Document:

EX-10.2

 Exhibit 10.2 

PURCHASE AND SALE AGREEMENT 

THIS PURCHASE AND SALE AGREEMENT (hereinafter referred to as this “Agreement”) is made and entered into as of
May 6, 2021 (the “Effective Date”) by and between 71 PICKETT DISTRICT ROAD, LLC, a Connecticut limited liability company (“Fee Owner”), and ANTONIO CAPANNA, SR., an individual, and FILOMENA CAPANNA, an
individual, each as members of Fee Owner (together with Fee Owner, collectively referred to as “Seller”), and AMSC HUSKY LLC, a Connecticut limited liability company (hereinafter referred to as “Purchaser”). As used
in this Agreement, Seller and Purchaser may each be referred to collectively as the “Parties” and individually as a “Party”. This Agreement is entered into with reference to the following: 

RECITALS: 
 A. Fee Owner
is the owner of real property known as 71 Pickett District Road and 115 Picket District Road, New Milford, Connecticut, and consisting of two (2) parcels being more particularly described on Exhibit A attached hereto and made a part
hereof (collectively, the “Land”), together with: (a) all improvements located on the Land (the “Improvements”); (b) all and singular the rights, benefits, privileges, easements, tenements, hereditaments, and
appurtenances on the Land or in anywise appertaining to the Land; and (c) all right, title and interest of Seller in and to all strips and gores and any land lying in the bed of any street, road or alley, open or proposed, adjoining such Land
(collectively, the “Property”). 
 B. Purchaser desires to purchase the Property from Seller and Seller desires to sell the
Property to Purchaser, upon the terms and conditions hereinafter set forth. 
 NOW, THEREFORE, in consideration of the foregoing
recitals and the mutual agreements hereinafter contained and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Seller and Purchaser hereby agree as follows: 

ARTICLE 1 
 PURCHASE
OF THE PROPERTY 
 1.1. Purchase of the Property. Seller agrees to sell the Property to Purchaser and Purchaser agrees to
purchase the Property from Seller (the “Transaction”) upon the terms, covenants and conditions herein set forth. 

 1.2 Closing; Establishment of Escrow. The closing of the Transaction shall occur
concurrently with the execution and delivery of this Agreement subject to the satisfaction or waiver by the applicable Party of the Closing conditions set forth in Article 3 herein to be satisfied or waived as set forth in this Agreement,
including the delivery of all documents and funds pursuant to Section 3 (the “Closing”) through an escrow (the “Escrow”) which shall be established with First American Title Insurance
Company (the “Title Company”) pursuant to a mutually agreed upon escrow agreement with the Title Company for the Transaction (“Escrow Agreement”). The Parties expressly acknowledge that, as between the Parties, the
Escrow Agreement shall not supersede, modify or amend any of the terms of this Agreement, and in the event of any conflict or ambiguity between any of the terms of this Agreement and those of the Escrow Agreement, the terms of this Agreement shall
in all instances govern and control. Notwithstanding the preceding sentence, the failure of any Party to execute the Escrow Agreement shall not invalidate this Agreement or affect the duties, obligations or responsibilities of the Parties hereunder.
The fee due the Title Company for its services and disbursements incurred in fulfilling its obligation under the Escrow Agreement (the “Escrow Charges”) shall be allocated between the Parties as set forth in this Agreement. 

ARTICLE 2 
 PURCHASE
PRICE 
 Purchase Price. The purchase price (hereinafter referred to as the “Purchase Price”) to be paid by
Purchaser to Seller for the Property shall be Four Million Three Hundred Thousand Dollars and 00/100 ($4,300,000). The Purchase Price shall be paid by Purchaser to Seller, subject to the adjustments,
pro-rations and credits hereinafter provided, at the Closing by the wire transfer of immediately available negotiable funds. 

ARTICLE 3 
 CLOSING
DATE AND CLOSING 
 3.1 Closing. The consummation of the Transaction contemplated by this Agreement shall occur pursuant to
an escrow closing, with all closing documents, with appropriate written closing instructions, delivered to the offices of the Title Company or at such other place as the Parties may mutually agree upon in writing. The date of the Closing shall be
the Effective Date. 
 3.2. Purchaser’s Obligations at Closing. On or before the Closing, Purchaser shall deliver the following
to the Title Company, in Escrow: 
 A. A wire transfer of immediately available negotiable funds to Escrow, in the amount of the Purchase
Price, of which (i) $1,922,082 will be paid directly by Purchaser to TD Bank as full payment for the outstanding indebtedness secured by the first mortgage on the Property, and (ii) $2,377,918 will be paid in immediately available funds by Purchaser
to Seller; 
 B. A closing and pro-ration statement in form and substance reasonably acceptable to
Seller and Purchaser; 
 C. A Transfer Act Form III (Real Estate) executed by Purchaser as set forth in Article 9.1 herein below and a
Transfer Act Form III (Business Only) executed by AMSC (as defined below) as set forth in Section 5.9 of the Stock Purchase Agreement (as defined below); 

  
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 D. Such other documents and instruments as may be reasonably required to give effect to this
Agreement or as may be reasonably requested by Seller, the Title Company, or Seller’s attorney in connection with the consummation of the Transaction contemplated hereunder (provided, however, no such additional document shall expand any
obligation, covenant, representation or warranty of Purchaser or result in any new or additional obligation, covenant, representation or warranty of Purchaser under this Agreement beyond those expressly set forth herein); and 

E. Evidence of the existence, organization and authority of Purchaser and of the authority of the persons executing documents on behalf of
Purchaser reasonably satisfactory to the Seller and Seller’s counsel. 
 3.3. Seller’s Obligations at Closing. At the
Closing, the Seller shall execute and acknowledge (where necessary) and deliver the following to the Title Company, in Escrow: 
 A. Special
Warranty Deeds substantially in the form of Exhibit B-1 and B-2 attached hereto and made a part hereof, from Seller conveying all of the Property to
Purchaser, free and clear of all liens, charges and encumbrances other than: (i) taxes not yet due and payable; (ii) the Permitted Exceptions (as hereinafter defined); and (iii) any other matters which have been approved in writing by
Purchaser (collectively, the “Deed”); 
 B. Sole and exclusive possession of the Property, subject only to the Permitted
Encumbrances, in substantially the condition existing as of the date Purchaser last inspected the Property; 
 C. Payoff letters for all
mortgages, security agreements or other liens encumbering the Property (the “Monetary Encumbrances”), which will be released pursuant to terms of the Escrow Agreement; 

D. A closing and pro-ration statement in form and substance reasonably acceptable to Seller and
Purchaser; 
 E. A Foreign Investment in Real Property Tax Act affidavit; 

F. A Bill of Sale transferring the items of personal property referenced in Article 11 hereof; 

G. Evidence of the existence, organization and authority of Seller and of the authority of the persons executing documents on behalf of Seller
reasonably satisfactory to the Title Company; 
 H. If and as required, an Internal Revenue Service Form 1099S; 

  
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 I. A standard owner’s affidavit, in form and substance reasonably acceptable to Seller,
for the benefit of the Title Company concerning tenants in possession and labor and materials provided to the Property by Seller and affirming that Seller is not a foreign person pursuant to Internal Revenue Code § 1445, together with any other
affidavit reasonably and customarily requested by the Title Company; 
 J. A completed Connecticut Real Estate Conveyance Tax Return (Form OP-236), together with checks for the payment of State of Connecticut conveyance tax and the Town of New Milford conveyance tax; 

K. If not previously delivered to Purchaser as part of its Due Diligence investigations, the originals or copies, as applicable, of
(i) the blue prints, plans and specifications, warranties, manuals, equipment specifications and all other documents that pertain to the Property and that are currently situated at the Property; and (ii) all keys and security codes that
are needed to access the Property (collectively, the “Property Information”); 
 L. A Transfer Act Form III (Real Estate)
executed by Seller and Fee Owner as set forth in Article 9.1 and a Transfer Act Form III (Business Only) executed by Company Stockholders (as defined in the Stock Purchase Agreement) and Fee Owner as set forth in Section 5.9 of the Stock
Purchase Agreement; 
 M. A Termination Agreement terminating the Existing Lease on or before the Closing Date; and 

N. Such other documents and instruments as may be required by law and/or as may be reasonably required to give effect to this Agreement and as
may be reasonably requested by Purchaser, the Title Company or Purchaser’s attorney in connection with the consummation of the Transactions contemplated hereunder (provided, however, no such additional document shall expand any obligation,
covenant, representation or warranty of Seller or result in any new or additional obligation, covenant, representation or warranty of Seller under this Agreement beyond those expressly set forth herein). 

3.4 Owner’s Policy of Title Insurance. As a condition of Purchaser’s obligation under this Agreement, Purchaser shall receive
from the Title Company an unconditional, irrevocable commitment to issue to Purchaser an ALTA Owner’s Policy of Title Insurance (2006) in the amount of the Purchase Price, dated at or after the Closing, providing standard title insurance
coverage for Purchaser against loss under such title policy, subject only to the exceptions to coverage set forth on Schedule B thereto and agreed upon by Purchaser (“Permitted Exceptions”). The cost of such standard title insurance
coverage, together with any extended coverage desired by Purchaser under such policy of title insurance, if available, and any lender’s policy of title insurance desired by Purchaser, shall all be the responsibility of Purchaser. 

  
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 ARTICLE 4 

CONTINGENCIES 
 4.1
Seller’s Warranties and Representations. In addition to all other terms and conditions set forth in this Agreement, the obligation of Purchaser to consummate the Transaction contemplated hereunder is conditioned upon each of
Seller’s representations and warranties contained herein being true and correct in all material respects as of the date of the Closing. 

4.2 Closing under Stock Purchase Agreement. In addition to all other terms and conditions set forth herein, the obligation of the
Parties to consummate the Transaction contemplated hereunder is conditioned upon the consummation of the transactions set forth in that certain Stock Purchase Agreement, dated as of the date hereof, by and among American Superconductor Corporation,
a Delaware corporation (“AMSC”), as “Buyer” thereunder, Antonio Capanna, Sr., Antonio Capanna, Jr. and the other parties thereto (the “Stock Purchase Agreement”). 

ARTICLE 5 

REPRESENTATIONS, WARRANTIES AND COVENANTS OF SELLER 

Each Seller, jointly and severally, hereby makes the following representations, and warrants and covenants to and with Purchaser, which
representations, warranties and covenants are material, are being relied upon by Purchaser (notwithstanding any independent inspections or inquiries of Purchaser or Purchaser’s representatives) and shall continue to be true at the time of
Closing: 
 A. The individuals signing this Agreement and all other documents executed or to be executed pursuant hereto on behalf of Seller
shall be duly authorized to sign the same on Seller’s behalf and to bind Seller thereto and all documents to be executed pursuant hereto by Seller are and shall be binding upon and enforceable against Seller in accordance with their respective
terms. 
 B. There is no pending or, to Seller’s knowledge, threatened, litigation, governmental investigation or like proceeding
before any court, tribunal, or other governmental agency respecting the Property or the operation of the Property by Seller, nor has Seller received notice of any special assessment proceedings affecting the Property. Seller shall notify Purchaser
promptly of any such proceedings of which Seller becomes aware. 
 C. Seller has not received any written notice nor, to Seller’s
knowledge (as defined below), is it aware of any pending action, to take by eminent domain or by deed in lieu thereof all or any portion of the Property. 

  
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 D. Purchaser acknowledges that prior to the Effective Date, Seller has delivered to
Purchaser an electronic version of reports listed on Exhibit D attached hereto (“Seller’s Environmental Reports”). To Seller’s knowledge, except as may be disclosed in Seller’s Environmental
Reports (including the addenda thereto), (i) there are no “Hazardous Materials”, other than in connection with building maintenance activities and building maintenance substances, and materials used in the ordinary course of the
Tenant’s business operations in compliance with applicable “Environmental Laws” as defined in this Article 5D, located on, in, or under the Property; (ii) there has not been a “Release”, as defined below in this
paragraph D, of any Hazardous Material in, on or under the Property; (iii) the Property has not been used for the use, storage, generation, manufacture, treatment, transportation, handling or disposal of any Hazardous Material, other than in
connection with building maintenance activities and building maintenance substances and materials used in the ordinary course of the Tenant’s business operations in compliance with applicable “Environmental Laws” (as defined in this
Article 5D); (iv) there are no underground storage tanks or solid waste disposal areas (as defined in C.G.S. § 22a-207(6), as amended) on the Property; and (v) the Property is in compliance with all
Environmental Laws, including but not limited to any and all applicable compliance or permitting obligations. The term “Hazardous Materials” shall mean and refer to the following: petroleum products and fractions thereof, asbestos,
asbestos containing materials, urea formaldehyde, polychlorinated biphenyls, radioactive materials, and all other dangerous, toxic or hazardous pollutants, contaminants, chemicals, materials, substances and wastes listed or identified in, regulated
by, and/or arising out of any Environmental Law. The term “Environmental Laws” shall mean and refer to the following: all federal, state, county, municipal, and local statutes, laws, ordinances and regulations which relate to or
deal with human health or the environment (as all may be amended from time to time), including but not limited to the Connecticut Transfer Act, Conn. Gen. Stat. § 22a-134 et seq. (as amended) (the
“Transfer Act”) and the Connecticut Remediation Standard Regulations, R.C.S.A. §§ 22a-133k1-3 inclusive (as amended) (the
“RSRs”). The term “Release” shall have the meaning set forth in Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended (“CERCLA”). 

