as specified in the Restated Credit Agreement. 

SECTION 2. Amendment. Effective as of the Amendment No. 3 Effective Date (as defined below), and subject to the terms and
conditions set forth herein, the Restated Credit Agreement is hereby amended as follows: 
 (a) Section 1.01 of the
Restated Credit Agreement is hereby amended by adding in the appropriate alphabetical order the following new definitions: 
 “Amendment No. 3” means Amendment No. 3 to this Agreement, dated as of August 8, 2011, among the Borrower, the Extending Revolving Credit Lenders and the Administrative
Agent. 
 “Amendment No. 3 Effective Date” has the meaning specified in Amendment
No. 3. 

 (b) Section 1.01 of the Restated Credit Agreement is hereby amended by amending and
restating clause (a) of the definition of “Maturity Date” as follows: “(a) with respect to the Revolving Credit Facilities existing on the Amendment No. 3 Effective Date, October 26, 2016”. 

SECTION 3. Extension of the Revolving Credit Commitments. For the avoidance of doubt, (a) this Amendment constitutes an
Extension Amendment pursuant to Section 2.16 of the Restated Credit Agreement, (b) each Revolving Credit Lender that has executed and delivered a counterpart to this Amendment constitutes an Extending Revolving Credit Lender with respect
to all of its Revolving Credit Commitments, and (c) from and after the Amendment No. 3 Effective Date, each reference to “Revolving Credit Borrowing,” “Revolving Credit Commitments,” “Revolving Credit
Facilities” and “Revolving Credit Loans” (and related terms as appropriate) in the Restated Credit Agreement shall be deemed to refer to the Extended Revolving Credit Commitments created by this Amendment. 

SECTION 4. Conditions of Effectiveness. This Amendment shall become effective as of the first date (such date being referred to as
the “Amendment No. 3 Effective Date”) when each of the following conditions shall have been satisfied: 

(a) Execution of Documents. The Administrative Agent shall have received (i) this Amendment, duly executed and delivered by
the Borrower and each Extending Revolving Credit Lender, and (ii) a Guarantor Consent and Reaffirmation, in the form of Annex A hereto, duly executed and delivered by each Guarantor. 

(b) Legal Opinion. The Administrative Agent shall have received a satisfactory legal opinion of counsel to the Borrower addressed
to it and the Lenders. 
 (c) Certificate of Responsible Officer. The Administrative Agent shall have received (a) a
certificate of a Responsible Officer of the Borrower, certifying the conditions precedent set forth in Sections 4.02(a) and (b) of the Restated Credit Agreement shall have been satisfied on and as of the Amendment No. 3 Effective Date and
(b) a certificate attesting to the Solvency of the Borrower and its Restricted Subsidiaries (taken as a whole) on the Amendment No. 3 Effective Date before and after giving effect to this Amendment No. 3, from the Chief Financial
Officer or Treasurer of the Borrower. 
 (d) PATRIOT Act. Each Extending Revolving Credit Lender shall have received at
least 5 days prior to the Amendment No. 3 Effective Date all documentation and other information required by regulatory authorities with respect to the Borrower reasonably requested at least 10 Business Days prior to the Amendment No. 3
Effective Date by such Lender under applicable “know your customer” and anti-money laundering rules and regulations, including without limitation the USA PATRIOT Act. 

(e) Conditions With Respect to Mortgaged Properties. The Administrative Agent shall have received (i) a completed
“Life-of-Loan” Federal Emergency Management Agency Standard Flood Hazard Determination with respect to each Mortgaged Property and (ii) with respect to any such Mortgaged Property that is located in a special flood hazard area,
(x) a notice about special flood hazard area status and flood disaster assistance duly executed by the Borrower and each Loan Party relating thereto and (y) a copy of, or a certificate as to coverage under, the property and flood insurance
policies required by Section 6.07 of the Restated Credit Agreement and the applicable provisions of the Security Agreement, each of which shall include a loss payable or mortgagee endorsement (as applicable) in form and substance consistent
with such certificates previously delivered to the Administrative Agent. 

