Document:

55 Middlesex Turnpike Office Space Rider

 EXHIBIT 10.2 
  

 
 55 MIDDLESEX TURNPIKE

  
  
 OFFICE SPACE RIDER 
 Between 

DIGITAL 55 MIDDLESEX, LLC 
 as Landlord 
 and 

CONSTANT CONTACT, INC. 
 as Tenant 
 Dated 

May 11, 2012 

 SCHEDULE “1” 

CERTAIN DEFINED TERMS 

“Building Office Standard” shall mean and refer to the type, grade, quantity and design of materials and construction as are customarily
utilized by Landlord in the Building for the construction of “garden-variety” office uses. 
 “Landlord” shall mean
and refer to the Landlord set forth in Item 1 of the Basic Rider Information. 
 “Landlord’s OS Installations” shall
mean and refer to the installations defined as such, as set forth on Exhibit “E”, attached hereto. 
 “Landlord’s
OS Repair Obligations” shall mean and refer to Landlord’s obligations to arrange for the repair and maintenance of the foundation, exterior walls and roof of the Building; the Common Areas within the Building; and the HVAC systems
serving the OS Premises and/or the Common Areas of the Building. 
 “Lease” shall mean that certain Datacenter Lease related to
Suites 405, 407, 409, 418A in the Building, having an Effective Date of January 1, 2011, by and between Landlord and Tenant, as amended from time to time. 
 “Maximum Structural Load - OS” shall mean and refer to the Maximum Structural Load - OS set forth in Item 12 of the Basic Rider Information. 

“New OS Tenant Space” shall mean the premises to which the OS Tenant Space is being relocated and re-assigned pursuant to
Section 1.4 of the Standard Rider Provisions. 
 “OS Base Rent” shall mean and refer to the amounts of OS Base Rent set
forth in Item 6 of the Basic Rider Information. 
 “OS Demising Walls” shall mean and refer to Building Office Standard
drywall office demising walls. 
 “OS Electrical Metering Equipment” shall mean and refer to a Building Office Standard
electrical metering device (or electrical metering devices) compatible with Landlord’s energy management system for monitoring electricity provided to and/or used in the OS Tenant Space. 
 “OS Electricity Consumption Threshold” shall mean and refer to the amount of electrical power specified in Item 11 of the Basic Rider Information. 

“OS Permitted Use” shall mean and refer to the OS Tenant Space being used only for general office purposes in accordance with Applicable
Law. 
 “OS Rider Term” shall mean and refer to the period described in Item 4 of the Basic Rider Information, subject to
the terms of such Item 4. 
 “OS Rules and Regulations” shall mean and refer to Landlord’s rules and regulations for
the OS Tenant Space, as same may be amended from time to time by Landlord in Landlord’s reasonable discretion. 
 “OS Tenant
Space” shall mean and refer to the OS Tenant Space set forth in Item 5 of the Basic Rider Information. 

“Tenant” shall mean and refer to the Tenant set forth in Item 2 of the Basic Rider Information. 

  
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 55 MIDDLESEX TURNPIKE 

OFFICE SPACE RIDER 
 This Office Space Rider (this “Rider”) is entered into as of the OS Effective Date by and between Landlord and Tenant with reference to the following: 

R E C I T A L S 

A. Tenant leases Tenant Space in the Building from Landlord pursuant to the Lease. 

B. Landlord desires to lease to Tenant certain office space within the Building and Tenant desires to lease such space, pursuant to the
terms and conditions of this Rider. 
 C. Unless otherwise specifically indicated to the contrary, all initially capitalized
terms contained in this Rider shall have the meanings set forth on Schedule “1”, attached to this Rider. All initially capitalized terms contained in this Rider, but not otherwise defined in this Rider, shall have the meanings
ascribed to them in the Lease. 
 NOW, THEREFORE, in consideration of the covenants and agreements hereinafter set forth,
Landlord and Tenant agree to the following terms of this Rider, which shall supplement the Lease as of the OS Effective Date: 

BASIC RIDER INFORMATION 
  

			
	
1.      Landlord:
	  	Digital 55 Middlesex, LLC, a Delaware limited liability
company
	 	 
	
2.      Tenant:
	  	Constant Contact, Inc., a Delaware corporation
	 	 
	 3.      OS Effective Date/OS
Commencement Date:
	  	 
	 	 
	 a.      OS Effective
Date:
	  	May 11, 2012, being the latest of the parties’ respective dates of execution of this Rider, as set forth on the
signature page of this Rider (and which date shall be inserted in this Item 3 by Landlord, upon Landlord’s counter-execution of this Rider).
	 	 
	
b.      OS Commencement Date:
	  	June 1, 2012
	 	 
	
4.      OS Rider Term:
	  	Commencing on the OS Commencement Date and continuing until the expiration or earlier
termination of the term of the Lease (as same may be extended or reduced from time to time in accordance with the terms of the Lease), such that the OS Rider Term shall be coterminous with the Term of the Lease.
	 	 
	
5.      OS Tenant Space:
	  	Approximately 135 square feet in Suite 317 on the first (1st)
floor of the Building, as depicted on the diagram of the OS Tenant Space contained on Exhibit “A”, attached hereto.
	 	 
	
6.      OS Base Rent:
	  	$0.00 per month during the OS Rider Term
	 	 
	
7.      Intentionally Deleted.
	  	Intentionally Deleted.
	 	 
	 8.      Intentionally
Deleted.
	  	Intentionally Deleted.

  
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9.      Intentionally Deleted.
	  	Intentionally Deleted.
	 	 
	
10.    Intentionally Deleted.
	  	Intentionally Deleted.
	 	 
	 11.    OS
Electricity Consumption Threshold:
	  	1 total kW for lighting and below ceiling convenience power.
	 	 
	 12.    Maximum
Structural Load - OS:
	  	One hundred fifty (150) pounds of live load per square
foot. 
	 	 
	 13.    OS Rules
and Regulations:
	  	The current version of the OS Rules and Regulations is attached hereto as Exhibit
“G”.