E. There is no agreement to which Seller is a party or that is binding on Seller that is in conflict with this Agreement nor are there any
outstanding options to purchase or rights of first offer or first refusal which affect the Property. There is no action or proceeding pending or, to Seller’s knowledge, threatened against Seller or relating to the Property that challenges or
impairs Seller’s ability to execute or perform its obligations under this Agreement or that might detrimentally affect the value or the use or operation of the Property. 

F. Except as expressly set forth in Seller’s Environmental Reports, to Seller’s knowledge, Seller has not received from any
governmental authority any notice of any violation of laws applicable to the Property or any part thereof. 
 G. Seller shall retain and be
responsible for all claims, liabilities and/or obligations related to the presence of any Hazardous Materials at, on, under, or from the Property, whether known or unknown, disclosed or undisclosed, in existence or in any way arising from or in
connection with pre-Closing conditions or occurrences, including, without limitation, anything described or contained within Seller’s Environmental Reports, and any and all claims, liabilities, and/or
obligations in connection with or arising out of Environmental Laws. 
 H. Except for the Lease on or prior to the date hereof
(“Terminated Lease”) between Seller and Neeltran, Inc. (the “Tenant”), there are no leases, subleases, tenancies or other rights of use or occupancy with respect to the Property. 

  
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 I. Seller has not received written notification, nor is Seller otherwise aware, that the
Property is not in compliance with all material conditions, restrictions and requirements contained in any zoning ordinances, whether current or grandfathered, applicable to such Property. There are no zoning or other land use or permit-related
proceedings before any governmental entity instituted or, to Seller’s knowledge, threatened or planned to be instituted, that would detrimentally affect the use of any Property as presently contemplated. No person, other than Seller and Tenant
have the right to use or occupy the Property. 
 J. Seller has not filed or been the subject of any filing of a petition under the federal
bankruptcy law or any federal or state insolvency laws for composition of indebtedness or for the reorganization of debtors. Moreover, at no time on or before the Closing, shall any of the following have occurred with respect to Seller: (i) the
commencement of a case under Title 11 of the United States Code, as now constituted or hereafter amended, or under any other applicable federal or state bankruptcy law or other similar law; (ii) the appointment of a trustee or receiver of any
property interest; (iii) an assignment for the benefit of creditors; (iv) an attachment, execution or other judicial seizure of a substantial property interest that would materially interfere with Seller’s ability to perform its
obligations under this Agreement; (v) the taking of, failure to take, or submission to any action indicating an inability to meet its financial obligations as they accrue; or (vi) a dissolution or liquidation. 

K. Unless assigned to and assumed by Seller, at the time of Closing, there will be no service contracts or agreements affecting the Property
that will constitute a lien against the Property or be enforceable in any respect against Purchaser or the Property. 
 L. Seller is not a
foreign person as defined in Section 1445 of the Internal Revenue Code. 
 M. To Seller’s knowledge, the Property is currently in
compliance with any applicable restrictive covenants or deed restrictions affecting the Property or any current or grandfathered governmental requirements regarding zoning, building, health, traffic, flood control, fire safety or handicap access,
and the Seller has not received any written notice otherwise. 
 N. Seller has timely completed and paid for all work in connection with the
improvements and at the Property and indemnifies Buyer from and against any and all liens or claims in connection therewith. 
 For purposes
of this Agreement (including, without limitation, this Article 5), “Seller’s knowledge” means the knowledge of any Seller and/or Antonio Capanna, Jr. The representations, warranties and covenants set forth in this Article 5
shall survive the Closing and claims related to any breach by Seller of such representations, warranties and/or covenants shall be subject to indemnification pursuant to Section 10.14 of this Agreement. 

  
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 ARTICLE 6 

CLOSING COSTS AND ADJUSTMENTS 

6.1. Closing Costs. Purchaser shall pay the cost of the recording and filing fees for the Deeds; the cost of obtaining the Commitment;
the cost of obtaining any survey of the Property (if obtained), one-half (1/2) of the Escrow Charge; if and as applicable, the cost of Purchaser’s owner’s policy of title insurance, including any
extended title insurance coverage desired by Purchaser and any lender’s policy of title insurance desired by Purchaser, as provided in Section 3.4 hereof; and any other fees and costs customarily treated as closing costs paid by the
purchaser in accordance with the custom of the local bar association (except to the extent this Agreement expressly provides for such fees or costs to be paid by Seller). Seller shall pay the cost of preparing the Deeds; the state and municipal real
estate conveyance taxes payable as a result of this Transaction; one-half (1/2) of the Escrow Charge; the Transfer Act Form III (Real Estate), and any other fees and costs customarily treated as closing costs
paid by the Seller in accordance with the custom of the local bar association (except to the extent this Agreement expressly provides for such fees or costs to be paid by Purchaser). Subject to the other terms and conditions of this Agreement, each
Party hereto shall be responsible for the payment of the respective attorneys’ fees incurred by such Party in connection with the Transaction contemplated by this Agreement. 

6.2. Pro-rations. Purchaser and Seller agree that the following
pro-rations and adjustments shall he made to the Purchase Price at the Closing: 
 A. Real and
personal property taxes shall be adjusted in the manner set forth in the customs of the local bar association. Any installments of special assessments on the Property for the year in which the Closing occurs shall be
pro-rated, with Seller to be responsible for the number of days through and including the date immediately prior to the Closing Date, and Purchaser to be responsible for the number of days from and after the
Closing Date. Any proration of real estate and other taxes and special assessments shall be based upon the last known actual real estate taxes or assessments payable according to public record, and such proration shall be considered final. 

B. Metered charges for water, sewer, electricity and any and all other metered utility charges which relate to the Property, shall not be
adjusted at the Closing, but such charges for the period prior to and including the Closing Date shall be determined by final meter readings and shall be paid by Seller when the final bills are rendered. The Parties shall cooperate to transfer all
utility accounts to Purchaser as of the Closing Date. 
 ARTICLE 7 

BROKERAGE COMMISSION 

7.1. Brokerage Commission. Each of Seller and Purchaser represents and warrants to the other Party (the Party making such
representations and warranties shall be referred to as the “Indemnifying Party”) that no person or entity is entitled to receive any brokerage commission or finder’s fee or any other fee or commission, as a result of actions
taken or agreements entered into by the Indemnifying Party in connection with the Transaction underlying this Agreement. The Indemnifying Party shall indemnify the other Party against, and hold the other Party harmless from, any and all suits,
claims, demands, judgments, damages, costs or expenses, including reasonable attorneys’ fees, which arise out of the Indemnifying Party’s breach of its warranties, representations and agreements under this Section 7.1. 

  
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 ARTICLE 8 

NOTICE 
 8.1 Any
notice or election required or permitted to be given or served by any Party hereto shall be in writing, and shall be (i) sent by United States certified or registered mail, postage prepaid, return receipt requested, (ii) sent by recognized
overnight delivery service (such as, but not limited to, Federal Express, DHL or UPS) with tracking capability, or (iii) sent by email with a confirmation copy then sent by first class mail or by a nationally recognized overnight courier, in
each case addressed as follows: (a) to Seller at the appropriate address set forth below, or to such other place as Seller may from time to time designate in a notice to Purchaser; or (b) to Purchaser at the addresses set forth below, or
to such other firm or to such other place as Purchaser may from time to time designate in a notice to Seller. 
 8.2 Any notice will be
deemed given (i) on the day that is three (3) business days following the date it was deposited in the United States Mail, (ii) on the business day following deposit with a recognized overnight delivery service (delivery charges
prepaid or billed to sender) for next business day delivery, (iii) on the date personal delivery is made, if given by personal delivery, or (iv) on the date of delivery in the case of email, provided that (aa) such delivery is reasonably
confirmed as received by the recipient (i.e., no error report is received by the sender); (bb) if delivery occurs after 5:00 p.m. in the time zone of the recipient or on a non-business day, then such notice
shall be deemed received on the first business day after the day of delivery; and (cc) a confirmation copy of the e-mailed notice is then sent by first class mail or by a nationally recognized overnight
courier, as provided above. 
 If to
Seller:                     71 Pickett District Road, LLC 

71 Pickett District Road 

New Milford, CT 06776 

Attention: Antonio Capanna, Jr. 

Email: Tony @neeltran.com 

With a copy to:              Rita A. Steinberger, Esq. 

PO Box 2126 

Westport, CT 06880 

Email: ras@rasteinlaw.com 

If to Purchaser: 

American Superconductor Corporation 

114 East Main Street 

Ayer, MA 01432 

Attn: John R. Samia, Vice President, General 

Counsel and Corporate Secretary 

E-mail: john.samia@amsc.com 

  
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 With a copy to:
              Latham & Watkins LLP 
 200
Clarendon St. 
 Boston, MA 02116 

Attention: Peter Handrinos 

                 Philip Rossetti 

E-mail: peter.handrinos@lw.com 

 philip.rossetti@lw.com 

and 

Latham & Watkins LLP 

12670 High Bluff Drive 

San Diego, CA 92130 

Attention: Stephanie Fontanes 

Email: stephanie.fontanes@lw.com 

  
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 ARTICLE 9 

CONNECTICUT TRANSFER ACT 

9.1 Connecticut Transfer Act. 

A. For the purposes of this Article 9, the terms “Establishment,” “Transfer of Establishment”,
“Form III,” “Environmental Condition Assessment Form,” “Certifying Party,” “Licensed Environmental Professional,” and “Verification” shall be defined as they are
defined in the Connecticut Transfer Act, Conn. Gen. Stat. § 22a-134 et seq. (as amended) (“Transfer Act”). The real property known as 71 Pickett District Road, New Milford,
Connecticut (“71 Pickett District Road”) is an Establishment and the sale of 71 Pickett District Road described in this Agreement constitutes a Transfer of Establishment. Seller, the Company Stockholders (as defined in the Stock
Purchase Agreement), and Fee Owner shall assume the liability, cost, duty, and responsibility for compliance with the Transfer Act, which compliance is required as a result of the transfer of 71 Pickett District Road. Fee Owner shall prepare and
deliver to Purchaser before Closing a Form III (Real Estate) that will be signed by Purchaser as transferee and Fee Owner as transferor and Certifying Party on or before Closing (hereinafter the “Fee Owner” shall be referred to as the
“Certifying Party”). Fee Owner is also Certifying Party for the Form III (Business Only) filing for the transfer of the Business Operation located at 71 Pickett District Road, as more fully set forth in the Stock Purchase Agreement
(“Form III Business Filing). Certifying Party shall also prepare a draft Environmental Condition Assessment Form that is in a form and substance reasonably satisfactory to Purchaser and deliver it to Purchaser before Closing. Certifying Party
shall return the original fully executed Form III (Real Estate) to Purchaser at Closing, and Certifying Party shall file the Form III (Real Estate) and Environmental Condition Assessment Form, along with the appropriate filing fee with the
Connecticut Department of Energy & Environmental Protection (“DEEP”), within ten (10) days after Closing (the “Form III RE Filing”). Certifying Party shall comply with all requirements of the Transfer
Act as transferor and Certifying Party under the Form III RE Filing, at its sole cost and expense, including but not limited to the completion of any investigation and/or remediation required by the Transfer Act in accordance with the Connecticut
Remediation Standard Regulations, R.C.S.A. §§ 22a-133k-1 – 3 (as amended) (“RSRs”) under the direction of Russell J. Dirienzo, LEP #129,
of Arcadis, Inc. Certifying Party shall be entitled to record an Environmental Use Restriction, as that term is defined in the Connecticut Environmental Use Restriction Regulations, R.C.S.A. §§ 22a-133q-1 – 9 (as amended) (“EUR”), for the purpose of restricting residential use at 71 Pickett District Road, to assist with compliance with the Transfer Act as determined by the Certifying
Party’s LEP, at the Company Stockholders’ and Certifying Party’s sole cost and expense, and at no cost to Buyer, except that Purchaser shall be responsible at its sole cost and expense to pay for its own LEP or attorneys to conduct
its own independent review of the EUR and associated documents and the costs associated with securing any subordinations of any interests created at or after Closing, necessary for the proposed EUR. Certifying Party, at its sole cost and expense,
shall make its LEP available for questions or comments on the proposed EUR, to the extent reasonable. Certifying Party shall be required to secure Purchaser’s written approval to utilize any other EUR, which approval shall be in
Purchaser’s sole and absolute discretion, except in the event that the Parties in their reasonable discretion agree that Certifying Party is unable to comply with the Transfer Act without use and recording of a groundwater use restriction
and/or a restriction rendering soil environmentally isolated, in which case Purchaser’s approval shall not be unreasonably withheld. Seller, the Company Stockholders, and Certifying Party shall comply with all DEEP submission requirements of
the Transfer Act in compliance with the timeframes and standards required under the Transfer Act. Upon completion of Certifying Party’s investigation and any required remediation under the Form III RE Filing and the Form III Business Filing,
Certifying Party shall submit Verifications for both the Form III RE Filing and the Form III Business Filing to the Commissioner of DEEP, prepared by its LEP, as required by and in compliance with the timeframes and standards required under the
Transfer Act. If the Commissioner of DEEP conducts an audit of the Verifications, Seller, the Company Stockholders, and Certifying Party shall fully comply with the requirements of the audit such that the audit is successfully completed and the
Verifications are accepted by the Commissioner of DEEP (collectively the “TA Obligations”). Purchaser agrees that Certifying Party and the respective transferors under both the Form III RE Filing and the Form III Business Filing
shall have completed the TA Obligations hereunder after submission of its Verification, upon the earlier to occur of (i) the issuance of a No Audit Stamp of the Verifications from DEEP; (ii) the successful completion of any DEEP audit of
the Verifications, confirmed in writing by DEEP; (iii) the expiration of the statutory audit timeframe which is currently one (1) year from the date of submission of the Verifications, in the event DEEP does not initiate an audit within
the audit timeframe; or (iv) the date of receipt of a written approval of the investigation and remediation by the Commissioner of DEEP, if required (the “TA Completion Date”) Certifying Party shall provide draft copies of any
and all reports, forms, correspondence, applications, EURs, or documents proposed to be submitted to DEEP, to Purchaser at least fifteen (15) business days in advance of submission to DEEP, for Purchaser’s review and comment. Certifying
Party agrees to work in good faith with Purchaser to integrate Purchaser’s comments into such reports or documents before filing, but only to the extent Certifying Party’s LEP determines said comments are reasonable. 

