Document:

EX-10.1

 EXHIBIT 10.1 

APPLIED GENETIC TECHNOLOGIES CORPORATION 

EMPLOYEE’S RESTRICTED STOCK AGREEMENT 

1. Restricted Stock Award. Applied Genetic Technologies Corporation (the “Company”) has granted to Matthew Feinsod
(the “Grantee”), a restricted stock award (the “Award”), pursuant to the Company’s 2013 Equity and Incentive Plan (the “Plan”), of 10,000 shares (the “Shares”) of common stock,
$0.001 par value (“Common Stock”), of the Company, subject to the terms and conditions of this Agreement and the Plan. Except where the context otherwise requires, the term “Company” shall include the parent and all
present and future subsidiaries of the Company as defined in Sections 424(e) and 424(f) of the Internal Revenue Code of 1986, as amended or replaced from time to time (the “Code”). Capitalized terms used and not otherwise defined
herein shall have the meanings ascribed to them in the Plan. 
 2. Forfeitable Shares and Vested Shares. All Shares shall be deemed
to be “Forfeitable Shares” until the Company’s right of forfeiture, described in Section 4, below, has expired (and the Grantee’s right to retain such shares has accrued) in accordance with the vesting schedule set forth in
Section 3. Forfeitable Shares shall be subject to forfeiture as described in Section 4, below. “Vested Shares” are Shares held by the Grantee as to which the Company’s right of forfeiture has expired (and the
Grantee’s right to retain has accrued) based on the stock vesting schedule. All certificates representing Forfeitable Shares shall remain in the possession of the Company until such shares become Vested Shares in accordance with the terms of
this Agreement. 
 3. Vested Shares; Vesting Schedule. The Company’s right of Forfeiture shall expire and the Shares shall
become Vested Shares in accordance with the following schedule: 
 (a) All of the total number of Shares (100%) shall become
Vested Shares on the six-month anniversary of the grant date of March 13, 2020, such that all of the Shares shall be Vested Shares on September 13, 2020 (the “Vesting Date”). 

4. Forfeiture of Shares. 

4.1 Forfeiture. If for any reason the Grantee ceases to be employed by the Company (including, without limitation, by reason of the
Grantee’s voluntary resignation or the Company’s dismissal of the Grantee for any reason, with or without cause) then all Shares which as of the date of such termination of employment constitute Forfeitable Shares shall be forfeited to the
Company without payment of any consideration by the Company. There shall be no further accruals under the vesting schedule, and no further Forfeitable Shares shall become Vested Shares, from and after the date of any such termination of employment.

 4.2 Death or Disability. The Committee shall have sole authority and discretion to determine whether in the event of the death or
Disability of the Grantee, the vesting of the Shares under the Vesting Schedule would be accelerated so that all Shares become Vested Shares, effective as of the date of death or Disability. 

 4.3 Forfeiture of Forfeitable Shares. The Grantee’s rights in all Forfeitable
Shares shall terminate automatically on the date of the Grantee’s termination of employment, and the Company may thereupon cancel the certificate or certificates representing such Forfeitable Shares on its books. In the event that the
certificates then being retained by the Company under this Agreement also represent other shares of Common Stock not being forfeited to the Company, the Company shall issue to the Grantee replacement certificates for such other shares. 