 This Rider shall consist of the foregoing Basic Rider Information, and the provisions of the Standard
Rider Provisions below “Schedule 1”, above, and Exhibits “A” through “G”, all of which are incorporated herein by this reference as of the OS Effective Date. In the event of any conflict
between the provisions of the Basic Rider Information and the provisions of the Standard Rider Provisions, the Basic Rider Information shall control. 
 [no further text on this page] 

  
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 STANDARD RIDER PROVISIONS 

1. OS TENANT SPACE. 
 1.1 OS Tenant Space. Upon and subject to the terms and conditions of this Rider, the Lease is hereby modified to reflect that Landlord does hereby lease, demise and let unto Tenant and Tenant does
hereby lease from Landlord the OS Tenant Space, to have and to hold for the OS Rider Term. 
 1.2 Condition of OS Tenant
Space. Tenant agrees that, subject to Landlord’s completion of Landlord’s OS Installations, Tenant shall be deemed to have accepted the OS Tenant Space in its “AS IS, WHERE IS” condition on the OS Commencement Date. Except
for Landlord’s OS Installations, Landlord shall have no obligation to perform any work in the OS Tenant Space (including, without limitation, demolition of any improvements existing therein or construction of any tenant finish-work or other
improvements therein), and Landlord shall not be obligated to reimburse Tenant or provide an allowance for any costs related to the demolition or construction of improvements therein. Tenant acknowledges that, except as expressly set forth herein,
no representation or warranty (express or implied) has been made by Landlord as to the condition of the OS Tenant Space or its suitability or fitness for Tenant’s intended purpose. 

1.3 Delivery of OS Tenant Space. Landlord shall use commercially reasonable efforts to cause Landlord’s OS Installations to
be completed prior to the OS Commencement Date. In the event, however, that Landlord’s OS Installations have not been completed by the OS Commencement Date, Landlord shall not be deemed in default hereunder, provided that Landlord is working
diligently using commercially reasonable efforts after the OS Commencement Date to complete the installation of Landlord’s OS Installations. 
 1.4 Rights Reserved to Landlord. Landlord reserves the right to relocate the OS Tenant Space to some other space of Landlord’s choosing of approximately the same dimensions and size within the
Building without effecting an eviction or disturbance of Tenant’s use or possession or giving rise to any claim for setoffs or abatement of OS Base Rent due under this Rider; provided, however, that if Landlord exercises Landlord’s option
to remove and relocate Tenant in the New OS Tenant Space, then Tenant shall be required to pay the same per square foot rates of OS Base Rent, as is represented in this Rider. Nothing herein contained shall be construed to relieve Tenant, or imply
that Tenant is relieved, of the liability for or obligation to pay any additional rental due by reason of any of the other provisions of this Rider, which provisions shall be applied to the New OS Tenant Space. Tenant agrees that Landlord’s
exercise of Landlord’s option to remove and relocate Tenant shall not terminate the Lease or this Rider or release Tenant, in whole or in part, from Tenant’s obligation to pay the rental and perform the covenants and agreements hereunder
for the full OS Rider Term. In the event of any such relocation, this Rider shall continue in full force and effect with no change in the terms, covenants or conditions hereof other than the substitution of the New OS Tenant Space for the OS Tenant
Space. Upon request from Landlord, Tenant shall execute an amendment to this Rider reflecting the aforesaid change. Landlord agrees that the New OS Tenant Space shall be decorated by Landlord at Landlord’s sole cost and expense. Landlord shall
have the right, in Landlord’s sole discretion, to use such decorations and materials from the OS Tenant Space, or other materials, so that the New OS Tenant Space shall be comparable in its interior design and decoration to the OS Tenant Space.
Landlord shall use commercially reasonable efforts to effect such relocation or reconfiguration in a manner that minimizes to the extent practical any interruption or adverse effect on Tenant’s operations in the OS Tenant Space. Landlord shall
provide Tenant no less than thirty (30) calendar days’ prior notice of all such relocations or reconfigurations. Following receipt of such notice, if said relocation or reconfiguration requires the movement of any of Tenant’s
equipment or property, Tenant shall relocate Tenant’s equipment or property to the new location within the Building which is designated by Landlord and reasonably acceptable to Tenant. Landlord shall reimburse Tenant for all of the reasonable,
out-of-pocket costs actually incurred by Tenant in so relocating its equipment or property. Tenant’s right to reimbursement to the extent provided above in this Section 1.4 shall be Tenant’s sole remedy in the event Landlord elects to
relocate the OS Tenant Space, and Tenant shall not be entitled to any additional compensation or damages for loss of, or interference with, Tenant’s business or use or access of all or any part of the OS Tenant Space resulting from such
relocation. 

  
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 2. OS RIDER TERM. The term of this Rider, and Tenant’s obligation to pay OS Base
Rent and other sums due under this Rider, if any, shall commence on the OS Commencement Date and shall continue in effect for the OS Rider Term, unless this Rider is earlier terminated as provided herein. 

3. OS BASE RENT AND OTHER CHARGES. 
 3.1 OS Base Rent. Commencing on the OS Commencement Date, Tenant shall pay OS Base Rent for the OS Tenant Space in the amounts set forth in Item 6 of the Basic Rider Information, above. The OS
Base Rent shall be paid in monthly installments in advance on the first day of each and every calendar month concurrently with, and in the same manner, that Base Rent is paid under the Lease. Except as provided above, Tenant shall not pay any
installment of Rent more than one (1) month in advance. 
 3.2 Intentionally Deleted. 

3.3 OS Base Rent and Charges. The OS Base Rent and all other charges under this Rider are in addition to, and not in lieu of, Base
Rent and all other charges under the Lease, and shall constitute Rent under the Lease. For the avoidance of doubt, Tenant acknowledges and agrees that all Rent due under this Rider shall be subject to the terms of Section 3.4 of the Standard
Lease Provisions of the Lease. 
 3.4. Intentionally Deleted. 