  
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 Following the Closing, Purchaser covenants and agrees on behalf of itself and its heirs, successors and
assigns, to cooperate with the Certifying Party with regard to the Certifying Party’s performance of the TA Obligations, in accordance with the terms and provisions of the Post Closing Environmental Remediation and Site Access Agreement, set
forth in Exhibit C attached hereto and made a part hereof, to be executed by all Parties at Closing and recorded on the Land Records together with Deed. Such cooperation includes without limitation: (i) signing as the grantor any EUR to
be recorded for 71 Pickett District Road in accordance with the terms of the foregoing paragraph, recording such EUR on the New Milford Land Records and providing proof of recording to the Certifying Party, and complying with all requirements of
such EUR as the Property owner after the filing of the EUR on the land records including any requirements under the EUR Regulations; (ii) providing the Certifying Party, and/or its agents, consultants, LEP, contractors or subcontractors access
to the Property in accordance with the Post Closing Environmental Remediation and Site Access Agreement to allow Certifying Party to complete its TA Obligations; (iii) providing assurances at Closing that the Purchaser shall ensure that the
holder of any interest created at or after Closing shall agree to subordinate such interest, if necessary, to any EUR to be recorded for 71 Pickett District Road in accordance with the terms of the foregoing paragraph, including securing any such
subordination agreements, if required, until such time as the EUR is approved and ready to be filed on the land records; and (iv) until the occurrence of the TA Completion Date, assuming the liability, duty and responsibility for compliance
with applicable Environmental Law arising from the Release of Hazardous Materials and/or Materials of Concern to the extent caused or created by Buyer and/or Tenant after Closing on, about, under, or emanating from the TA Property. This covenant
shall survive the Closing contemplated hereby. 
 B. Purchaser acknowledges and agrees that Seller has allowed Purchaser to inspect fully
the Property and investigate all matters relevant thereto, including without limitation, environmental matters. Purchaser has conducted a Phase I Environmental Site Assessment and limited environmental sampling of the Property, determined in
Purchaser’s sole and absolute discretion. Seller has made available to Purchaser copies of Seller’s Environmental Reports in its possession, custody, or control relating to the environmental condition of the Property, and has provided
Purchaser with an opportunity to discuss the environmental conditions of the Property with Certifying Party’s LEP, in order to facilitate the transfer of the Property, said Seller’s Environmental Reports being provided for informational
purposes only, without making any representations or warranties with respect to the accuracy, methodology of preparation, completeness, ability to rely there upon, or otherwise concerning the contents of such reports. 

C. Subject to Section 9.1D below and except as otherwise set forth in the Post-Closing Environmental Remediation and Site Access
Agreement, Seller covenants and agrees to release, defend, indemnify and hold harmless Purchaser, its affiliates, officers, directors, employees, agents, representatives and independent contractors from and against any and all liabilities, claims,
demands, damages, costs, losses, fines, fees, suits, actions, and expenses of any kind or nature, for any liabilities arising out of the Transfer Act, as applicable to the transfer of 71 Pickett District Road contemplated by this Agreement. 

  
 12 

 D. Certifying Party’s obligation to comply with the Transfer Act pursuant to this
Article 9 shall not extend to any actions required or liability because of environmental conditions (1) first occurring at the Property after the Closing and not caused by Seller or those claiming by, through or under Seller, and/or
(2) resulting from activities (other than activities by Seller or those claiming by, through or under Seller) at the Property after the Closing. 

E. Seller represents that the real property known as 115 Pickett District Road, New Milford, Connecticut is not an Establishment, and
therefore, no filing is required to be made under the Transfer Act at Closing. 
 F. The obligations, terms and conditions contained in this
Article 9 shall expressly survive the Closing. 
 ARTICLE 10 

GENERAL PROVISIONS 

10.1. Entire Agreement. This Agreement constitutes the entire and complete agreement between the Parties hereto and supersedes any
prior oral or written agreements between the Parties with respect to the Property. It is expressly agreed that there are no verbal understandings or agreements which in any way change the terms, covenants and conditions herein set forth, and that no
modification of this Agreement and no waiver of any of its terms and conditions shall be effective unless made in writing and duly executed by the Parties hereto. The failure by either Party to enforce against the other any term or provision of this
Agreement shall not be deemed to be a waiver of such Party’s right to enforce against the other Party by the same or any other such term or provision in the future. 

10.2. Dates for Performance. All references to “business days” herein are references to working days, Monday through Friday
of each calendar week, excepting legal holidays. If the date for the performance of any act hereunder falls on a Saturday, Sunday or legal holiday recognized by the Title Company, then the time for performance of such act shall be deemed extended to
the next business day. 
 10.3. Survival. Subject to the last paragraph of Article 5 hereof and subject to Article 9 hereof, the
covenants, agreements, representations and warranties set forth in this Agreement shall survive (and shall be enforceable after) the Closing, and shall be binding upon and shall inure to the benefit of the Parties hereto and their respective
successors and assigns. 
 10.4. Captions. The headings or captions of the articles, sections or paragraphs appearing in this
Agreement are for convenience of reference only, are not a part of this Agreement and are not to be considered in interpreting this Agreement. 

  
 13 

 10.5. Binding Effect. This Agreement shall become effective and shall be binding on
the Parties hereto only after it has been signed by both Purchaser and Seller. This Agreement and all the covenants, terms and provisions contained herein shall be binding upon and inure to the benefit of the Parties hereto and their respective
successors and assigns as set forth hereafter. 
 10.6. Controlling Law and Venue. This Agreement has been made and entered into
under the internal laws of the State of Connecticut, and said laws shall control the interpretation hereof. The venue of any action brought to enforce the terms or conditions of this Agreement shall be in the state or federal courts located in the
State of Connecticut. 
 10.7. Invalidity. Any provision in this Agreement that is held to be illegal or unenforceable shall be
ineffective to the extent of such illegality or unenforceability without invalidating the remaining provisions and any such illegal or unenforceable provision shall be deemed to be restated to reflect as nearly as possible the original intentions of
the Parties in accordance with applicable law. 
 10.8. Counterparts; Signatures of Parties. This Agreement may be executed in one or
more counterparts, each of which may be executed by fewer than all the Parties hereto, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument; however, this Agreement shall not be effective
until each Party hereto shall have executed and delivered to the other Party at least one counterpart hereof. Any Party’s signature to a copy hereof shall be deemed a signature to, and may be attached to, any other identical copy hereof. The
exchange of copies of this Agreement and of signature pages by facsimile or scanned, e-mail transmission shall constitute effective execution and delivery of this Agreement as to the exchanging Parties and may
be used in lieu of the original Agreement for all purposes. Signatures of the Parties transmitted by facsimile or scanned, e-mail shall be deemed to be their original signatures for all purposes. 

10.9. Prevailing Party. In the event a dispute arises between the Parties as a result of a default by the other Party of any of such
other Party’s obligations under this Agreement, the non-prevailing Party shall pay to the prevailing Party the reasonable costs and expenses incurred by the prevailing Party in connection with such
dispute (including, without limitation, all court costs and reasonable attorneys’ and paralegals’ fees and costs, if any, incurred in connection with such dispute). 

10.10. Participation. Each of the Parties hereto has had the opportunity to participate in the negotiation and preparation of this
Agreement, and expressly acknowledges such participation, and agrees that no rule construing contractual language against the Party which drafted such language shall be applicable in connection with this Agreement. 

10.11. Expenses of Parties. Except as otherwise specifically provided in this Agreement, each Party hereto will pay and bear its own
expenses and fees in connection with this Agreement or any of the transactions contemplated hereby. 

  
 14 

 10.12. Third Party Beneficiary. AMSC is a third-party beneficiary to this Agreement
and is entitled to the rights and benefits hereunder and may enforce the provisions hereof as if it were a Party hereto. 
 10.13. Time
of the Essence. Subject to the other terms and conditions of this Agreement, time shall be of the essence with respect to the Closing Date set forth in this Agreement. 

10.14. Indemnification. Notwithstanding anything to the contrary set forth herein and without limitation to the provisions set forth in
Article VI of the Stock Purchase Agreement or other rights afforded to Purchaser under applicable laws, the Parties expressly acknowledge and agree that (i) the provisions of Article VI of the Stock Purchase Agreement shall apply in all
respects to the representations, warranties and covenants set forth in this Agreement and (ii) the Purchaser and AMSC, as third party beneficiary hereunder, shall be entitled to indemnification rights to the fullest extent set forth in Article
VI of the Stock Purchase Agreement, subject to the limitations set forth therein, in respect of any and all Damages (as defined in the Stock Purchase Agreement) incurred or suffered by the Purchaser or AMSC resulting from, relating to or
constituting any inaccuracy in or breach of any representation or warranty contained in this Agreement, or any failure to perform any covenant or agreement of the Seller contained in this Agreement. For the avoidance of doubt, the Parties agree that
if any claim could be brought under this Agreement against the Seller, or under the Stock Purchase Agreement against the Stockholders (as defined in the Stock Purchase Agreement), then AMSC, on behalf of itself and its affiliates (including
Purchaser), shall be permitted to bring any such claim against all of the Selling Parties (as defined in the Stock Purchase Agreement), and all of the Selling Parties shall be jointly and severally liable for any and all Damages resulting from any
such claim. 
 ARTICLE 11 

FIXTURES, EQUIPMENT, AND OTHER ITEMS ON PROPERTY 

The Parties acknowledge that the fixtures, equipment, and other items listed on Exhibit E attached hereto are situated on the Property.
The Parties agree such fixtures, equipment, other items listed on Exhibit E shall remain on the Property and become the property of Purchaser as of the Closing. Seller represents that it is the owner of such fixtures, equipment, and other
items listed on Exhibit E, free and clear of any liens and encumbrances. To the extent the items listed on Exhibit E are considered personal property, as opposed to fixtures and therefore part of the Property, Seller shall execute a
Bill of Sale conveying to Purchaser at Closing all of Seller’s right, title and interest in such items of personal property. Purchaser agrees that it shall accept ownership of such items of personal property as of the Closing, in its “as
is” condition, as of the Closing. 
 [Remainder of page intentionally left blank; signatures to follow.] 

  
 15 

 IN WITNESS WHEREOF, the Parties have executed this Agreement as of the Effective Date. 

 

			
	PURCHASER:

 
			
	
	AMSC HUSKY LLC

 
			
		
	By:	 	/s/ John W. Kosiba, Jr.

 
			
	Name:	 	John W. Kosiba, Jr.
	Title:	 	Authorized Person

  
 16 

 IN WITNESS WHEREOF, the Parties have executed this Agreement as of the Effective Date. 

 

			
	SELLER:
	
	71 PICKETT DISTRICT ROAD, LLC, a
	Connecticut limited liability company

			
		
	By:	 	/s/ Antonio Capanna, Sr.

			
	Name:	 	Antonio Capanna, Sr.

			
	Title:	 	Manager

			
	
	/s/ Antonio Capanna, Sr.
	ANTONIO CAPANNA, SR., an individual, in
	his capacity as a member of Fee Owner
	
	/s/ Filomena Capanna
	FILOMENA CAPANNA, an individual, in her
	capacity as a member of Fee Owner

  
 17 

 EXHIBIT A 

Legal Description 

PARCEL ONE 
  

 
 PARCEL TWO  
  

 

  
 Ex. A 

 EXHIBIT B-1 

Form of Special Warranty Deed 

SPECIAL WARRANTY DEED 
 KNOW YE,
that 71 Pickett District Road, LLC a Connecticut limited liability company with an address at 71 Pickett District Road, New Milford, CT 06776, herein (“Grantor”), for and in consideration of the sum of One Dollar
($1.00) and other valuable considerations received to its full satisfaction of AMSC HUSKY LLC, a Connecticut limited liability company (“Grantee”), does hereby grant, bargain, sell and convey unto said Grantee and its successors and
assigns forever all that certain piece or parcel of land, together with the buildings and improvements located thereon, situated in the Town of New Milford, County of Litchfield and State of Connecticut, known as 71 Pickett District Road (the
“Property”) being more fully described on the Schedule A attached hereto and subject only to those matters set forth in Schedule B attached hereto. 