4.4 Nontransferability of Shares. No Shares may be transferred, assigned, pledged or hypothecated in any way (whether by operation of
law or otherwise) or otherwise disposed of prior to their becoming Vested Shares. Upon any attempt to transfer, assign, pledge, hypothecate or otherwise dispose of any Forfeitable Shares, or upon the levy of any attachment or similar process upon
Forfeitable Shares, the Company shall have a right of Forfeiture with respect to such Forfeitable Shares. Notwithstanding the foregoing, the Grantee may transfer any Shares either during his or her lifetime or on death by will or intestacy to one or
more members of his or her immediate family or to a trust the beneficiaries of which are exclusively the undersigned and/or a member or members of his or her immediate family; provided, however, that prior to any such transfer each transferee shall
execute an agreement, satisfactory to the Company, pursuant to which each transferee shall agree to receive and hold such Shares subject to the provisions hereof (including, without limitation, the Company’s right of forfeiture with respect to
any Shares so transferred that constitute Forfeitable Shares), and there shall be no further transfer except in accordance with the provisions hereof. For the purposes of this paragraph, “immediate family” shall mean spouse, lineal
descendent, father, mother, brother or sister of the transferor. 
 5. No Special Employment Rights. Nothing contained in the Plan or
this Agreement shall confer upon the Grantee any right with respect to the continuation of his or her employment by the Company or interfere in any way with the right of the Company at any time to terminate such employment or to increase or decrease
the Grantee’s compensation. 
 6. Rights as a Shareholder. The Grantee shall have the rights of a shareholder with respect to
all of the Forfeitable Shares and the Vested Shares held by the Grantee (including, without limitation, any rights to vote and to receive dividends or non-cash distributions with respect to such shares) unless
and until the Company exercises its right of Forfeiture as to any or all of the Forfeitable Shares in accordance with Section 4. 
 7.
Availability of Tax Election: Withholding. 
 (a) Grantee acknowledges that the Company has advised the Grantee of the
possibility of making an election under Section 83(b) of the Code with respect to the Award of the Shares and has recommended that the Grantee consult a qualified tax advisor regarding the desirability of making such an election in light of the
Grantee’s individual circumstances. 
 (b) Grantee shall, no later than the date as of which the value of any Shares first becomes
includable in the gross income of the Grantee for Federal income tax purposes, pay to the Company, or make arrangements satisfactory to the Committee regarding payment of any Federal, state, local and/or payroll taxes of any kind required by law to
be withheld with respect to such income. The Company and its Affiliates shall, to the extent permitted by law, have the right to deduct any such taxes from any payment of any kind otherwise due to the participant. 

  
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 (c) Grantee may elect to have such tax withholding obligation satisfied, in whole or in
part, by (i) authorizing the Company to withhold from the Vested Shares a number of shares with an aggregate Fair Market Value (as defined in the Plan, and determined of the date the withholding is effected) not greater than that which would
satisfy the minimum statutory withholding amount due with respect to such Award, or (ii) delivering to the Company a number of Shares with an aggregate Fair Market Value (as of the date the withholding is effected) that would satisfy the
statutory minimum withholding amount due. In the event that the amount of any such tax that is due with respect to such Award exceeds the statutory minimum amount, the Grantee shall be responsible for, and make provision for the timely payment of,
any such excess amount. 
 8. Miscellaneous. 

8.1 By accepting this Award, Grantee agrees that, if so requested by the Company or by the underwriters managing any underwritten offering of
the Company’s securities, the recipient will not, without the prior written consent of the Company or such underwriters, as the case may be, sell, make any short sale of, loan, grant any option for the purchase of, or otherwise dispose of any
shares subject to any such Award during the Lock-up Period, as defined below. The “Lock-Up Period” shall mean a period of time not exceeding 180 days or, if
greater, such number of days as shall have been agreed to by each director and executive officer of the Company in a substantially similar lock-up agreement by which each such director and executive officer is
bound. If requested by the Company or such underwriters, the Grantee will enter into an agreement with such underwriters consistent with the foregoing. 

8.2 Any certificate representing Shares shall be subject to a legend in substantially the following form: 

“THE SHARES OF STOCK EVIDENCED BY THIS CERTIFICATE ARE SUBJECT TO AND ARE TRANSFERABLE ONLY IN ACCORDANCE WITH THAT CERTAIN RESTRICTED STOCK AGREEMENT
DATED [•], 2020. ANY ATTEMPTED TRANSFER OF THE SHARES OF STOCK EVIDENCED BY THIS CERTIFICATE IN VIOLATION OF SUCH AGREEMENT SHALL BE NULL AND VOID AND WITHOUT EFFECT. A COPY OF THE AGREEMENT MAY BE OBTAINED FREE OF CHARGE FROM THE SECRETARY OF
THE COMPANY.” 
 8.3 Grantee hereby agrees to execute and deliver to the Secretary of the Company a stock power (endorsed in blank)
hereto covering this Award and authorizes the Secretary to deliver to the Company for cancellation any and all Shares that are forfeited or withheld under the provisions of this Agreement. 