3.5. Electrical Power. 
 3.5.1 Landlord shall furnish electricity to the OS Tenant Space in the amount of the OS Electricity Consumption Threshold set forth in Item 11 of the Basic Rider Information of this Rider. The
obligation of Landlord to provide electricity to the OS Tenant Space shall be subject to the rules, regulations and requirements of the supplier of such electricity and of any governmental authorities regulating providers of electricity and shall be
limited to providing the OS Electricity Consumption Threshold. Landlord shall have no responsibility to provide Back-Up Power for use in the OS Tenant Space. 
 3.5.2 Electricity Provided. Tenant’s electricity consumption for the OS Tenant Space is included in the OS Base Rent set forth in Item 6 of the Basic Rider Information. 

3.6. OS Electricity Consumption Threshold. Tenant’s actual electricity consumption for the OS Tenant Space, as reasonably
determined by Landlord pursuant to such measurement method or methods as Landlord shall employ from time to time (including, without limitation, the use of the OS Electrical Metering Equipment and/or pulse meters, electrical surveys and/or
engineer’s estimates), shall not at any time, exceed the OS Electricity Consumption Threshold. The electrical power drawn by all equipment (belonging to Tenant or otherwise) located within the OS Tenant Space shall be included in the
calculation of Tenant’s actual electricity consumption for the OS Tenant Space. In the event that the power consumption in the OS Tenant Space exceeds the OS Electricity Consumption Threshold, Tenant agrees to take immediate action to cause
power consumption in the OS Tenant Space to be at or below the OS Electricity Consumption Threshold. 
 3.7. Maximum
Structural Load - OS. Tenant shall not place a load upon the OS Tenant Space exceeding the Maximum Structural Load - OS. 

4. USE. 

4.1 OS Permitted Use. The OS Tenant Space may be used only for the OS Permitted Use. Tenant shall not use any portion of the OS
Tenant Space as a datacenter or telecommunications facility or similar use. If Tenant uses all or any portion of the OS Tenant Space for 

  
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any use other than the OS Permitted Use, in addition to all other rights and remedies given Landlord hereunder or by law or in equity, the Tenant shall be required to pay monthly, as Additional
Rent, an amount equal to the product of the number of rentable square feet in the OS Tenant Space multiplied by the monthly base rental rate then being quoted by Landlord to prospective tenants for space in the Building to be used as a datacenter or
a telecommunications facility. 
 4.2 OS Tenant Space Access. Subject to all of the terms and conditions of this Rider
and the Lease, Tenant shall quietly have, hold and enjoy the OS Tenant Space without hindrance from Landlord or any person or entity claiming by, through or under Landlord. Subject to the terms and conditions of the Lease and this Rider (including,
without limitation, the OS Rules and Regulations), Landlord’s Access Control Systems and Force Majeure, Tenant shall have access to the OS Tenant Space twenty-four (24) hours per day, seven (7) days per week. Tenant and its Tenant
Parties shall comply with the OS Rules and Regulations. Tenant acknowledges that Landlord may revise the OS Rules and Regulations from time to time. 
 4.3 Services to be Provided by Landlord. Subject to the OS Rules and Regulations, Landlord shall furnish Tenant, at Landlord’s expense, while Tenant is occupying the OS Tenant Space and is not
in default hereunder, the following services during the OS Rider Term: 
 (1) Air conditioning and heating in season, Monday
through Friday from 8:00 a.m. to 6:00 p.m., and on Saturday from 9:00 a.m. to 1:00 p.m., at such temperatures and in office-use standard amounts for the Building, but such service on Saturday after 1:00 p.m., Sundays and holidays to be furnished
only upon the request of Tenant, who shall bear the cost thereof. Tenant acknowledges that such service and temperature may be subject to change by local, county, state or federal regulation. Whenever machines or equipment that generate abnormal
heat are used in the OS Tenant Space which affect the temperature otherwise maintained by the air conditioning system, Landlord shall have the right to install supplemental air conditioning in the OS Tenant Space, and the cost thereof, including the
cost of installation, operation, use and maintenance, shall be paid by Tenant to Landlord as Additional Rent upon demand. 

(2) Water at those points of supply provided for general use. 
 (3) Janitor service in and about the Building, and the OS Tenant Space, as may in the judgment of Landlord be reasonably required; however, Tenant shall pay the additional costs attributable to the
cleaning of improvements within the OS Tenant Space other than building standard improvements. 
 (4) Intentionally Deleted.

 (5) Replacement of fluorescent lamps in the building standard ceiling mounted fixtures installed by Landlord and
incandescent bulb replacement in all public areas; provided, however, that if Landlord determines that a building standard ceiling mounted fixture is not accessible to Landlord, Landlord shall furnish the fluorescent lamps to Tenant and Tenant shall
be responsible, at its cost, for replacing such lamps. 
 4.4 Interruption of Services. Landlord shall not be liable or
responsible to Tenant for any loss, damage or expense of any type which Tenant may sustain or incur if the quantity or character of the utility provided electric service to the OS Tenant Space is changed, is no longer available, or is no longer
suitable for Tenant’s requirements. No interruption or malfunction of any electrical or other service (including, without limitation, HVAC) to the OS Tenant Space (or to any other portion of the Building or Property) shall, in any event,
(i) constitute an eviction or disturbance of Tenant’s use and possession of the OS Tenant Space, (ii) constitute a breach by Landlord of any of Landlord’s obligations under the Lease or this Rider, (iii) render Landlord
liable for damages of any type or entitle Tenant to be relieved from any of Tenant’s obligations under the Lease or this Rider (including the obligation to pay OS Base Rent, Additional Rent, or other charges), (iv) grant Tenant any right
of setoff or recoupment, (v) provide Tenant with any right to terminate the Lease or this Rider, or (vi) make Landlord liable for any injury to or 

  
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interference with Tenant’s business or any punitive, incidental or consequential damages (of any type), whether foreseeable or not, whether arising from or relating to the making of or
failure to make any repairs, alterations or improvements, or whether arising from or related to the provision of or failure to provide for or to restore any service in or to any portion of the OS Tenant Space, the Property, or the Building. In the
event of any interruption, however, Landlord shall employ commercially reasonable efforts to restore such service or cause the same to be restored in any circumstances in which such restoration is within the reasonable control of Landlord.