TO HAVE AND TO HOLD the above granted and bargained Property with warranty covenants, with the appurtenances thereof, unto them the said Grantee, and
unto the said Grantee’s successors and assigns forever, to them and their own proper use and behoof. 
 AND ALSO, the said Grantor does hereby
covenant with the Grantee and the Grantee’s successors and assigns, that Grantor has good right, full power, and lawful authority to sell and convey the Property to the Grantee; and that Grantor and its successor and assigns shall warrant and
defend the Property against any claims and demands of any persons claiming by or under the Grantor, but not to those claiming otherwise. 

SIGNATURE PAGE FOLLOWS 

  
 Ex. B-1 

 IN WITNESS WHEREOF, the Grantor has hereunto set their hand and seal
this                day of May, 2021. 
  

									
	Signed, Sealed and Delivered in Presence of:	 		 	
			
		 		 	71 Pickett District Road, LLC
				
	 	 		 	By:	 	 
		 		 		 		 	Antonio Capanna, Sr.
		 		 		 		 	Its Manager, Duly Authorized
				
	 	 		 		 	

  

					
			
	STATE OF CONNECTICUT	  	)	  	
		  	) ss. NEW MILFORD	  	
	COUNTY OF LITCHFIELD	  	)	  	

 On this, the___day of May, 2021, before me, the undersigned officer, personally appeared Antonio Capanna, Sr.
who acknowledged himself to be a Manager of 71 Pickett District Road, LLC, a Connecticut limited liability company, and that he, as such Manager, being authorized so to do, executed the foregoing instrument for the purposes therein contained, by
signing the name of the limited liability company by himself as Manager. 
 In witness whereof, I hereunto set my
hand.     
  

	
	
	   

	Commissioner of the Superior Court
	Notary Public/My commission Expires:

  
 Ex. B-1 

 SCHEDULE A 

A certain piece or parcel of land together with all buildings and improvements located thereon, and being shown and designated as: “AREA
247,467 +/- S.F. 5.68 +/- Ac.” on a certain map or plan (“Map”) entitled: “PROPERTY AND TOPOGRAPHIC SURVEY PREPARED FOR NEELTRAN, INC. 71 PICKETT DISTRICT ROAD, NEW MILFORD, CONNECTICUT Date: 2-03-05 Scale 1” = 40’ Proj. No.: 05909 File No. 1233 Aced No.: 05909A2 Sheet 1 of 1 CCA LLC 40 Old New Milford Road, Brookfield, CT 06804 (203) 775-6207
33 Village Green Drive, Litchfield, CT 06759 (860) 567-3179 DATE: 8-22-05 REVISION: FLOOD ZONE BOUNDARY &
CERTIFICATION” which Map is on file as Map Nos. 3193 and 3215 in the New Milford Land Records to which reference may be had. 
 Said
Property is more particularly bounded and described as follows: 
 Beginning at a point in the easterly street line of Pickett District Road,
which point marks the southwesterly corner of the parcel herein described, thence running N 04° 34’ 00” E, along the easterly street line of Pickett District Road, at distance of 450.08 feet to a point marked by an iron pipe and which
point marks the northwesterly corner of the parcel herein described; thence running S86° 51’ 00” E, along land now or formerly of Kimberly Clark Corporation, a distance of 542.48 feet to a point, which point marks the northeasterly
corner of the parcel herein described; thence running S 02° 39’ 06” W, along land or formerly of Maybrook Railroad Company a distance of 449.96 feet to a point, which point marks the southeasterly corner of the parcel herein described;
thence running N 86° 51’ 00” W, along land now or formerly of CLC Real Estate LLP and land now or formerly of Howard Hammer, in part by each, a distance of 557.52 feet to the point and place of beginning. 

  
 Ex. B-1 

 SCHEDULE B 

 

	 	1.	 Real Estate Taxes on the Grand List of October 1, 2020 and thereafter which the Grantee assumes and agrees
to pay. 

  

	 	2.	 Water and sewer use charges not yet due and payable 

 

	 	3.	 Declaration of Wetlands dated June 10, 2005 and recorded June 20, 2005 in Volume 867 at Page 271 of
the New Milford Land Records. 

  

	 	4.	 Variance dated November 17, 2008 and recorded November 17, 2008 in Volume 976 at Page 805 of the New
Milford Land Records. 

  

	 	5.	 Permit dated July 15, 2013 and recorded November 6, 2013 in Volume 1086 at Page 424 of the New
Milford Land Records. 

  

	 	6.	 Permit dated July 16, 2018 and recorded July 16, 2018 in Volume 1165 at Page 296 of the New Milford
Land Records. 

  

	 	7.	 Flowage rights contained in a certain deed dated August 24, 1953 and recorded in Volume 122 at Page 71 of
the New Milford Land Records. 

  

	 	8.	 Notes and conditions as shown on said Map Nos. 1037, 3193, and 3215. 

 

	 	9,	 Rights of others in and to any watercourse situated upon or crossing the premises. 

  
 Ex. B-1 

 EXHIBIT B-2 

SPECIAL WARRANTY DEED 
 KNOW YE,
that 71 Pickett District Road, LLC a Connecticut limited liability company with an address at 71 Pickett District Road, New Milford, CT 06776, herein (“Grantor”), for and in consideration of the sum of One Dollar ($1.00)
and other valuable considerations received to its full satisfaction of AMSC HUSKY LLC, a Connecticut limited liability company (“Grantee”), does hereby grant, bargain, sell and convey unto said Grantee and its successors and assigns
forever all that certain piece or parcel of land, together with the buildings and improvements located thereon, situated in the Town of New Milford, County of Litchfield and State of Connecticut, known as 115 Pickett District Road (the
“Property”) being more fully described on the Schedule A attached hereto and subject only to those matters set forth in Schedule B attached hereto. 

TO HAVE AND TO HOLD the above granted and bargained Property with warranty covenants, with the appurtenances thereof, unto them the said Grantee, and
unto the said Grantee’s successors and assigns forever, to them and their own proper use and behoof. 
 AND ALSO, the said Grantor does hereby
covenant with the Grantee and the Grantee’s successors and assigns, that Grantor has good right, full power, and lawful authority to sell and convey the Property to the Grantee; and that Grantor and its successor and assigns shall warrant and
defend the Property against any claims and demands of any persons claiming by or under the Grantor, but not to those claiming otherwise. 

SIGNATURE PAGE FOLLOWS 

  
 Ex. B-2 

 IN WITNESS WHEREOF, the Grantor has hereunto set their hand and seal
this                day of May, 2021. 
  

									
	Signed, Sealed and Delivered in Presence of:	 		 	
			
		 		 	71 Pickett District Road, LLC
				
	 	 		 	By:	 	 
		 		 		 		 	Antonio Capanna, Sr.
		 		 		 		 	Its Manager, Duly Authorized
				
	 	 		 		 	

  

					
			
	STATE OF CONNECTICUT	  	)	  	
		  	) ss. NEW MILFORD	  	
	COUNTY OF LITCHFIELD	  	)	  	

 On this, the___day of May, 2021, before me, the undersigned officer, personally appeared Antonio Capanna, Sr.
who acknowledged himself to be a Manager of 71 Pickett District Road, LLC, a Connecticut limited liability company, and that he, as such Manager, being authorized so to do, executed the foregoing instrument for the purposes therein contained, by
signing the name of the limited liability company by himself as Manager. 
 In witness whereof, I hereunto set my
hand.     
  

	
	
	   

	Commissioner of the Superior Court
	Notary Public/My commission Expires:

  
 Ex. B-2 

 SCHEDULE A 

A small triangular piece of land being shown and designated as “AREA .05 +/- Ac” on a certain Map entitled: “PROPERTY AND
TOPOGRAPHIC SURVEY PREPARED FOR NEELTRAN, INC. 71 PICKETT DISTRICT ROAD, NEW MILFORD, CONNECTICUT Date: 2-03-05 Scale 1” = 40’ Proj. No.: 05909 File
No. 1233 Aced No.: 05909A2 Sheet 1 of 1 CCA LLC 40 Old New Milford Road, Brookfield, CT 06804 (203) 775-6207 33 Village Green Drive, Litchfield, CT 06759 (860)
567-3179 DATE: 8-22-05 REVISION: FLOOD ZONE BOUNDARY & CERTIFICATION” which Map is on file as Map Nos. 3193 and
3215 in the New Milford Land Records to which reference may be had and being more particularly bounded and described as follows: 
 Beginning
at a point at the southwesterly corner of the herein described parcel said point being S 86° 51’ 00” E 80.00’ of the southeasterly corner of the first parcel and being in the easterly line of land of the Maybrook Railroad Company
thence along the easterly line of said Company N 02° 39’ 20” E 92’ +/- to the Connecticut Light and Power Company 210 feet contour line for the Housatonic River; thence in a southeasterly direction along said contour 210 foot
contour to a point at the southeasterly corner of the herein described parcel thence N 86° 51’ 00” W 42.38’ to the point of beginning. 

  
 Ex. B-2 

 SCHEDULE B 

 

	 	1.	 Real Estate Taxes on the Grand List of October 1, 2020 and thereafter which the Grantee assumes and agrees
to pay. 

  

	 	2.	 Water and sewer use charges not yet due and payable. 

 

	 	3.	 Declaration of Wetlands dated June 10, 2005 and recorded June 20, 2005 in Volume 867 at Page 271 of
the New Milford Land Records. 

  

	 	4.	 Variance dated November 17, 2008 and recorded November 17, 2008 in Volume 976 at Page 805 of the New
Milford Land Records. 

  

	 	5.	 Permit dated July 15, 2013 and recorded November 6, 2013 in Volume 1086 at Page 424 of the New
Milford Land Records. 

  

	 	6.	 Permit dated July 16, 2018 and recorded July 16, 2018 in Volume 1165 at Page 296 of the New Milford
Land Records. 

  

	 	7.	 Flowage rights contained in a certain deed dated August 24, 1953 and recorded in Volume 122 at Page 71 of
the New Milford Land Records. 

  

	 	8.	 Notes and conditions as shown on said Map Nos. 1037, 3193, and 3215. 

 

	 	9.	 Rights of others in and to any watercourse situated upon or crossing the premises. 

  
 Ex. B-2 

 EXHIBIT C 

Post Closing Environmental Remediation and Site Access Agreement 

  
 Ex. C 

 EXHIBIT D 

Seller’s Environmental Reports 
  

  
 Ex. D 

 EXHIBIT E 

List of Fixtures, Equipment and Other Items Currently Situated on the Property 

  
 Ex. EExhibit 10.5

 

[*****] = Certain information contained in this document, marked
by brackets, has been omitted because it is both not material and would be competitively harmful if publicly disclosed.

 

 

 

AMENDED
AND RESTATED CARRYING AGREEMENT

 

THIS AMENDED AND RESTATED
CARRYING AGREEMENT dated 10/29/2020 (the “Agreement”) is between DRIVEWEALTH, LLC, a broker-dealer registered with
the SEC and a member of FINRA (“DriveWealth”), and ML WEALTH, LLC a SEC registered investment advisor (“Company”).

 

The Parties entered into that
certain Carrying Agreement dated August 14, 2018 and any amendments thereto (the “Original Agreement”), and desire
to amend and restate the Original Agreement in its entirety.

 

This Agreement sets forth the terms and conditions
under which DriveWealth shall provide execution and clearing services, on a fully disclosed basis, to Company. DriveWealth shall provide
such execution and clearing services only to the extent required by this Agreement and shall not be responsible for any duties or obligations
not specifically allocated to DriveWealth by this Agreement.

  

Company and DriveWealth (each a “Party”
and, collectively, “Parties”) agree as follows:

  

		1.	Definitions. Capitalized terms shall have the following meanings as used in this Agreement.
Terms in the singular shall include the plural and vice versa:

 

“Account”
means the account of a Customer introduced by Company and accepted by DriveWealth, and carried by DriveWealth on a fully-disclosed basis
on behalf of Company.

 

“Affiliate”
means any person, partnership, joint venture, corporation or other form of enterprise, domestic or foreign, that directly or indirectly,
controls, is controlled by, or is under common control of a party.

 

“Applicable
Law” means, as it pertains to each Party, all provisions of federal, state and local laws; the rules, regulations, constitution,
by-laws and stated policies of FINRA, the SEC, and any other securities exchange, association, or self-regulatory organization (“SRO”)
vested with authority over the Parties and the Transactions contemplated herein. DriveWealth, in its discretion, may submit this Agreement
to FINRA for review and approval in order to remain compliant with the Applicable Law.

 

“Approved
Securities List” means those Securities that are approved by DriveWealth and that are available on the DriveWealth Platform.

 

“Authorized
Persons” means any individual authorized by Company to provide Instructions to DriveWealth.

 

“Authorized
Signatory” means any individual authorized to sign on behalf of Company for matters arising under this Agreement which may require
a signature.

 

“Business
Day” means any day Monday through Friday (New York time), excluding federal holidays in the United States and any day on which
banking institutions and stock market exchanges in the United States are required by law or other government action to close.

 

“Clearing
Deposit” means funds deposited by Company at DriveWealth to cover obligations which may arise from the clearance of Accounts.

 

“Company
Platform” means the introducing brokerage services and technology offered by Company, or an Affiliate of Company, to Customers.