8.4 Except as provided herein, this Agreement may not be amended or otherwise modified unless evidenced in writing and signed by the Company
and the Grantee. 
 8.5 All notices under this Agreement shall be mailed or delivered by hand to the parties at their respective addresses
set forth beneath their names below or at such other address as may be designated in writing by either of the parties to one another. 
 8.6
This Agreement shall be governed by and construed in accordance with the laws of The Commonwealth of Massachusetts, without regard to its principles of conflicts of laws. 

  
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 8.7 This Agreement is and shall be subject in every respect to the provisions of the Plan,
as amended from time to time, which is incorporated herein by reference and made a part hereof. 
 8.8 This Agreement is executed in two
(2) counterpart originals, one (1) to be retained by the Grantee and one (1) to be retained by the Company. 
 Date of Grant: 

March 13, 2020 
  

			
	APPLIED GENETIC TECHNOLOGIES CORPORATION
		
	By:	 	 /s/ Susan Washer, March 25, 2020

	Title:	 	President and Chief Executive Officer

  
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 GRANTEE’S ACCEPTANCE 

The undersigned hereby accepts the grant of the Restricted Stock Award described in this Agreement and agrees to the terms and conditions
thereof. The undersigned hereby acknowledges receipt of a copy of the Company’s 2013 Equity and Incentive Plan. 
  

	
	 GRANTEE
  

	 /s/ Matthew Feinsod, March 25, 2020

	Name: Matthew Feinsod
	
	Address:
	  

	  

	
	Social Security Number:
	  

 STOCK POWER 

FOR VALUE RECEIVED, the undersigned hereby sells, assigns and transfers to the Company a total of 10,000 shares of the Common Stock of the
Company represented by stock certificate number ___ to be delivered herewith, and does hereby irrevocably constitute and appoint ______________________ as attorney to transfer said shares on the books of the Company with full power of substitution
in the premises. 
 Dated: ___________________ 
  

	
	  

	Name: Matthew Feinsod

  
 - 2 -ex_10-18

 

 

Amendment
Number One to

The MITRE Corporation License Agreement

for CyGraph
Software

 

WHEREAS Visium Analytics, LLC
(“Licensee”) and The MITRE Corporation
(“MITRE”) entered into a
Software License Agreement for CyGraph Software dated 27
March 2019 (the
“Agreement”); and

 

WHEREAS the software and documentation comprising the data
visualization capability known as CyGraph may be described and
claimed in U.S. Patent No. 10,313,382, issued June 4, 2019, and
titled “SYSTEM AND METHOD FOR VISUALIZING AND ANALYZING
CYBER-ATTACKS USING A GRAPH MODEL” (the "CyGraph Patent");
and

 

WHEREAS Company and MITRE
desire to amend the Agreement for the purpose of conveying
exclusive rights to the CyGraph Software, and any claims of
the CyGraph Patent that would otherwise be infringed by making,
using, selling, or importing for sale the CyGraph Software,
contingent on Company’s
achievement of certain Milestones as set forth in this Amendment
Number One (“Amendment One”), effective
_May 7,
2020_____ (the “Amendment
One Effective Date”).

 

NOW, THEREFORE, Company and
MITRE, desiring to enter into a legally binding agreement, agree as
follows:

 

1.

All terms and conditions of the
Agreement, including all its exhibits
and attachments, will remain in full force and effect unless
specifically revised in this Amendment One.

 

2.  

Section
“License” shall be amended to add the following
thereafter:

 

“(g)
Notwithstanding anything to the contrary herein, the parties
mutually agree that commencing on Amendment One Effective
Date:

1.