 5. MAINTENANCE; ALTERATIONS. 
 5.1 Landlord’s Maintenance. Aside from Landlord’s OS Repair Obligations, Landlord shall have no repair and maintenance obligations in connection with the OS Tenant Space. Subject to
Section 6 below, Landlord shall be responsible for Landlord’s OS Repair Obligations, all as necessary to maintain such elements of the Building and the OS Tenant Space in a first class, clean, and safe condition. In the event that the OS
Tenant Space becomes in need of repairs which are within Landlord’s OS Repair Obligations, Tenant shall give immediate notice to Landlord of the nature of such repair needs; and Landlord shall cause such repairs to be completed within thirty
(30) days after such request, or such additional reasonable period of time as is reasonably necessary to repair such condition(s). 
 5.2 Tenant’s Maintenance. Aside from Landlord’s OS Repair Obligations, during the OS Rider Term, Tenant shall, at Tenant’s sole cost and expense, maintain the OS Tenant Space and
Tenant’s property, fixtures and equipment therein in clean, safe and good condition, in as good condition as when Tenant took possession, ordinary wear and tear excepted. If Tenant fails to perform its covenants of maintenance and repair
hereunder, or if Tenant or any of Tenant’s technicians or representatives physically damages the OS Tenant Space, the personal property of any other tenant or anything else in the Building or the Property, Landlord may, but shall not be
obligated to, perform all necessary or appropriate maintenance and repair, and any amounts expended by Landlord in connection therewith, plus an administrative charge of ten percent (10%), shall be reimbursed by Tenant to Landlord as Additional Rent
upon demand. 
 5.3 Alterations; Fixtures. 
 5.3.1 Tenant will make no alteration, change, improvement, repair, replacement or physical addition in or to the OS Tenant Space or the Building without the prior written consent and approval of Landlord,
which consent shall not be unreasonably withheld, conditioned or delayed. All materials introduced into the OS Tenant Space and/or the Property must be consented to in advance by Landlord. All cable installed in the OS Tenant Space and/or otherwise
at the Property must be plenum rated. If such prior written consent of Landlord is granted, the work in such connection shall be at Tenant’s expense by workmen and contractors approved in advance in writing by Landlord and in a manner and upon
terms and conditions and at times that are reasonably satisfactory to and reasonably approved in advance in writing by Landlord. In any instance where Landlord grants such consent, Landlord may grant such consent contingent and conditioned upon
Tenant’s contractors, laborers, materialmen and others furnishing labor or materials for Tenant’s job working in harmony and not interfering with any labor utilized by Landlord, Landlord’s contractors or mechanics or by any other
tenant or such other tenant’s contractors or mechanics; and if at any time such entry by one (1) or more persons furnishing labor or materials for Tenant’s work shall cause disharmony or interference for any reason whatsoever without
regard to fault, the consent granted by Landlord to Tenant may be withdrawn at any time upon written notice to Tenant. 
 5.3.2
Tenant shall remove Tenant’s trade fixtures, office supplies and movable office furniture and equipment not attached to the Building prior to the expiration of the OS Rider Term. All other property in the OS Tenant Space and any alteration or
addition to the OS Tenant Space (including wall-to-wall carpeting, paneling or other wall covering) and any other article attached or affixed to the floor, wall or ceiling of the OS Tenant Space or the Building shall, upon such expiration or
termination, become the property of Landlord, shall be surrendered in good condition, normal wear and tear excepted, and shall remain upon, and be surrendered with, the OS Tenant Space or the Building, as applicable, as part thereof at the
expiration of the OS Rider Term, Tenant hereby waiving all rights to any payment or compensation therefor; provided, however, that Tenant shall, in any event, remove all cabling, 

  
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including, without limitation, telephone and computer cabling, installed in the OS Tenant Space and/or the risers of the Building in connection with Tenant’s lease of the OS Tenant Space.
If, however, Landlord so requests in writing, Tenant will, prior to the termination of this Rider, remove in a good and workmanlike manner any and all alterations, additions, fixtures, equipment and property placed or installed by Tenant in or about
the OS Tenant Space and/or the Building, including, without limitation, above ceiling alterations, and will repair any damage occasioned by such removal. 
 6. MISCELLANEOUS. 
 6.1 Incorporation; Amendment; Merger. The OS
Tenant Space shall be deemed to be a part of the Tenant Space under the Lease for the purposes of Sections 4.1, 6.3.1, 6.3.2, 8.4, 9, 10, 13, 14 and 15. This Rider, along with any exhibits and attachments or other documents referred to herein, all
of which are hereby incorporated into this Rider by this reference, constitutes the entire and exclusive agreement between Landlord and Tenant relating to the OS Tenant Space, and each of the aforementioned documents may be altered, amended or
revoked only by an instrument in writing signed by the party to be charged thereby. All prior or contemporaneous oral or written agreements, understandings and/or practices relative to the leasing or use of the OS Tenant Space are merged herein or
revoked hereby. This Rider is hereby incorporated into the Lease by this reference. 
 6.2 Effectiveness of Rider. This
Rider shall not be binding or effective until the parties have executed and delivered an original or counterpart hereof to each other. 
 6.3 Authority. Landlord and Tenant hereby represent to one another that the persons executing this Rider on behalf of Landlord and Tenant are duly authorized to execute and deliver this Rider
pursuant to their respective by-laws, operating agreement, resolution or other legally sufficient authority. Further, Landlord and Tenant represent to one another that (i) if it is a partnership, the undersigned are all of its general partners,
(ii) it has been validly formed or incorporated, (iii) it is duly qualified to do business in the state in which the Property is located, and (iv) this Rider is being executed on its behalf and for its benefit. 