 

    	 	Page 1 of 21	Confidential Treatment Requested 
DriveWealth LLC – Carrying Agreement

     

    

 

“Confidential
Information” means all data and information submitted by one Party to the other Party under the terms of this Agreement including,
without limitation, Non-public Personal Information as that term is defined within the SEC’s Regulation S-P. Confidential Information
shall not include information, technical data or know-how which: (i) was in the possession of, or demonstrably known by, the Receiving
Party prior to its receipt from the Disclosing Party; (ii) is in the public domain at the time of disclosure, not as a result of any inaction
or action of the Receiving Party; (iii) is approved for release by the Disclosing Party in writing; or (iv) is independently developed
by the Receiving Party without reliance on or use of the Confidential Information. “Confidential Information” includes the
fact of this Agreement and the terms and conditions hereof.

 

“Corporate
Action” means any tender offer, exchange offer, rights offering, or other corporate event related to a Security which would
require a notification to an Eligible Shareholder.

 

“Customer”
means the Account holder introduced by Company and accepted by DriveWealth.

 

“DriveWealth
Platform” means the non-introducing brokerage services and technology offered by DriveWealth, or an Affiliate of DriveWealth,
to Company.

 

“Effective
Date” means the date of this Agreement as stated in the introductory clause.

 

“Eligible
Shareholder” means the owner of a Security who is entitled to receive notice of a Corporate Action.

 

“Fees”
mean all costs, charges, fees, and other obligations of Company for services performed by DriveWealth under this Agreement. All Fees will
be reflected in U.S. Dollars.

 

“FINRA”
means the Financial Industry Regulatory Authority, Inc. or any successor thereto.

 

“Instructions”
mean the instructions given by Company and its Authorized Persons to DriveWealth regarding matters under this Agreement.

 

“Intellectual
Property Rights” means any or all of the following in the world: (a) patents (including design patents) and utility models of
any kind, patent applications, including provisional applications, statutory invention registrations, inventions, discoveries and invention
disclosures (whether or not patented), and all related continuations, continuations-in-part, divisions, reissues, re-examinations, substitutions,
and extensions thereof, (b) rights in trademarks, service marks, trade names, corporate names, service names, symbols, logos, trade dress,
packaging design, slogans, internet domain names, uniform resource locators, and other similar identifiers of origin, in each case whether
or not registered, and any and all common law and any applicable moral rights thereto, and registrations and applications for registration
thereof and any goodwill associated therewith, (c) published and unpublished works of authorship whether or not copyrightable, whether
or not registered or sought to be registered, copyrights in and to the foregoing, together with all common law rights therein, and any
applications and registrations therefor and (d) trade secrets, know-how and other information of a confidential nature, (e) mask work
rights and (f) other similar intellectual property rights and/or proprietary rights.

 

“Invoice
Start Date” means the date that Fees will begin being charged to Company. The applicable provision for the Invoice Start Date
is included in section 23.2.

 

“Master
Trading Account” is the account established at DriveWealth in the name of the Company through which the Company will submit
all trades for execution.

 

“Order”
means an Instruction provided for the purchase or sale of a Security.

 

“Platforms”
means either the Company Platform or the DriveWealth Platform as applicable.

 

“RIA”
means a SEC Registered Investment Advisor.

 

“SEC”
means the U.S. Securities and Exchange Commission, or any successor thereto.

 

“Security”
means a security offered through the DriveWealth Platform.

 

“Service
Completion Date” means the date that DriveWealth concludes providing services to Company and Customers as contemplated under
this Agreement.

 

    	 	Page 2 of 21	Confidential Treatment Requested 
DriveWealth LLC – Carrying Agreement

     

    

 

“Service
Level Agreement (SLA)” means DriveWealth’s Service Level Agreement, which is attached hereto as Exhibit C.

 

“Super
Account Administrator” means the individual responsible for credentialing Authorized Persons to DriveWealth.

 

“Transaction”
means a trade executed in an Account for the purchase or sale of a single Security.

 

		2.	Representations, Warranties, and Covenants

 

		2.1.	Company represents, warrants, and covenants, as follows:

 

		2.1.1.	Company is a limited liability company duly organized and in good standing under the laws of Delaware,
USA. Company maintains a principal place of business at 30 West 21st Street, 9th Floor, New York, NY 10010.

 

		2.1.2.	Company is and shall remain an investment advisor registered and in good standing with the SEC (CRD# 289521/SEC#:
801-111640). 

 

		2.1.3.	Company has all the requisite legal authority to enter into and perform this Agreement and to retain the
services of DriveWealth in accordance with the terms of this Agreement. The execution and delivery of this Agreement by Company and the
consummation of the transactions contemplated hereby by the Parties have been duly authorized by Company.

 

		2.1.4.	Company is and shall remain in material compliance with Applicable Law.

 

		2.1.5.	Company has disclosed to DriveWealth every material suit, arbitration, investigation, inquiry or proceeding
pending against it or any Affiliates, officers, or directors by any court, arbitrator, or Regulatory Authority related to the services
and transactions contemplated by this Agreement. Company will notify DriveWealth promptly of any such action that would materially and
adversely affect Company’s ability to fulfill its obligations hereunder.

 

		2.1.6.	Company shall promptly notify DriveWealth in writing if any of the foregoing cease to be true and accurate
at any time.

 

		2.2.	DriveWealth represents, warrants and covenants as follows:

 

		2.2.1.	DriveWealth is a limited liability company duly organized and in good standing under the laws of the state
of New Jersey, United States. DriveWealth maintains a principal place of business at 97 Main Street, 2nd Floor, Chatham, NJ
07928.

 

		2.2.2.	DriveWealth is and shall remain a broker-dealer duly registered with the SEC pursuant to Section 15 of
the Exchange Act and a member in good standing with FINRA (CRD#: 165429/SEC#: 8-69161).

 

		2.2.3.	DriveWealth has all the requisite authority whether arising under applicable federal or state law, or
the rules and regulations of any SRO, to enter into and perform this Agreement and to provide the services in accordance with the terms
of this Agreement. The execution and delivery of this Agreement by DriveWealth and the consummation of the transactions contemplated hereby
by the Parties have been duly authorized by DriveWealth.

 

		2.2.4.	DriveWealth is and shall remain in material compliance with Applicable Law.

 

		2.2.5.	DriveWealth has disclosed to Company every material suit, arbitration, investigation, inquiry or proceeding
pending against it or any Affiliates, officers, or directors by any court, arbitrator, or Regulatory Authority. DriveWealth will notify
Company promptly of any such action that would materially and adversely affect DriveWealth’s ability to fulfill its obligations
hereunder.

 

		2.2.6.	DriveWealth shall promptly notify Company in writing if any of the foregoing cease to be true and accurate
at any time.

 

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		3.	Scope of Securities and Accounts Cleared Pursuant to this Agreement

 

		3.1.	Approved Securities List. DriveWealth will only execute and clear trades for Securities included
on the Approved Securities List. Any changes to the Approved Securities List will be promptly reflected on DriveWealth’s website
and within its APIs.

 

		3.2.	Additions. Company may request that securities be added to the Approved Securities List. DriveWealth
will use best efforts to honor requests for additions but maintains sole discretion as to whether to add securities to the Approved Securities
List.

 

		3.3.	Modifications; Removals. If a Security is removed from the Approved Securities List, DriveWealth
will limit Transactions in that particular Security to the liquidation of positions only. DriveWealth will not be responsible for any
losses resulting from a Security being removed from the Approved Securities List.

 

		4.	Nature of Relationship

 

		4.1.	Territories. This Agreement contemplates Company’s offering in the United States of America.
Additional jurisdictions may be added at a later date subject to the Parties’ mutual discussions and the completion of all due diligence
requirements. Terms may vary with respect to new jurisdictions based on a consideration of all relevant factors.

 

		4.2.	Company’s Relationship with Customer. Company shall provide all introducing advisory services
to Customers, including acting as a custodying RIA under Applicable Law. Company is providing a discretionary, advisory, product and will
place trades on behalf of its Customers. Company will be responsible for all suitability obligations as it relates to Transactions and
investment strategies in Accounts.

 

		4.3.	DriveWealth’s Relationship to Customers. DriveWealth shall provide all non-introducing brokerage
services to Accounts and Customers. All Customers must agree to the terms of DriveWealth’s Customer Account Agreement in order to
establish an Account.

 

		4.4.	Relationship of the Parties. Nothing contained in the Agreement, and no activity hereunder, creates
a general or limited partnership, association, joint venture, branch, or fiduciary relationship between DriveWealth and Company. DriveWealth
is acting as a provider of execution, clearance, settlement, and custody services for Company, and not directly for any Customer or any
other person, with respect to the Accounts. Neither Party may hold itself out as an agent of the other Party or its Affiliates, nor employ
the other Party’s name in any manner that could create the impression that the relationship created or intended between them is
anything other than that of clearing broker and Company. This Agreement between the Parties is not a substitute for any agreements that
either Party is required to execute with the Customer pursuant to its Applicable Law.

 

		4.5.	Non-Exclusive Arrangement. This Agreement is nonexclusive. The Parties are not restricted from
dealing with other companies and organizations with respect to offering similar or equivalent services as are the subject of this Agreement.

 

		4.6.	Activities not Undertaken.

 

		4.6.1.	DriveWealth provides no tax, legal, or investment advice of any kind, nor does DriveWealth give advice
or offer opinions with respect to the nature, potential value, or suitability of any Securities Transaction or investment strategy.

 

		4.6.2.	DriveWealth has no responsibility or duty to monitor Company’s activities and supervision of Customer
Accounts to verify Company’s compliance with its Applicable Law. DriveWealth has no responsibility for monitoring or enforcing Company’s
Agreements with Customers.

 

		4.7.	Use of Name and Logo. Each Party consents to the other Party’s use of its name and logo for
the purposes of partner lists (which may be published on its website, in hardcopy materials, and displayed in office facilities).

 

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		4.8.	Publicity. Each Party shall not issue any press release or make any other public announcement with
respect to this Agreement or the transactions contemplated by this Agreement (to the extent not previously publicly disclosed or made
in accordance with this Agreement) without the prior written consent of the other Party (such consent not to be unreasonably withheld,
conditioned, or delayed) in order to allow such Party with a reasonable opportunity to review and comment on the release or announcement
in advance of its issuance. Notwithstanding anything to the contrary in this section 4.8, each Party may make statements in response
to questions by the press, analysts, investors, business partners, and persons at industry conferences, provided that such statements
are consistent with previous press releases, public disclosures, and generally known facts.

 

		5.	Opening and Approving New Accounts

 

		5.1.	Master Trading Account. Company will establish a Master Trading Account at DriveWealth in the name
of the Company. All trading on behalf of Customers will be conducted through the Master Trading Account. Company agrees to keep current
its Master Trading Account Application. Company shall be responsible for maintaining an up-to-date listing of those individuals that are
authorized to provide Instructions to DriveWealth and will notify DriveWealth if an individual is no longer an authorized person for purposes
of providing Instructions.

 

		5.2.	Customer Accounts. All Accounts will be fully-disclosed to DriveWealth. No Account will be established
at DriveWealth without DriveWealth’s approval. Only retail Customers (individuals) will be permitted to establish Accounts, which
shall be in their own name. All Customers will be required to complete all applicable DriveWealth forms and agreements, including a limited
power of attorney, which: (i) authorizes Company to place trades on behalf of Customers, and; (ii) authorizes DriveWealth to deduct Company
fees from Accounts pursuant to Customers’ agreements with Company. DriveWealth reserves the right to reject any Customer Account
application for any reason whatsoever. Company will be responsible for identifying the Account type designation at onboarding, and maintaining
the appropriate designation for all Accounts on an ongoing basis.

 

		5.3.	[*****]

 

		5.4.	Closing or Liquidating Accounts. DriveWealth reserves the right to take any action related to an
Account including, but not limited to, closing the Account, liquidating assets in an Account, or otherwise restricting the Account’s
activity if DriveWealth, in its reasonable discretion, deems such action necessary to remain compliant with Applicable Law or determines
that there is a reasonable risk-based justification for doing so. Absent such circumstances, DriveWealth will only close, suspend or restrict
any Account where instructed by the Customer or Company.

 

		6.	Acceptance of Orders.

 

		6.1.	Company Acceptance. Company is responsible for the acceptance of all Orders to the Company Platform
pursuant to Applicable Law. Company is solely responsible for recommendations, advice, and solicitations it may render as it relates to
the suitability of Transactions and investment strategies in Customer Accounts.

 

		6.2.	DriveWealth Acceptance. DriveWealth is responsible for accepting Orders and Instructions sent from
the Company Platform to the DriveWealth Platform pursuant to Applicable Law. DriveWealth reserves the right to not accept an Order or
Instruction if necessary to remain compliant with Applicable Law or if DriveWealth, in its reasonable discretion, determines that there
is a reasonable risk-based justification for doing so.

 

		7.	Transmission of Orders for Execution

 

		7.1.	Order Transmission. All Orders will be affected through the Company’s Master Trading Account
and will be automated via the Company Platform to the DriveWealth Platform. Company is responsible for performing any necessary checks
to ensure that the Customer has sufficient funds prior to the transmission of the Order. DriveWealth is authorized to comply with and
rely upon any Orders, Instructions or communications sent from the Company Platform to the DriveWealth Platform. DriveWealth’s understanding
of any Instruction or communication shall be deemed controlling (whether given or received by DriveWealth) unless done in bad faith, notwithstanding
any discrepancy between such understanding and any subsequent confirming document and/or communication.