 (f) Perfection Certificate and Lien Searches. The Administrative Agent shall have
received (i) an updated perfection certificate with respect to the Loan Parties in form and substance consistent with such certificates previously delivered to the Administrative Agent (other than with respect to intellectual property schedules
to the perfection certificate, which shall continue to be updated in accordance with the terms of the Loan Documents) and (ii) copies of a recent Lien and judgment search in each jurisdiction reasonably requested by the Administrative Agent
with respect to the Loan Parties. 
 SECTION 5. Representations and Warranties. The Borrower represents and warrants as
follows as of the date hereof: 
 (a) The execution, delivery and performance by the Borrower of this Amendment have been duly
authorized by all necessary corporate or other organizational action. Neither the execution, delivery and performance by the Borrower of this Amendment will (a) contravene the terms of any of the Borrower’s Organization Documents,
(b) result in any breach or contravention of, or the creation of any Lien upon any of the property or assets of the Borrower or any of the Restricted Subsidiaries (other than as permitted by Section 7.01 of the Restated Credit Agreement)
under (i) any Contractual Obligation to which the Borrower is a party or affecting the Borrower or the properties of the Borrower or any of its Restricted Subsidiaries or (ii) any order, injunction, writ or decree of any Governmental
Authority or any arbitral award to which the Borrower or its property is subject; or (c) violate any applicable material Law; except with respect to any breach, contravention or violation (but not creation of Liens) referred to in clauses
(b) and (c), to the extent that such breach, contravention or violation would not reasonably be expected to have a Material Adverse Effect. 
 (b) This Amendment has been duly executed and delivered by the Borrower. Each of this Amendment, the Restated Credit Agreement and each other Loan Document to which the Borrower is a party, after giving
effect to the amendments pursuant to this Amendment, constitutes a legal, valid and binding obligation of the Borrower, enforceable against the Borrower in accordance with its terms, except as such enforceability may be limited by Debtor Relief Laws
and by general principles of equity and principles of good faith and fair dealing. 
 (c) Upon the effectiveness of this
Amendment, no Default or Event of Default shall exist. 
 (d) Upon the effectiveness of this Amendment and after giving effect
to the transactions contemplated hereby, the Borrower and its Restricted Subsidiaries, on a consolidated basis, are Solvent. 

(e) Each of the representations and warranties of the Borrower and each other Loan Party contained in Article V of the Restated Credit
Agreement or any other Loan Document, is true and correct in all material respects on and as of the date hereof; provided that, to the extent that such representations and warranties specifically refer to an earlier date, they are true and
correct in all material respects as of such earlier date; provided, further, that any representation and warranty that is qualified as to “materiality,” “Material Adverse Effect” or similar language is true and correct
(after giving effect to any qualification therein) in all respects on such respective dates. 
 SECTION 6. Post-Effectiveness
Obligations. 
 (a) Within sixty (60) days after the Amendment No. 3 Effective Date, unless waived or extended in
writing by the Administrative Agent in its sole discretion, with respect to each Mortgaged Property, the Borrower shall deliver or shall cause the applicable Loan Party to deliver the following (to

 
the extent not otherwise delivered prior to the Amendment No. 3 Effective Date) to the Administrative Agent: 
  

	 	(i)	with respect to each Mortgage encumbering Mortgaged Property, an amendment (each, a “Mortgage Amendment”) duly executed and acknowledged by the
applicable Loan Party, and in form for recording in the recording office where such Mortgage was recorded, together with such certificates, affidavits, questionnaires or returns as shall be required in connection with the recording or filing thereof
under applicable law, in each case in form and substance reasonably satisfactory to the Administrative Agent; 

  

	 	(ii)	with respect to each Mortgage Amendment, an endorsement to the existing title insurance policy assuring the Administrative Agent that the Mortgage, as amended by the
Mortgage Amendment, is a valid and enforceable first priority lien on such Mortgaged Property in favor of the Administrative Agent (as appropriate) for the benefit of the Secured Parties free and clear of all liens except those liens created or
permitted by the Mortgage or by the Administrative Agent, and such endorsement to title insurance policy shall otherwise be in form and substance reasonably satisfactory to the Administrative Agent; 

 

	 	(iii)	with respect to each Mortgage Amendment, opinions of counsel to the Loan Parties, which opinions (x) shall be addressed to the Administrative Agent and each of the
Secured Parties, (y) shall cover (i) the due authorization, execution, delivery of such Mortgage Amendment and (ii) the enforceability of the respective Mortgage as amended by the Mortgage Amendment, and (x) shall otherwise be in
form and substance reasonably satisfactory to the Administrative Agent; and 

  

	 	(iv)	with respect to the Mortgaged Property, a copy of, or a certificate as to coverage under, the property insurance policies required by Section 6.07 of the Credit
Agreement and the applicable provisions of the Security Agreement, which shall include a mortgagee endorsement in form and substance consistent with such certificates previously delivered to the Administrative Agent. 