6.4 Counterparts; Delivery by Facsimile or E-mail. This Rider may be executed simultaneously in two or more counterparts each of
which shall be deemed an original, but all of which shall constitute one and the same Rider. Landlord and Tenant agree that the delivery of an executed copy of this Rider by facsimile or e-mail shall be legal and binding and shall have the same full
force and effect as if an original executed copy of this Rider had been delivered. 
 6.5 Confidentiality. Each party
agrees that (i) the terms and provisions of this Rider are confidential and constitute proprietary information of the parties; and (ii) as such, the terms and provisions of this Rider are, and shall be, subject to the terms of
Section 17.19 of the Lease. 
 [SIGNATURES APPEAR ON NEXT PAGE] 

  
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 IN WITNESS WHEREOF, the parties hereto have duly executed this Rider on the respective dates
set forth below to be effective as of the OS Effective Date. 
  

							
	LANDLORD:
	
	 DIGITAL 55 MIDDLESEX, LLC,
 a Delaware limited liability company

		
	By:	 	Digital Realty Trust, L.P.,
		 	a Maryland limited partnership,
		 	its sole member and manager
			
		 	By:	 	Digital Realty Trust, Inc.,
		 		 	a Maryland corporation,
		 		 	its general partner
				
		 		 	By:	 	 /s/ Robert W. Holmes

		 		 	Name:	 	Robert W. Holmes
		 		 	Its:	 	Vice President
		
	Date:	 	May 11, 2012
	
	TENANT:
	
	 CONSTANT CONTACT, INC.,
 a Delaware corporation

		
	By:	 	 /s/ John Walsh

	Name:	 	John Walsh
	Title:	 	Senior Vice President, Engineering and Operations
		
	Date:	 	May 10, 2012

  
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 EXHIBIT “A” 

DEPICTION OF OS TENANT SPACE 
  

 

 EXHIBIT “B” 

INTENTIONALLY DELETED 

 EXHIBIT “C” 

INTENTIONALLY OMITTED 

 EXHIBIT “D” 

INTENTIONALLY OMITTED 

 EXHIBIT “E” 

LANDLORD’S OS INSTALLATIONS 
 Landlord agrees to cause: 
 1. The OS Demising Walls to be constructed in the OS Tenant Space,
approximately as set forth on Exhibit “A” attached hereto.* 
 2. The OS Demising Walls to be painted with Building Office
Standard type, color and quantity of paint.* 
 3. Building Office Standard flooring to be installed in the OS Tenant Space.* 

4. Card reader for access to the OS Tenant Space (same specifications as contemplated under Exhibit E to the Lease).* 

 

	*	Landlord agrees to complete Landlord’s OS Installations at Landlord’s sole cost and expense; provided, however, in the event that Tenant requests changes to
the foregoing description of Landlord’s OS Installations (including any request for other than “Building Office Standard” materials, design and/or quantity), Tenant shall bear the incremental costs related to all such change requests,
and shall pay the same to Landlord within thirty (30) days after Tenant’s receipt of an invoice therefor from Landlord. 

 EXHIBIT “F” 

INTENTIONALLY DELETED 

 EXHIBIT “G” 

OS RULES AND REGULATIONS 
 1. Upon termination of this Rider, Tenant agrees to return all keys to Landlord. 

2. Tenant shall refer all contractors, contractor’s representatives and installation technicians rendering any service to Tenant, to
Landlord for Landlord’s supervision, approval and control before performance of any contractual service. This provision shall apply to all work performed in the Building, including, without limitation, installation of telephones, telegraph
equipment, electrical devices and attachments and installations of any nature affecting floors, walls, woodwork, trim, windows, ceilings, equipment or any other physical portion of the Building. 

3. Movement in and out of the Building of furniture, office equipment or other bulky materials, or movement through Building entrances or
lobby, or dispatch or receipt by Tenant of any merchandise or materials which requires use of elevators or stairways shall be restricted to hours designated by Landlord. All such movement shall be under supervision of Landlord and in the manner
agreed between Tenant and Landlord by prearrangement before performance of any such movement. Such prearrangements initiated by Tenant shall include determination by Landlord, and subject to Landlord’s decision and control, of the time, method
and routing of movement, and limitations imposed by safety or other concerns which may prohibit any article, equipment or any other item from being brought into the Building. Tenant shall assume all risk as to damage to articles moved and injury to
persons or public engaged or not engaged in such movement, including equipment, property and personnel of Landlord if damaged or injured as a result of acts in connection with carrying out this service for Tenant from the time of entering property
to completion of work. 
 4. No signs, advertisements or notices shall be allowed in any form on windows or doors inside or
outside the OS Tenant Space or any other part of the Building, and no signs except in uniform location and uniform styles fixed by Landlord shall be permitted on exterior identification pylons, if any, in the public corridors or on corridor doors or
entrances to the OS Tenant Space. All signs shall be contracted for by Landlord for Tenant at the rate fixed by Landlord from time to time, and Tenant shall be billed and pay for such service accordingly upon demand. 

5. No draperies, shutters, or other window covering shall be installed on exterior windows or walls or windows and doors facing public
corridors without Landlord’s written approval. Landlord shall have the right to require installation and continued use of uniform window covering for such windows. 
 6. No portion of the OS Tenant Space or any other part of the Building shall at any time be used or occupied as sleeping or lodging quarters. 