 

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		7.2.	Cancellations; Erroneous Reports: Company understands and agrees that: (i) when it places a request
to cancel an order, the cancellation of that order is not guaranteed and will only be cancelled if the request is received by the market
center to which the order was routed and matched with the order to be canceled before it is executed; and (ii) except to the extent it
affects any rights or liabilities under this Agreement, Company is not entitled to any erroneous report of an execution and any reporting
or posting errors, including errors in reporting or posting execution prices, will be corrected to reflect what actually occurred in the
marketplace.

 

		7.3.	Rebalancing Schedule: To the extent applicable, Company will notify DriveWealth of its rebalancing
schedule and any changes to that regular schedule, so that DriveWealth can adequately service periods of higher demand.

 

		8.	Execution of Orders

 

		8.1.	Execution. DriveWealth shall provide all execution services for Orders which are successfully received
from the Company Platform to the DriveWealth Platform. DriveWealth will act in either a principal or riskless principal capacity with
respect to fulfilling the fractional share components of a Transaction. DriveWealth will act in an agent capacity with respect to the
full share component of a Transaction. DriveWealth reserves the right to not execute a Transaction if necessary to remain compliant with
Applicable Law or if DriveWealth, in its reasonable discretion, determines that there is a reasonable risk-based justification for doing
so.

 

		8.2.	Best Execution. DriveWealth shall comply in all respects with “best execution” on all
Orders executed through the DriveWealth Platform pursuant to Applicable Law. DriveWealth, in its sole discretion, will make Order routing
decisions to achieve best execution.

 

		8.3.	Outside Acceptance. All Orders must be executed through the DriveWealth Platform, except those
processed to correct an error. In the event that the DriveWealth Platform is down (i.e. electronic systems issue), DriveWealth will accept
Orders outside of the DriveWealth Platform, provided that such Orders are received by phone during U.S. market trading hours from Authorized
Persons. DriveWealth will not accept written Orders of any kind. DriveWealth will not accept or execute Orders directly from Customers.

 

		8.4.	Allocations. Company will utilize DriveWealth’s managed account APIs to instruct DriveWealth
how to allocate Securities to Accounts. Company will inform DriveWealth of its intended allocation schedule. DriveWealth is authorized
to conduct allocations to Accounts pursuant to Company’s Instructions. DriveWealth shall make allocations and release or deposit
money or Securities to or for Accounts only upon Company’s Instructions. DriveWealth may, with notice to Company: (i) refuse to
confirm a Transaction or cancel a confirmation; (ii) reject a delivery or receipt of Securities or money; (iii) refuse to clear a trade
executed by Company; or (iv) refuse to execute a trade for the Account of a Customer or submitted in the Master Trading Account.

 

		8.5.	[*****]

 

		9.	Extension of Credit. This Agreement does not contemplate DriveWealth extending Customers
credit. In the event that this section becomes applicable, then the Parties will be required to execute an addendum to this Agreement,
prior to offering any extension of credit, which details the responsibilities of the Parties and compliance with the Applicable Law. Nothing
in this Agreement obligates or otherwise requires DriveWealth to make available margin trading to Company.

 

		10.	Receipt and Delivery of Funds and Securities

 

		10.1.	Payment/Delivery. DriveWealth shall perform cashiering functions for Accounts, including receipt
and delivery of Securities; receipt and payment of funds owed by or to Customers; and provision of custody for Securities and funds. Company
shall provide DriveWealth with the data and documents that are necessary or appropriate to permit DriveWealth to perform its obligations
under this section 10.1.

 

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		10.2.	Safekeeping of Custodied Assets: In connection with maintaining custody of funds and Securities
on deposit in the Accounts, DriveWealth shall be responsible for the safekeeping of all cash and Securities received by it pursuant to
this Agreement; provided, however, that DriveWealth shall not be responsible for any funds or Securities delivered by Company until such
funds or Securities are actually received by DriveWealth or deposited in good deliverable form in Accounts maintained by DriveWealth.
A payment received by DriveWealth shall not constitute payment until it has been paid and the proceeds are actually received and finally
credited to an account maintained by DriveWealth without any subsequent charge back.

 

		10.3.	Automated Clearing House (“ACH”) Transfers. To the extent that Company establishes
Accounts that can be funded via ACH transfers, then Company must establish an account with a DriveWealth-approved ACH verification service
provider to authenticate ACH transfers to DriveWealth. DriveWealth will rely on the ACH Instructions provided by Company to process the
Transfers. Company will be responsible for all fees associated with failed ACH transfers.

 

		11.	Obligations Regarding Certain Disclosures. Company shall make any disclosures and obtain
any agreements or consents from the Customers which are required by Applicable Law, including, without limitation, any disclosures or
agreements required for margin, Account transfers or conversions. The cost of making such disclosures or obtaining such agreements or
consents shall be borne by Company. Notwithstanding the foregoing, DriveWealth shall reasonably ensure that any confirmations, Account
statements and any other documents that DriveWealth is obligated to send pursuant to this Agreement to any such Customers will include
any disclosures required by Applicable Law.

 

		12.	Preparation and Delivery of Confirmations and Statements. DriveWealth is responsible for
preparation of Securities Exchange Act Rule 10b-10-compliant confirmations and their transmission to Customers. DriveWealth will provide
Company electronic access to copies of all confirmations. DriveWealth will provide Customers with a statement of account in conformance
with FINRA Rule 2231.

 

		13.	Maintenance of Books and Records. Both DriveWealth and Company are responsible for the preparation
and maintenance of their own books and records as required by their Applicable Law. DriveWealth takes no responsibility for preparing
or maintaining any records of Company, and Company takes no responsibility for preparing or maintaining any records of DriveWealth. DriveWealth
shall maintain as part of its books and records those reports requested by and supplied to Company. DriveWealth may furnish copies of
its books and records to Company’s designated examining authority (“DEA”) (or if none, to its appropriate regulatory
agency or authority), upon request by such regulatory agency as part of its obligations under Section 17(a) of the Securities Exchange
Act of 1934.

 

		14.	Monitoring of Accounts 

 

		14.1.	Supervision of Activity. Company and DriveWealth will each be separately responsible for compliance
with Account monitoring requirements to which each is respectively subject under Applicable Law, including AML and OFAC requirements.

 

		14.2.	Investment Advisory Accounts. Company is advising, recommending, and/or soliciting Transactions
or investment strategies to Customers. Company will be responsible for all suitability obligations as it relates to Transactions and investment
strategies in Accounts. DriveWealth has no requirement to monitor Company’s activities for Company’s compliance with its Applicable
Law, including considering the suitability of Transactions and investment strategies in Customer Accounts. Company will promptly notify
DriveWealth if its authority over Accounts changes.

 

		14.3.	Requested Information. Each Party agrees to provide the other Party with information reasonably
requested by the other Party to conduct any investigation with respect to the Accounts or trading activity in order for that Party to
remain complaint with its Applicable Law.

 

		15.	Reports and Exception Reports. DriveWealth will provide Company with access to the back
office set of APIs which will enable Company to generate a number of reports which are made available to assist Company in supervising
and monitoring activity conducted via the Company Platform. DriveWealth also offers customizable reporting features subject to additional
costs (see, Exhibit B).

 

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		16.	Customer Complaint Reporting and Customer Notification. Company authorizes and instructs
DriveWealth to forward promptly any written Customer complaint received by DriveWealth regarding Company and/or its associated persons
relating to functions and responsibilities allocated to Company under this Agreement to Company and, as applicable, Company’s appropriate
regulatory agency or authority. Further, Company authorizes DriveWealth to notify the Customer, in writing, that DriveWealth has received
the complaint, and the complaint has been forwarded to Company.

 

		17.	Financial Responsibility Rules/SIPA. DriveWealth shall provide custody services in respect
of funds and Securities on deposit in accordance with the Applicable Law. All introduced Customers are the Customers of Company except
as provided under the Securities Investor Protection Act (“SIPA”) and Securities and Exchange Commission financial responsibility
rules, wherein the Customers shall be considered customers of DriveWealth. Nothing in this Paragraph will otherwise change or affect the
provisions of this Agreement which provide that the Account remains Company’s customer for all other purposes, including but not
limited to, supervision, suitability, and indemnification as required by Company’s Applicable Law.

 

		18.	Data and Technology

 

		18.1.	Definition. For purposes of this Section “Data and Technology” means any data (including,
without limitation, market data), information, technology, connectivity, software, hardware, data processing systems, networks, electronic
order entry, routing or execution systems, integration and ongoing support or any services provided by DriveWealth to Company in connection
with this Agreement. Company understands that portions of such Data and Technology provided by DriveWealth may be owned by, provided by,
or otherwise subject to rights, conditions or limitations imposed by third parties (“Third-Party Providers”).

 

		18.2.	Monitoring of Data & Technology. DriveWealth maintains its Data and Technology in accordance
with its SLA. DriveWealth represents that, to the best of DriveWealth’s knowledge, Third-Party Provider’s Data and Technology
is accurate, reliable, and up-to-date. DRIVEWEALTH MAKES NO REPRESENTATIONS OR WARRANTIES, EXPRESS OR IMPLIED, REGARDING ANY SUCH DATA
AND TECHNOLOGY OR ANY INFORMATION OR DATA TRANSMITTED OVER SYSTEMS AND NETWORKS PROVIDED AS PART OF THE DATA AND TECHNOLOGY, INCLUDING,
WITHOUT LIMITATION, ANY WARRANTIES REGARDING PERFORMANCE, ACCURACY, ACCESSIBILITY, COMPLETENESS, TIMELINESS, ADEQUACY, MERCHANTABILITY,
NON-INFRINGEMENT OR FITNESS FOR A PARTICULAR PURPOSE. DriveWealth will notify Company as soon as is practicable if it has knowledge of,
or reason to believe, that a particular Data and Technology from a Third-Party Provider available on the DriveWealth Platform has an error
or defect. DriveWealth is responsible for monitoring Data and Technology offered through the DriveWealth Platform for any errors, defects,
and inaccuracies in accordance with its SLA.

 

		18.3.	Market Data: Company may choose to utilize DriveWealth to obtain market data, subject to additional
costs. The type of market data feed appropriate for Company will depend on various business and regulatory factors including, but not
limited to, whether Company is a registered Broker or Investment Advisor, and the intended use of the quote. DriveWealth will work with
Company to determine the type(s) of feed(s) available and/or required based on Company’s product offering. To the extent that Company
utilizes market data provided by DriveWealth, Company understands that DriveWealth does not guarantee the timeliness, sequence, accuracy,
or completeness of market data or any other market information or messages. DriveWealth shall not be liable in any way for inaccuracies
in market data feeds from Third-Party Providers due to: (i) inaccuracy, error, delay, or omission; (ii) nonperformance; or (iii) interruption
of any such data, information, or message due either to any negligence act or omission by the Third-Party Provider or to any force majeure,
technical, hardware, or software malfunctions, lost or unavailable network connections, or failed incomplete or delayed computer transmissions
or any other cause. To the extent that Company does not utilize market data feed(s) provided by DriveWealth, then such feed(s) will be
considered part of the Company Platform; Company remains solely responsible for maintenance and availability of the Company Platform.

 

		18.4.	Lawful Purposes. Company agrees not to use the Data and Technology for any unlawful purpose or
for any purpose in violation of this Agreement. Company explicitly understands that any use of Data and Technology provided by DriveWealth
is restricted to, and to be used exclusively for the benefit of, Accounts in contemplation of this Agreement. Providing or offering the
use of such Data and Technology to, or for the benefit of, any non-DriveWealth Account is grounds for DriveWealth to immediately terminate
this Agreement under Termination for Default.

 

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		18.5.	Baseline and Rights Limits. DriveWealth will determine a “Baseline” based on
Company’s product offering and usage of the Data and Technology and will review the Baseline on an ongoing basis to account for
growth in Company’s business, and usage during higher demand periods that may require throttling of DriveWealth’s systems.
If DriveWealth observes system usage that is grossly outside the anticipated Baseline then DriveWealth reserves the right to temporarily
suspend or block use of the Data and Technology to verify the accuracy of the usage. DriveWealth will not be responsible for Customer
losses that occur during any period where the use of Data and Technology is temporarily suspended or blocked in accordance with this paragraph.
Actions taken under this section 18.5 will not be factor into system uptime under the SLA.

 

		18.6.	The Company Platform. Company is solely responsible for maintenance of the Company Platform. From
time to time, DriveWealth may reasonably request Company to make a change to the Company Platform in order for the Parties to remain regulatory
compliant or to reasonably address efficiencies in the integration of the Company Platform to the DriveWealth Platform. Company agrees
that it will work with DriveWealth in good faith to make such changes in the accordance with timelines as may be agreed to based on the
nature and reason for such request.

 

		19.	Service Level Agreement (“SLA”). The DriveWealth Platform is supported by the
services provided by DriveWealth Technologies LLC. A copy of DriveWealth Technologies LLC’s current SLA is attached as Exhibit
C.