SECTION 7. Reference to and Effect on the Credit Agreement and the Loan Documents. 

(a) Except as expressly set forth herein, this Amendment shall not by implication or otherwise limit, impair, constitute a waiver of, or
otherwise affect the rights and remedies of the Lenders, the Administrative Agent or the Borrower under the Restated Credit Agreement or any other Loan Document, and shall not alter, modify, amend or in any way affect any of the terms, conditions,
obligations, covenants or agreements contained in the Restated Credit Agreement or any other Loan Document, all of which are ratified and affirmed in all respects and shall continue in full force and effect. Without limiting the generality of the
foregoing, the Collateral Documents and all of the Collateral described therein do and shall continue to secure the payment of all Obligations of the Loan Parties under the Loan Documents, in each case, as amended by this Amendment. 

(b) On and after the effectiveness of this Amendment, this Amendment shall for all purposes constitute a Loan Document. 

 SECTION 8. Costs and Expenses. The Borrower agrees to pay or reimburse the
Administrative Agent pursuant to Section 10.04 of the Restated Credit Agreement. 
 SECTION 9. Execution in
Counterparts. This Amendment may be executed in one or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Delivery by facsimile or electronic transmission of an
executed counterpart of a signature page to this Amendment shall be effective as delivery of an original executed counterpart of this Amendment. 
 SECTION 10. Notices. All communications and notices hereunder shall be given as provided in the Restated Credit Agreement. 
 SECTION 11. Severability. If any provision of this Amendment is held to be illegal, invalid or unenforceable, the legality, validity and enforceability of the remaining provisions of this Amendment
and the other Loan Documents shall not be affected or impaired thereby. The invalidity of a provision in a particular jurisdiction shall not invalidate or render unenforceable such provision in any other jurisdiction. 

SECTION 12. Successors. The terms of this Amendment shall be binding upon, and shall inure for the benefit of, the parties hereto
and their respective successors and assigns. 
 SECTION 13. Governing Law. This Amendment shall be governed by, and
construed in accordance with, the law of the State of New York. 
 [The remainder of this page is intentionally left blank]

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by their
respective officers thereunto duly authorized, as of the date first above written. 
  

			
	AVAYA INC.
		
	By:	 	/s/ Matthew Booher
	Name:	 	Matthew Booher
	Title:	 	Vice President and Treasurer

 
			
	 CITIBANK, N.A.,
 as
Administrative Agent

		
	By:	 	/s/ Matthew S. Burke
		 	Name: Matthew S. Burke
		 	Title: Vice President

 
			
	 BARCLAYS BANK PLC,

as a Revolving Credit Lender

		
	By:	 	/s/ Nicole Conjares
		 	Name: Nicole Conjares
		 	Title: AVP

 
			
	 CITICORP NORTH AMERICA INC.,
 as a Lender

		
	By:	 	/s/ Timothy Dilworth
		 	Name: Timothy Dilworth
		 	Title: Vice President

 
			
	 CREDIT SUISSE AG, Cayman Islands Branch,
 as a Lender

		
	By:	 	/s/ Jay Chall
		 	Name: Jay Chall
		 	Title: Director
		
	By:	 	/s/ Rahul Parmar
		 	Name: Rahul Parmar
		 	Title: Associate

 
			
	 Deutsche Bank AG, New York Branch,
 as a Revolving Credit Lender

		
	By:	 	/s/ Evelyn Thierry
		 	Name: Evelyn Thierry
		 	Title: Director
		
	By:	 	/s/ Omayra Laucella
		 	Name: Omayra Laucella
		 	Title: Vice President

 
			
	 GOLDMAN SACHS LENDING PARTNERS LLC,
 as a Revolving Credit Lender

		
	By:	 	/s/ Mark Walton
		 	Name: Mark Walton
		 	Title: Authorized Signatory

 
			