7. Tenant shall not place, install or operate in the OS Tenant Space or in any other part of the Building any machinery or conduct
mechanical operations, or place or use in or about the OS Tenant Space any explosives, gasoline, kerosene, oil, acids, caustics or any other inflammable, explosive or hazardous materials, fluid or substance without the prior written consent of
Landlord. 
 8. Landlord shall not be responsible for lost or stolen personal property, equipment, money or jewelry from the OS
Tenant Space or public rooms regardless of whether such loss occurs when any such area is locked against entry or not. 
 9. No
birds or animals shall be brought into or kept in or about the OS Tenant Space or any other part of the Building. 
 10. None of
the entries, sidewalks, vestibules, elevator shafts, passages, doorways or hallways and similar areas shall be blocked or obstructed, or any rubbish, litter, trash or material of any nature placed, emptied or thrown into such areas, or such areas be
used at any time for any purpose except for ingress or egress by Tenant, Tenant’s agents, employees or invitees to and from the OS Tenant Space and for going from one to another part of the Building. 

 11. Tenant and Tenant’s employees, agents and invitees shall observe and comply with
the driving and parking signs and markers on the premises or parking facilities surrounding the Building. 
 12. Landlord shall
have the right to prescribe the weight and position of safes, computers and other heavy equipment which shall, in all cases, in order to distribute their weight, stand on supporting devices approved by Landlord. All damage done to the OS Tenant
Space or to the Building by placing in or taking out any property of Tenant, or done by Tenant’s property while in the OS Tenant Space or the Building, shall be repaired immediately at the sole expense of Tenant. 

13. Plumbing fixtures and appliances shall be used only for purposes for which constructed, and no sweeping, rubbish, rags or other
unsuitable material shall be thrown or placed therein. Damage resulting to any such fixtures or appliances from misuse by Tenant, or Tenant’s agents or employees shall be paid by Tenant, and Landlord shall not in any case be responsible
therefor. 
 14. Tenants on multi-tenant floors shall keep all entrance doors to the OS Tenant Space closed at all times.

 15. Landlord reserves the right to rescind any of these rules and make such other and further reasonable rules and
regulations as in Landlord’s judgment shall from time to time be needful for the safety, protection, care and cleanliness of the Building, the operation thereof, the preservation of good order therein, and the protection and comfort of its
tenants, their agents, employees and invitees, which rules when made and notice thereof given to a tenant shall be binding upon such tenant in like manner as if originally prescribed.EX-4.3

 EXHIBIT 4.3 
 SUBSCRIPTION AND INFORMATION AGENT AGREEMENT 
 This
Subscription and Information Agent Agreement (the “Agreement”) is entered into as of this
16th day of May 2012 by and between, Nanophase
Technologies Corporation, organized and existing under the laws of Delaware (the “Corporation”), and Broadridge Corporate Issuer Solutions, Inc., a corporation having its principal offices in Philadelphia, Pennsylvania
(“Broadridge”). 
 WHEREAS, pursuant to a public rights offering (the “Rights
Offering”), the record and beneficial holders of the Corporation’s common stock, par value $.01 per share (the “Common Stock”) will be given the right (the “Subscription Rights”) to
subscribe for an aggregate of approximately 7,250,000 shares of Common Stock, in each case as more fully set forth in a prospectus and related offering documents (the “Offering Documents”) to be prepared by the Corporation
and filed with the Securities and Exchange Commission for the purpose of effecting the Rights Offering; and 
 WHEREAS,
the Corporation has authorized and directed the Agent to hold funds submitted by stockholders who exercise Subscription Rights (the “Subscription Funds”) in accordance with the terms and provisions of this Agreement; and

 WHEREAS, upon the terms and conditions set forth in the applicable Offering Documents, the Agent will record properly
exercised Subscription Rights from holders of the Common Stock on the Record Date (as defined in the applicable Offering Documents), as well as record and deposit the Subscription Funds for the purchase of the shares of Common Stock pursuant to the
Rights Offering; and 
 WHEREAS, the Corporation desires that Broadridge act as both Subscription Agent and Information
Agent under the Rights Offering (the “Agent”), and Broadridge has indicated its willingness to do so. 

NOW, THEREFORE, in consideration of the mutual covenants contained herein, the parties hereto agree as follows: 

1. Appointment of Subscription and Information Agent. The Corporation hereby confirms the appointment of Broadridge as Agent, and
Broadridge hereby agrees to serve as Agent, upon the terms and conditions set forth herein. 
 2. Acceptance and Receipt of
Subscription Documents. 
 A. After receiving from the Corporation acknowledgement of the commencement of the Rights
Offering, the Agent shall promptly mail to each holder of Common Stock as of the Record Date (a) the appropriate Offering Documents as approved by the Corporation (which shall specify that the exercise of Subscription Rights shall be effected,
and risk of loss of Subscription Funds shall pass, only upon receipt by the Agent of the properly completed Subscription Certificate (as defined in the Offering Documents) and Subscription Funds required to effect the exercise of Subscription Rights
under the Rights Offering) and (b) an envelope addressed to the Agent for use by such holder in exercising his or her Subscription Rights (the “Mailing”). 

  
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 B. The Agent, upon receipt of Subscription Funds and duly, completely and correctly executed
Subscription Certificates and other documents for the exercise of Subscription Rights, shall make note of such Subscriptions and Subscription Funds with respect of the amount of shares subscribed for. Upon closing of the Rights Offering and as
promptly as feasible upon the Agent’s receipt of the Corporation’s acceptance and approval of said Subscription Certificates, (i) the Corporation will authorize the Agent to no longer accept any subscription documents and to prepare
the final subscription list, representing the number of shares of Common Stock for which said stockholder has subscribed, for the issuance of stock certificates by the Corporation’s Transfer Agent, (the “Certificates”)
and (ii) the Agent will release to the Corporation the aggregate Subscription Funds minus any fees and expense reimbursements (incurred or reserved for disbursements) due to the Agent from the Corporation (sections (i) and
(ii) directly preceding constituting the “Closing”). No interest on the Subscription Funds will accrue to either the Corporation or the Corporation’s stockholders. 