 

		20.	Corporate Actions Processing. DriveWealth will send notices regarding proxies, tender offers,
exchange offers, rights offers, and other corporate events (collectively, “Corporate Actions”) to Eligible Shareholders.  Company
agrees to cooperate with DriveWealth in order for DriveWealth to provide such Corporate Action processing including obtaining updated
Customer information, where necessary. Where Company has authority to act, Company agrees that it shall be responsible for timely notifying
DriveWealth of all Instructions related to Corporate Actions.  In order for DriveWealth to act, it must receive Company’s
written Instructions no later than 12 p.m. Eastern Standard Time at least two (2) Business Days prior to the last scheduled date that
an Eligible Shareholder may provide an election.  Absent DriveWealth’s timely receipt of such written Instructions prior
to its specified cut-off date, DriveWealth shall not be liable for failure to take any such action.

 

		21.	Legal Actions. To the extent permissible under the Applicable Law, each Party agrees to
promptly notify the other Party in writing of any legal or regulatory investigation or action taken or threatened against it that is reasonably
related to the services provided pursuant to this Agreement and such Party’s ability to perform its obligations hereunder.

 

		22.	Taxes. DriveWealth will withhold tax from Accounts and prepare annual tax forms for Accounts
as required by the Applicable Law in the U.S.

 

		23.	Clearing Execution Charges and Fees

 

		23.1.	[*****] 

 

		23.2.	[*****]

 

		23.3.	[*****]

 

		23.4.	Collection Services. If applicable, DriveWealth will charge and collect the commissions, markups,
and other expenses (collectively, “Commissions”) charged by Company to Customers on behalf of Company. Such collection
services will be conducted and authorized pursuant to Company’s Instructions and Company’s agreements with Customers. Company
may amend its Commission Instructions periodically by providing written Instructions to DriveWealth. DriveWealth will only be required
to make such changes to the extent that the Commission charges are within the usual capabilities of DriveWealth’s data processing
and operations systems. DriveWealth may implement new Commission Instructions in such a way as it may deem necessary to avoid disruption
of its normal operating capabilities. DriveWealth may refuse to provide the collection services under this section 23.4 if it reasonably
believes that Instructions do not comply with Applicable Law. DriveWealth will net collected sums against the Fees owed to DriveWealth
under this Agreement.

 

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		24.	Clearing Deposit

 

		24.1.	Clearing Deposit. Company shall make a Clearing Deposit with DriveWealth, in the amount stated
in Exhibit A, prior to DriveWealth accepting Accounts. DriveWealth does not acquire or maintain an ownership interest in the Clearing
Deposit. The Clearing Deposit will be made into a brokerage account held at DriveWealth for the purpose of covering trading errors caused
by Company and other items mutually agreed to by the Parties. The Clearing Deposit will accrue interest at the prevailing interest rate
earned on the account at the depository institution. The amount of the Clearing Deposit shall be reviewed on an ongoing basis to determine
if the Clearing Deposit is appropriate based on an overall evaluation of the Company’s business. DriveWealth reserves the right
to require that Company increase its Clearing Deposit based on this evaluation and will provide Company reasonable notice and time to
make such additional deposits. Alterations to the Clearing Deposit will be documented in a written amendment to this Agreement.

 

		24.2.	Use of Clearing Deposit. If DriveWealth needs to cover expenses incurred due to Trading Errors
or for other valid reasons as determined by DriveWealth and agreed to by Company, DriveWealth can withdraw funds from the Clearing Deposit
as part of the terms and conditions of this Agreement. If DriveWealth is required to withdraw funds from the Clearing Deposit due to a
Trading Error, or other valid reasons, Company must provide additional funds to return the Clearing Deposit to the full amount agreed
to in this section within thirty (30) days.

 

		24.3.	Return of Clearing Deposit. The Clearing Deposit shall remain on deposit for thirty (30) calendar
days, with such thirty-day period commencing five (5) Business Days after the date of the initial transfer of Customer Accounts (and not
on the date that notice of termination is given by either Party). Upon the conclusion of such thirty-day period, DriveWealth shall remit,
pay and deliver the Clearing Deposit to Company, less any amounts due to DriveWealth from Company pursuant to this Agreement and less
any amounts DriveWealth deems, in agreement with Company, appropriate for its protection from any claim or proceeding of any type either
pending or threatened. If any legal action or proceeding is not commenced with respect to any such pending or threatened claim within
a reasonable time after the Service Completion Date of this Agreement (not to exceed 120 days), any amount withheld by DriveWealth from
the Clearing Deposit with respect to such claim shall be promptly paid and delivered to Company.

 

		25.	Pricing Services. To the extent that DriveWealth provides values of and pricing information
with respect to Securities to Company, DriveWealth is authorized to utilize generally recognized pricing services (including, without
limitation, brokers, dealers and market makers). DriveWealth shall not be liable or responsible for, or be under any duty to inquire into,
nor be deemed to make any assurances or warranties with respect to, the accuracy or completeness of such values or information.

 

		26.	Information to be provided

 

		26.1.	Compliance with Applicable Law: Company agrees to provide DriveWealth with any information that
DriveWealth may reasonably request in connection with this Agreement to comply with its Applicable Law, internal investigations, and due
diligence requirements. Company agrees to assist DriveWealth in obtaining such information from Customers as is necessary.

 

		26.2.	Regulatory or Self-Regulatory Examinations: Company agrees to notify DriveWealth of the results
of any regulatory or self-regulatory examinations.

 

		26.3.	[*****]

 

		26.4.	[*****]

 

		26.5.	Authorized Signatories. In conjunction with executing this Agreement, Company will provide DriveWealth
a listing of Authorized Signatories at the firm who are authorized to sign on behalf of Company on all matters concerning operation of
the Agreement for which DriveWealth may require a signature including, but not limited to, Security transfer requests, corporate actions
and payment processing. DriveWealth will not facilitate any clearing, execution, and settlement activities under this Agreement without
first being in receipt of this listing from Company. Company is responsible for all consents provided by its Authorized Signatories. Company
will immediately notify DriveWealth in writing upon the occurrence of any event which results in a change and/or revocation to Authorized
Signatories, pursuant to the notice requirements contained in section 36 of this Agreement.

 

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		27.	Cyber Security

 

		27.1.	Acceptable Industry Protocols. Each Party has implemented cyber security policies and procedures
in line with acceptable industry standards and its Applicable Law to protect Customer Account information. Each Party will notify the
other Party if there are material changes to its cyber security and system security access practices.

 

		27.2.	Cyber Security Incidents. In the event that a cyber security incident cause by a Party’s
Platform puts Customer Account information at risk including, but not limited to, Distributed Denial of Service (“DDoS”) attacks,
account intrusions, and loss of Personally Identifiable Information (“PII”), the responsible Party will take the following
actions:

 

		27.2.1.	Immediately notify the other Party upon its confirmation that its Platform was subject to a cyber security
incident to allow the other Party to take reasonable efforts on its end to contain the cyber security threat and provide any notification
as required under Applicable Law.

 

		27.2.2.	Conduct a post mortem review of the issue and provide the other Party with a summary of the post mortem
review and the steps taken to contain and remediate the cyber security threat.

 

		28.	Indemnity; Limitations of Liability

 

		28.1.	Responsibility for Proceedings. Each Party shall be solely and exclusively responsible for any
and all proceedings, causes of action, investigations, claims, losses, liabilities, awards, settlements, damages and expenses (including,
without limitation, attorneys’ fees and costs) (collectively, “Losses”) relating to or arising from such Party’s
(or its employees’) violation of the Applicable Law, unless such violation is solely attributable to the gross negligence, willful
misconduct, fraud or bad faith of the other Party or its employees.

 

		28.2.	Indemnification.

 

		28.2.1.	In consideration of the services and functions provided hereunder, each Party (the “Indemnifying
Party” or “A”) shall indemnify and hold the other Party, its parent, affiliates and subsidiaries, and each of their
officers, directors, members, employees and agents (the “Indemnified Parties,” or “B”) harmless from and against
any and all Losses arising from: (i) any breach of this Agreement by A; (ii) any claim by a Customer of A when A is exclusively at fault;
and (iii) the gross negligence, willful misconduct, fraud or bad faith of A, its officers, directors, employees, agents or affiliates;
provided, however, that the indemnity provided by this section shall not inure to the benefit of any Indemnified Party if such Losses
resulted proximately from the gross negligence, willful misconduct, fraud or bad faith of any such Indemnified Party.

 

		28.2.2.	In addition, Company and its Affiliates agree to indemnify and hold DriveWealth, its parent, affiliates
and subsidiaries, and each of their officers, directors, members, employees and agents, completely harmless from and against any and all
Losses related to any Customer claim for actions taken pursuant to section 8.5 where DriveWealth reasonably acts pursuant to Company’s
Instructions.

 

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		28.3.	Commencement of Action. Promptly after receipt by an Indemnified Party of notice of the commencement
of any action, such Indemnified Party shall, if a claim in respect thereof is to be made against an Indemnifying Party under this section,
notify the Indemnifying Party in writing of the commencement thereof, but the omission to notify the Indemnifying Party will not relieve
the Indemnifying Party from any liability which it may have to any Indemnified Party otherwise than under the indemnity agreement contained
in this section or to the extent it is not prejudiced as a proximate result of such failure. In case any such action is brought against
any Indemnified Party and such Indemnified Party seeks or intends to seek indemnity from an Indemnifying Party, the Indemnifying Party
will be entitled to participate in and, to the extent that it shall elect, jointly with all other Indemnifying Parties similarly notified,
by written notice delivered to the Indemnified Party promptly after receiving the aforesaid notice from such Indemnified Party, to assume
the defense thereof with counsel reasonably satisfactory to such Indemnified Party; provided, however, that if the defendants in any such
action include both the Indemnified Party and the Indemnifying Party and the Indemnified Party shall have reasonably concluded (on the
basis of the advice of counsel to it) that a conflict may arise between the positions of the Indemnifying Party and the Indemnified Party
in conducting the defense of any such action or that there may be legal defenses available to it and/or other Indemnified Parties which
are inconsistent with or additional to those available to the Indemnifying Party, the Indemnified Party or parties shall have the right
to select separate counsel to assume such legal defenses and to otherwise participate in the defense of such action on behalf of such
Indemnified Party or parties. Upon receipt of written notice from the Indemnifying Party to such Indemnified Party of such Indemnifying
Party’s election so to assume the defense of such action and approval by the Indemnified Party of counsel, the Indemnifying Party
will not be liable to such Indemnified Party under this section for any legal or other expenses subsequently incurred by such Indemnified
Party in connection with the defense thereof unless: (i) the Indemnified Party shall have employed separate counsel in accordance with
the proviso to the immediately preceding sentence (it being understood, however, that the Indemnifying Party shall not be liable for the
expenses of more than one separate counsel approved by the Indemnifying Party, representing all of the Indemnified Parties who are parties
to such action); (ii) the Indemnifying Party shall not have employed counsel satisfactory to the Indemnified Party to represent the Indemnified
Party within a reasonable time after notice of commencement of the action, in each of which cases the fees and expenses of counsel shall
be at the expense of the Indemnifying Party; or (iii) the employment of such counsel shall have been authorized in writing by the Indemnifying
Parties in connection with the defense of such action.

 

		28.4.	Indemnifying Party. No Indemnifying Party shall settle any proceeding with any express or implied
admission of guilt or wrongdoing on the part of the Indemnified Party without such Party’s written consent. No Indemnifying Party
under this section shall be liable for any settlement of any proceeding affected without its written consent, and no Indemnified Party
may seek indemnification under this section with respect to any proceeding it has settled without such written consent.

 

		28.5.	Limitation of Liability.

 

		28.5.1.	For Transactions where DriveWealth acts as the executing broker, DriveWealth shall have no liability to
Company or to any of Company’s Customers for any loss or damage suffered by an Account with respect to the execution, clearance
and/or settlement of any Transaction, with the exception of any omissions that create a breach of this Agreement and any conduct that
is grossly negligent, willful, fraudulent or done in bad faith on the part of DriveWealth or of its officers, directors or employees when
acting within the scope of their employment with respect to the services provided by DriveWealth under this Agreement. The amount of any
such liability shall be limited to: (i) the difference between the purchase or sale price at which the Order was executed and the price
at which it would have been executed but for the error; and (ii) reasonable costs (legal or otherwise) incurred by Company in remediating
the error.

 

		28.5.2.	In no event shall any Party be responsible to the other Party, any Customer, or any other person for indirect,
special, incidental, punitive or consequential damages arising from or relating to any actual or alleged failure by a Party to perform
the functions or provide the services required by this Agreement, regardless of whether the Party has been advised of or might otherwise
have anticipated the possibility of such damages. Each Party’s sole responsibility and liability for any actual or alleged failure
by the Party shall be to the other Party and, notwithstanding anything to the contrary in this Agreement, that Party shall have no liability
whatsoever for any Losses that are not finally determined by an arbitral panel or court of competent jurisdiction to have been caused
by its own gross negligence, willful misconduct, fraud or bad faith.

 

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		28.5.3.	Each Party remains responsible for the activities conducted on its respective Platform. Each Party shall
have no liability to the other Party, or to any Customers, for any Losses suffered by a Party, or an Account, where such Loss was caused
by failures originating from the other Party’s Platform.