	 JPMorgan Chase Bank, N.A.,
 as a Revolving Credit Lender

		
	By:	 	/s/ Ann B. Kerns
		 	 Name: Ann B. Kerns
 Title:
Vice President

 
			
	 MORGAN STANLEY SENIOR FUNDING, INC,
 as a Revolving Credit Lender

		
	By:	 	/s/ Andrew Earls
		 	 Name: Andrew Earls
 Title:
VP

 
			
	 UBS Loan Finance LLC,
 as a Lender

		
	By:	 	/s/ Irja R. Otsa
		 	 Name: Irja R. Otsa
 Title:
Associate Director

  

			
	By:	 	/s/ Joselin Fernandes
		 	 Name: Joselin Fernandes

Title: Associate Director

 ANNEX A 
 GUARANTOR CONSENT AND REAFFIRMATION 
 August 8, 2011 

Reference is made to Amendment No. 3 to Credit Agreement attached as Exhibit A hereto (the “Amendment”), dated as
of August 8, 2011 to the Credit Agreement dated as of October 26, 2007, as amended by Amendment No. 1, dated as of December 18, 2009 and as amended and restated as of February 11, 2011 pursuant to Amendment No. 2 (as
amended, amended and restated, supplemented or otherwise modified prior to the date hereof, the “Restated Credit Agreement”), among Avaya Inc. (the “Borrower”), Avaya Holdings Corp. (formerly known as Sierra
Holdings Corp.), Citibank, N.A., as Administrative Agent, Swing Line Lender and L/C Issuer, and each Lender from time to time party thereto. Capitalized terms used but not otherwise defined in this Guarantor Consent and Reaffirmation (this
“Consent”) are used with the meanings attributed thereto in the Amendment. 
 Each Guarantor hereby consents to the
execution, delivery and performance of the Amendment and agrees that each reference to the Credit Agreement in the Loan Documents shall, on and after the Amendment No. 3 Effective Date, be deemed to be a reference to the Restated Credit
Agreement as amended by the Amendment. 
 Each Guarantor hereby acknowledges and agrees that, after giving effect to the
Amendment, all of its respective obligations and liabilities under the Loan Documents to which it is a party, as such obligations and liabilities have been amended by the Amendment, are reaffirmed, and remain in full force and effect. 

After giving effect to the Amendment, each Guarantor reaffirms each Lien granted by it to the Administrative Agent for the benefit of the
Secured Parties under each of the Loan Documents to which it is a party, which Liens shall continue in full force and effect during the term of the Restated Credit Agreement, and shall continue to secure the Obligations (after giving effect to the
Amendment), in each case, on and subject to the terms and conditions set forth in the Restated Credit Agreement and the other Loan Documents. 
 Nothing in this Consent shall create or otherwise give rise to any right to consent on the part of the Guarantors to the extent not required by the express terms of the Loan Documents. 

This Consent is a Loan Document and shall be governed by, and construed and interpreted in accordance with, the law of the state of New
York. 

 IN WITNESS WHEREOF, the parties hereto have duly executed this Consent as of the date first
set forth above. 
  

			
	 AVAYA HOLDINGS CORP.

AC TECHNOLOGIES, INC.

AVAYA CALA INC.
 AVAYA EMEA LTD.
 AVAYA FEDERAL SOLUTIONS, INC.

AVAYA GOVERNMENT SOLUTIONS INC.

AVAYA INTEGRATED CABINET SOLUTIONS INC.

AVAYA MANAGEMENT SERVICES INC.

AVAYA WORLD SERVICES INC.

INTEGRATED INFORMATION TECHNOLOGY CORPORATION

SIERRA ASIA PACIFIC INC.

TECHNOLOGY CORPORATION OF AMERICA, INC.

UBIQUITY SOFTWARE CORPORATION

VPNET TECHNOLOGIES, INC.

AVAYA HOLDINGS LLC

AVAYA HOLDINGS TWO, LLC

OCTEL COMMUNICATIONS LLC

		
	By:	 	 
	Name:	 	
	Title:	 	

 Exhibit A to 
 Guarantor Consent and Reaffirmation 
 Amendment No. 3 to Credit
Agreement 
 [See attached]

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00193-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00193-of-00352.parquet"}]]