3. Notification and Processing. The Agent is hereby authorized and directed to, and hereby agrees to perform certain functions,
including but not limited to the following: 
 A. Accept and respond to all telephone requests from stockholders for information
relative to the exercise of Subscription Rights (except that Agent will not answer questions relating to the sufficiency of the consideration or the tax implications of the Rights Offering); answer questions regarding the proper method of exercising
Subscription Rights, including the completion of Subscription Certificates and other documents related to the Rights Offering; maintain a toll-free number to respond to inquiries; provide assistance to holders of Common Stock and monitor the
response to the Rights Offering; enclose and re-mail the Subscriptions to interested holders of Common Stock; and provide periodic reports as requested to the Corporation as to the status of the Rights Offering. 

B. Date stamp each document relating to its duties hereunder when received; 

C. Receive and examine all documents submitted to it in connection with the exercise of rights under the Rights Offering for proper
execution in accordance with the terms thereof. If Common Stock applicable to a subscription is held by more than one record holder, the applicable Offering Documents must be signed by each such holder; if a holder or joint holders (registrants)
hold more than one position in the Corporation, as indicated by different accounts on the relevant record holder list, then separate, properly completed and executed subscriptions must be submitted for each such position held by that or those joint
holders (registrants). 
 D. Retain or return to any holders (as applicable) those Offering Documents evidencing some deficiency
in execution and make reasonable attempts to inform such holders of the need to correct any such deficiency; In any instance where the Agent cannot reconcile such deficiencies, the Agent shall consult with the Corporation for instructions as to
whether the Agent may accept such exercise of Subscription Rights. In the absence of such instructions by Corporation in writing or email within twenty-four (24) hours after Agent first requests such instructions, Agent is authorized not to
accept such exercise of Subscription Rights and shall notify the exercising stockholder that its exercise is deficient; 

  
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 E. Accept Subscription Certificates and other documents signed by persons acting in a
fiduciary or representative capacity only if such capacity is properly shown on the subscriptions and proper evidence of their authority so to act has been submitted; 
 F. Accept subscriptions for Common Stock to be issued other than in the name that appears on the Corporation record stockholder list submitted for such subscription, where (i) the signature thereon
is guaranteed by a financial institution which is a participant in the Securities Transfer Agents Medallion Program (“STAMP”), the New York Stock Exchange, Inc. Medallion Signature Program (“MSP”), or
The Stock Exchanges Medallion Program (“SEMP”), (ii) any necessary stock transfer taxes are paid and proof of such payment is submitted or funds therefore are provided to the Agent, or it is established by the holder
that no such taxes are due and payable and (iii) the “Special Issuance Instructions” on the Subscription Certificate have been properly completed; 
 G. Retain all subscriptions accepted and retain such documents pending further instructions from the Corporation; 
 H. Return at the Corporation’s request any and all necessary records, information and material concerning and representing unsubscribed Common Stock under the Rights Offering; and 

I. Maintain on a continuing basis a list of holders of Common Stock that have not yet subscribed pursuant to the Rights Offering.

 4. Concerning the Subscription and Information Agent. 

The Agent: 
  

	 	A.	Shall have no duties or obligations other than those set forth herein, including those described under “Included Services” on Exhibit A, and no duties
or obligations shall be inferred or implied, nor shall Agent be obligated nor expected to perform those services described under “Non-Included Services” on Exhibit A 

 

	 	B.	May rely on, and shall be held harmless by, the Corporation in acting upon any certificate, statement, instrument, opinion, notice, letter, facsimile transmission,
telegram electronic mail or other document, or any security delivered to it, and reasonably believed by it to be genuine and to have been made or signed by the proper party or parties; 

 

	 	C.	May rely on and shall be held harmless by the Corporation in acting upon written or oral instructions from the Corporation with respect to any matter relating to its
acting as Agent; 

  

	 	D.	May consult on documents with counsel satisfactory to it (including counsel for the Corporation) and shall be held harmless by the Corporation in relying on the advice
or opinion of such counsel in respect of any action taken, suffered or omitted by it hereunder in good faith and in accordance with such advice or opinion of such counsel; 

  
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	 	E.	Shall make the final determination as to whether or not a Subscription Certificate received by Agent is duly, completely and correctly executed in order to qualify for
the Rights Offering and Agent shall be held harmless by the Corporation in respect of any action taken, suffered or omitted by Agent hereunder in good faith and in accordance with its determination; shall not be obligated to take any legal or other
action hereunder which might, in its judgment subject or expose it to any expense or liability unless it shall have been furnished with an indemnity satisfactory to it; 

 

	 	F.	Shall not be liable or responsible for any recital or statement contained in any Offering Document or any other documents relating thereto; and

  

	 	G.	Shall not be liable or responsible for any failure of the Corporation to comply with any of its obligations relating to the Offering, including without limitation
obligations under applicable regulation or law. 

 This Agreement does not contemplate any service to be provided
by Agent in the case where the conditions of the Rights Offering have not been met in a timely manner. If necessary, service to be provided by Agent under such circumstances and remuneration to Agent therefore, will be established in a mutual
agreement between Agent and the Corporation, which will become a part of this Agreement. 
 No later than the business day after
the Mailing, the Corporation will provide Agent with a list of talking points dealing with anticipated questions from holders of Common Stock. It is understood and agreed that Agent will not provide tax advice, will not interpret tax regulations,
will not opine regarding the merits of the Rights Offering, and will not provide any comments related to any legal proceedings related to the Corporation. 
 5. Compensation of the Agent by the Corporation. 
 The Corporation shall
pay fees for the services rendered hereunder, as set forth in the Fee Schedule (attached hereto as Exhibit A). The Agent shall also be entitled to reimbursement from the Corporation for all reasonable and necessary expenses paid or incurred
by it in connection with the administration by the Agent of its duties hereunder. One half of the total Agent fees (not including postage) must be paid upon execution of this Agreement. The remaining half must be paid within fifteen
(15) business days thereafter. An invoice for any out-of-pocket and/or per item fees incurred will be rendered to and payable by the Corporation within fifteen (15) days of the date of said invoice, except for invoiced estimated postage,
printing and mailing expenses, which funds must be received five (5) business days prior to the scheduled Mailing date. It is understood and agreed that all responsibilities and duties of, and services to be performed by, Agent shall cease if
full payment for its services has not been received in accordance with the above schedule, and said services will not commence thereafter until all payment due has been received by Agent. 