 

		28.5.4.	Each Party acknowledges and agrees that this Agreement significantly limits the liability of the other
Party and that such limitation is fair and reasonable in light of the limited responsibilities of the other Party, and the amounts payable
to the other Party under this Agreement.

 

		29.	Confidentiality & Intellectual Property Rights

 

		29.1.	Maintenance of Confidentiality. Each Party agrees to maintain the confidentiality of the Confidential
Information using procedures no less rigorous than those used to protect and preserve the confidentiality of its own similar Confidential
Information (provided, however, that such procedures shall be commercially reasonable) and shall not, directly or indirectly: (i) transfer
or disclose any Confidential Information to any third party, except as where necessary to perform such Party’s obligations under
this Agreement, and provided that such third party is subject to confidentiality provisions; (ii) use any Confidential Information other
than as contemplated under this Agreement; or (iii) take any other action with respect to Confidential Information inconsistent with the
confidential and proprietary nature of such information. In the event that either Party or their respective directors, officers, employees,
consultants or agents are requested or required by legal or regulatory process to disclose any of the Confidential Information of the
other Party, the Party required to make such disclosure shall, to the extent permitted by the Applicable Law, give prompt written notice
to the other Party so that the other Party may seek a protective order or other appropriate relief. In the event that such protective
order is not obtained, the Party required to make such disclosure shall disclose only that portion of the Confidential Information that
its counsel advises that it is legally required to disclose. Each Party agrees to notify the other promptly in writing should it become
aware of the possession or use of Confidential Information or any portion thereof by any person not authorized by this Agreement.

 

		29.2.	Intellectual Property Rights. All Intellectual Property Rights shall remain under the ownership
of the respective Party and are not to be conveyed to the other Party of this Agreement. The Parties shall use reasonable efforts to preserve,
protect, and keep confidential all Intellectual Property rights of the other Party.

 

		29.3.	Injunctive Relief. Each Party acknowledges that the remedy at law for any breach or threatened
breach of its obligations under this section would be inadequate. Each Party agrees that the other Party is entitled to seek injunctive
relief or other equitable relief in the event of any such breach or threatened breach.

 

		29.4.	Return of Materials. Upon expiration or termination of this Agreement, each Party will promptly
return or at the other Party’s request destroy all documents, Confidential Information, and Intellectual Property of the other Party,
except to the extent that such documents must be retained to satisfy auditing or regulatory requirements. If requested by the other Party,
each Party will provide the other Party with written certification of compliance with the provisions of this section.

 

		30.	Term and Termination

 

		30.1.	Term. The Agreement shall have an initial term of three (3) years (the “Initial Term”)
commencing on the Effective Date. This Agreement shall automatically renew for subsequent one (1) year terms (“Renewal Term(s)”),
unless either Party provides notice as per this Agreement.

 

		30.2.	Early Termination Fee. If Company elects to terminate this Agreement during the Initial Term, then
Company will be subject to an early termination fee as detailed in Exhibit A. For the avoidance of doubt, Company will not be subject
to an early termination fee if Company terminates this Agreement pursuant to Termination for Default whereby DriveWealth is the Defaulting
Party.

 

		30.3.	Non-Renewal. Either Party may elect to not renew this Agreement by providing at least sixty (60)
days written notice prior to the commencement of a Renewal Term. This Agreement may be terminated at an earlier time if mutually agreed
to by the Parties in writing.

 

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		30.4.	Termination for Default. Either Party may, at its option, terminate this Agreement, at any time,
if: (i) the other party (“Defaulting Party”) is in material violation of its obligations under this Agreement; (ii)
the non-Defaulting Party provides the Defaulting Party with notice that states the nature of the default in reasonable details and requests
that Defaulting Party cure the default within fifteen (15) calendar days; and (iii) the default is not cured within fifteen (15) calendar
days after receipt of such notice, or the default cannot be cured. If the non-Defaulting Party elects to terminate the Agreement pursuant
to this section, such termination will be deemed “Termination for Default.” The following are grounds for Termination for
Default: (a) a receiver, liquidator or trustee of either party, or any of its property, is appointed by court order and such order remains
in effect for more than thirty (30) days; or either party is adjudicated bankrupt or insolvent; or any of its property is sequestered
by court order and such order remains in effect for more than thirty (30) days; or a petition is filed against either party under any
bankruptcy, reorganization, arrangement, insolvency, readjustment of debt, dissolution or liquidation of law of any jurisdiction, whether
now or hereafter in effect, and is not dismissed within thirty (30) days after such filing; or (b) Either party files a petition in voluntary
bankruptcy or seeking relief under any provision of any bankruptcy, reorganization, arrangement, insolvency, readjustment of debt, dissolution
or liquidation law of any jurisdiction, whether now or hereafter in effect, or consents to the filing of any petition against under such
law; or (c) Either party makes an assignment for the benefit of creditors, or admits in writing its inability to pay its debts generally
as they become due, or consents to the appointment of a receiver, trustee or liquidator of Either party, or of any part of its property;
or (d) Either party shall fail to perform or observe any term, covenant or condition to be performed or observed by it hereunder and such
failure shall continue to be remedied for a period of thirty (30) days after written notice to either party specifying the failure and
demanding that the same be remedied; or (e) an act of gross negligence by either party; or (f) any representation, warranty or covenant
made by either party shall prove to be false or misleading at any time in any material respect.

 

		30.5.	Effect of Termination. 

 

		30.5.1.	Upon the termination of this Agreement, each Party shall remove all references to the other Party’s
name, branding and content from its website, marketing, and other print or promotional materials.

 

		30.5.2.	Each Party shall promptly return or destroy (with certification of destruction) all Confidential Information,
Intellectual Property, documents, manuals and other materials stored in any form or media (including but not limited to electronic copies)
belonging to the other Party, except as may be otherwise provided in this Agreement or required by Applicable Law. Notwithstanding the
foregoing, each Party shall only be required to use its commercially reasonable efforts to remove, erase or destroy any Confidential Information
stored in automatic electronic archival systems.

 

		30.5.3.	Each Party will be responsible for performing its responsibilities as set forth under this Agreement through
the Service Completion Date; provided, however that Company will remain responsible for all obligations incurred and due under this Agreement,
including Fees, through the Service Completion Date, or as otherwise mutually agreed by both Parties in writing.

 

		31.	Dispute Resolution

 

		31.1.	Good Faith Negotiations. The Parties shall negotiate in good faith to settle all disputes and controversies
which may arise between the Parties concerning the interpretation of this Agreement, or any matter arising under this Agreement, as initial
recourse. If the dispute or difference cannot be settled in good faith between the Parties within thirty (30) Business Days from the Parties’
being on notice of the dispute, then either Party may elect to seek arbitration, at which point the dispute or difference shall be submitted
to the Dispute Resolution of FINRA and conducted in accordance with the FINRA Code of Arbitration Procedure.

 

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		31.2.	Pre-Dispute Arbitration Agreement. It is agreed that any dispute or controversy arising
out of or relating in any way to this Agreement shall be submitted to arbitration before the Dispute Resolution of FINRA, shall be conducted
in accordance with the FINRA Code of Arbitration Procedure, and shall be held in the state of New Jersey. Arbitration must be initiated
by service upon the other Party of a written demand for arbitration or notice of intention to arbitrate. Judgment upon any award rendered
by the arbitrator may be entered in any court, federal or state, with jurisdiction over the Parties. By executing the agreement, the Parties
agree to the following: (i) The Parties to this agreement are giving up the right to sue each other in court, including the right
to a trial by jury, except as provided by the rules of the arbitration forum in which the claim is filed; (ii) Arbitration awards are
generally final and binding; a Party’s ability to reverse or modify an arbitration award is limited; (iii) The ability to obtain
documents, witness statements, and other discovery is generally more limited in arbitration than in court; (iv) The arbitrators do not
have to explain their award unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to
the panel at least twenty (20) days prior to the first scheduled hearing date; (v) The panel of arbitrators will typically include a minority
of arbitrators who are or were affiliated with the securities industry; (vi) The rules of the arbitration forum impose time limits for
bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court; (vii) The Rules of
the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this Agreement; (viii) No person
shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any
person who has initiated in court a putative class action; or who is a member of a putative class action who has not opted out of the
class with respect to any claims encompassed by the putative class action until: (a) the class certification is denied; (b) the class
is decertified; or (c) a Party is excluded from the class by the court; and (ix) Forbearance to enforce the agreement to arbitrate shall
not constitute a waiver of any rights under this agreement.

 

		31.3.	Obligations to Continue During Dispute. For the avoidance of doubt, the existence of a dispute
will not relieve either Party from the requirement to perform its obligations under this Agreement generally and, notwithstanding the
dispute, each Party will continue to perform its obligations under this Agreement to the maximum extent possible (having regard to the
nature of the dispute).

 

		32.	Force Majeure. Neither Party shall be liable for any delay or failure in performance
when such delay or failure arises from circumstances beyond its control, including, without limitation, acts of God, acts of government
in its sovereign or contractual capacity, acts of public enemies or terrorists, acts of civil or military authority, war, riots, civil
strife, terrorism, blockades, sabotage, rationing, embargoes, epidemics, earthquakes, fire, flood, quarantine restrictions, power shortages
or failures, utility or communication failure or delays, labor disputes, strikes, or shortages, supply shortages, equipment failures,
or software malfunctions.

 

		33.	Entire Agreement. This Agreement represents the entire agreement between the Parties with
respect to the subject matter hereof, and supersedes any and all prior discussions, understandings, and agreements or courses of dealing
between the Parties with respect to the subject matter included in this Agreement. This Agreement may be executed in one or more counterparts,
each of which shall be deemed an original, but when taken together shall constitute one and the same agreement.

 

		34.	Survival. Sections 22, 23, 24, 28, 29, 30, 31, 35 will survive the termination of this Agreement.

 

		35.	Miscellaneous

 

		35.1.	Third-Parties: This Agreement is between the Parties hereto and is not intended to confer any benefits
on third-parties including, without limitation, Customers.

 

		35.2.	Successors and Assigns: This Agreement may and shall be assigned or transferred to, and shall be
binding upon and shall inure to the benefit of, any “successor” of DriveWealth, and any such successor shall be deemed substituted
for all purposes of DriveWealth under the terms of this Agreement. As used in this section, the term “successor” means any
person, firm, corporation, or other business entity which, at any time, whether by merger, purchase, or otherwise, acquires all of substantially
all, or control of all or substantially all, of the assets or the business of DriveWealth. Company may not assign this agreement to any
successor without the prior written consent of DriveWealth. Any purported assignment of this Agreement without such prior written consent
shall be void.

 

		35.3.	Governing Law: The construction and effect of every provision of this Agreement, the rights of
the parties hereunder shall be subject to the law of the State of New Jersey, without regard to its conflict of laws principles.

 

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		35.4.	Captions: Captions used in this Agreement are for convenience and reference purposes only and shall
not be construed so as to affect the substantive meaning of the text hereof.

 

		35.5.	Construction: This Agreement and all its terms and conditions have been fully reviewed by the Parties.
No provision of this Agreement or any related document will be construed against or interpreted to the disadvantage of any Party.

 

		35.6.	Validity: If any provision of the Agreement should become inconsistent with the Applicable Law,
such provision(s) shall be deemed to be modified to the extent necessary to comply therewith. If any provision or condition of this Agreement
is held to be invalid or unenforceable by any court, governmental authority or SRO, such invalidity or unenforceability shall attach only
to such provision or condition and only to the extent of such invalidity or unenforceability. The validity of the remaining provisions
and conditions shall not be affected, and this Agreement shall continue, and any such invalid or unenforceable provision or condition
shall be deemed modified to the extent necessary to be deemed valid and enforceable.

 

		35.7.	Modification and Waiver: This Agreement may not be modified and none of its provisions may be waived,
except by a writing signed by both Parties. Both Parties agree that: (i) no employee of the other Party who is not an officer of the other
Party, irrespective of his or her general powers, shall have authority to modify this Agreement or waive any of its provisions, either
orally or in writing; and (ii) no course of dealing between the Parties nor any waiver in any one or more instances shall be deemed a
waiver in any other instance. Under no circumstances may the Parties agree to oral modifications of any terms of this Agreement.

 

		36.	Notices. Except as otherwise provided in this Agreement, all notices, Instructions, consents,
directions, requests or other communications (“Notices”) required to be given under this Agreement shall be in electronic
form and shall be effective upon receipt by the other Party. Either Party may change its contact information for notices by giving written
notice of the new contact information to the other Party. All Notices shall be delivered as follows:

 

[*****]

  

[Space intentionally left blank. Signature
page follows.]

 

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THE PARTIES have executed this Agreement
as of the Effective Date by their duly authorized representatives, who represent that they have the authority to bind their respective
party.

 

This Agreement contains a pre-dispute arbitration
agreement.

 

	ML Wealth, LLC 		DriveWealth, LLC
	 	 	 	 	 
	By:	/s/ Jon Stevenson	 	By:	/s/ Robert
Cortright
	Name (Printed):	Jon Stevenson	 	Name (Printed):	Robert Cortright
	Title:	Head of Wealth Management	 	Title:	CEO
	Date Signed:	10/29/2020	 	Date Signed:	10/29/2020

  

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EXHIBIT A

 

[*****]

 

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EXHIBIT B

 

[*****]

 

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EXHIBIT C

 

[*****]

 

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Exhibit D

 

[*****]

 

 

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