MITRE agrees to
grant an exclusive, revocable license of the Software, for Licensee
to use, copy, and create Derivative Works for a period of two (2)
years (“Exclusive Period”). For the purpose of this
paragraph, the term “Year” shall mean any given twelve
(12) month period. Licensee shall pay MITRE an Exclusivity Fee of
(a) $20,000 for Year 1 of the Exclusive Period, and (b) $50,000 for
Year 2 of the Exclusive Period. The Exclusivity Fees are payable as
following: for Year 1, the first installment of $10,000 is due upon
execution of this Amendment One, and the second installment of
$10,000 is due at the first anniversary of the Amendment One
Effective Date; for Year 2, one payment of $50,000 is due at the
second anniversary of the Amendment One Effective Date. MITRE will
invoice Licensee for each installment, and Licensee shall pay
within thirty (30) days of the invoice date.

2.

Milestones

(i)
Milestone No. 1.: Licensee agrees to raise investment capital of at
least two (2) million dollars from accredited investors within
eighteen (18) months from the Amendment One Effective Date
(“Fundraising Period”). Licensee will provide reports
to MITRE containing details of investment capital raised when this
Milestone No. 1 is achieved, with a summary report at the end of
the Fundraising Period. If Licensee fails to achieve Milestone No.
1 within the Fundraising Period, the exclusive license granted in
paragraph 1 above is revoked immediately.

(ii)
Milestone No. 2.: Licensee agrees to make at least five (5)
commercial sales within the Fundraising Period. If Licensee fails
to achieve Milestone No. 2 within the Fundraising Period, the
exclusive license granted in paragraph 1 above is revoked
immediately.

3.

During or after the
Fundraising Period, if Licensee raises investment capital in excess
of Milestone No. 1, MITRE shall extend, in writing by Amendment to
the License Agreement, the Exclusive Period at the rate of twelve
(12) months per each one (1) million dollars raised (the
“Extended Exclusive Period”), provided however, that
the total duration of the exclusive license shall not exceed five
(5) years from the Amendment One Effective Date.

4.

During each Year of
the Extended Exclusive Period, Licensee shall pay to MITRE an
Extended Exclusivity Fee equal to the greater of (i) $50,000
annually or (ii) 6% of gross fees charged to Licensee’s
customers for Licensee’s Product for any and all sales of the
Licensee Product accrued during the Year. Licensee agrees to follow
the procedure as set forth in the Agreement, Section 4.2
“Fees and Payments”, for reporting and paying the
Extended Exclusivity Fee.”

 

3. 

Section 
4.3 “Change of Control Fees” shall be deleted in its
entirety and replaced with the following:

 

“4.3
Change of Control
Fees. In the event that there is a change in control of
Licensee’s division that is engaged in commercializing the
Licensed Products, whether through sale, merger or acquisition
(“Change in Control”), where the corresponding
transaction is valued at:

(i) greater than twenty million dollars
($20,000,000) and less than or equal to one hundred million dollars
($100,000,000), then Licensee shall immediately remit to MITRE a
one-time fee of one-hundred thousand dollars ($100,000.00);
or

(ii) greater than one hundred million
dollars ($100,000,000.00) and less than or equal to one billion
dollars ($1,000,000,000.00), then Licensee shall immediately remit
to MITRE a one-time fee of two-hundred and fifty thousand dollars
($250,000.00) or

(iii) greater than one billion dollars
($1,000,000,000), then Licensee shall immediately remit to MITRE a
one-time fee of one million dollars
($1,000,000.00).”

 

4.

The
parties and each individual executing this agreement on behalf of
the parties hereto represent and warrant that such individual is
duly authorized to execute and deliver this Amendment One on behalf
of his or her party.

 

 

 

 

IN WITNESS WHEREOF, the parties hereto have duly executed
this Amendment One to be effective as of the Amendment One
Effective Date.

 

 

	

Visium Analytics, LLC

	
 

	

The MITRE Corporation

	
 

	
 

	
 

	

By: /s/
Mark Lucky

	
 

	

By: /s/
Vivian C. Coyan

	

(Signature)

	
 

	

(Signature)

	
 

	
 

	
 

	

Name:
Mark Lucky

	
 

	

Name: 
Vivian C. Coyan

	

Title:
Chief Executive Officer

	
 

	

Title:
Corporate Licensing Manager 

	

Date: 
May 6, 2020

	
 

	

Date: 7
May 2020

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