  
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 6. Reminder Mailings. The Corporation agrees that any follow up mailing program will
be coordinated exclusively through Agent, either by Agent or using a vendor that Agent has previously approved. Agent may conduct follow up mailings through electronic mail, to the extent the email address of the intended recipient Stockholder has
been provided by Corporation to Agent. 
 7. Performance. 

The Agent shall at all times act in good faith and agrees to use its commercially reasonable efforts within reasonable time limits to
insure the accuracy and timeliness of all services performed under this Agreement. 
 8. Indemnification, Limitation of
Liability. 
 A. The Corporation covenants and agrees to indemnify and to hold the Agent harmless against any claims,
actions, judgments, liabilities, costs, expenses (including reasonable fees of its legal counsel), losses or damages, which may be paid, incurred or suffered by or to which it may become subject, arising from or out of its duties under this
Agreement. Promptly after the receipt by the Agent of notice of any demand or claim, or the commencement of any action, suit, proceeding or investigation, the Agent shall notify the Corporation thereof in writing. The Corporation shall be entitled
to participate at its own expense in the defense of any such claim or proceeding, and, if it so elects at any time after receipt of such notice, it may assume the defense of any suit brought to enforce any such claim or of any other legal action or
proceeding. Agent will not, without the Corporation’s prior consent, settle or compromise or consent to the entry of any judgment to any pending or threatened Action in respect of which indemnification may be sought hereunder. For the purposes
of this Section 8, the phrase “any costs, expenses (including reasonable fees of its legal counsel), losses or damages” means any amount paid or payable to satisfy any claim, demand, action, suit or proceeding settled, and all
reasonable costs and expenses, including, but not limited to, reasonable counsel fees and disbursements, paid or incurred in investigating or defending against any such action, suit, proceeding or investigation. 

B. Agent’s aggregate liability during any term of this Agreement with respect to, arising from, or arising in connection with this
Agreement, or from all services provided or omitted to be provided under this Agreement, whether in contract, or in tort, or otherwise, is limited to, and shall not exceed, the amounts paid or payable hereunder by the Corporation to Agent as fees
and charges, but not including reimbursable expenses. 
 C. In the event any question or dispute arises with respect to the
proper interpretation of this Agreement or Agent’s duties hereunder or the rights of the Corporation or of any Stockholders exercising Subscription Rights, Agent shall not be required to act and shall not be held liable or responsible for
refusing to act until the question or dispute has been judicially settled (and Agent may, if it deems it advisable, but shall not be obligated to, file a suit in interpleader or for a declaratory judgment for such purpose) by final judgment rendered
by a court of competent jurisdiction, binding on all stockholders and parties interested in the matter which is no longer subject to review or appeal, or settled by a written document in form and substance satisfactory to Agent and executed by the
Corporation and each such stockholder and party. In addition, Agent may require for such purpose, but shall not be obligated to require, the execution of such written settlement by all the stockholders and all other parties that may have an interest
in the settlement. 

  
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 9. Further Assurance. From time-to-time and after the date hereof, the Corporation
shall deliver or cause to be delivered to the Agent such further documents and instruments and shall do and cause to be done such further acts as the Agent shall reasonably request (it being understood that the Agent shall have no obligation to make
any such request) to carry out more effectively the provisions and purposes of this Agreement, to evidence compliance herewith or to assure itself that it is protected in acting hereunder. 

10. Term. The Corporation may terminate this Agreement at any time by providing 60 days written notification to the Agent.
The Agent may terminate this Agreement by providing the Corporation 60 days’ written notice, except that Agent may terminate this agreement at any time Corporation has not paid in full an invoice from the Agent within the time period
described in section five (5) herein. Upon the effective date of termination of this Agreement, all cash and other payments, without interest, and all other property then held by the Agent on behalf of the holders of Common Stock hereunder
shall be delivered by it to such successor agent or as otherwise shall be designated in writing by the parties hereto. Upon termination of this Agreement, all subscription documents received and related documentation will be returned to the
Corporation. 
 11. Notices. Until further notice in writing by either party hereto to the other party, all written
reports, notices and other communications between the Agent and the Corporation required or permitted hereunder shall be delivered or mailed by first class mail, postage prepaid, addressed as follows: 

 

			
	If to the Corporation, to:	  	 Nanophase Technologies Corporation
 1319 Marquette Drive
 Romeoville, IL
60446    Attn:  CFO

		
	If to the Agent, to:	  	 Broadridge Corporate Issuer Solutions, Inc.
 1717 Arch Street, Suite 1300
 Philadelphia, PA 19103

Attn:  Re-Organization Department

 12. Governing Law. This Agreement shall be governed by and construed in accordance with the laws
of the Commonwealth of Pennsylvania and shall inure to the benefit of, and the obligations created hereby shall be binding upon, the successors and assigns of the parties hereto. 

13. Assignment. 
 A. Except as provided in Section 13(B) below, neither this Agreement nor any rights or obligations hereunder may be assigned by either party without the written consent of the other party.

  
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 B. The Agent may, without further consent on the part of the Corporation, subcontract with
subcontractors for systems, processing, telephone and mailing services, and reminder mailing activities, as may be required from time to time; provided, however, that the Agent shall be fully responsible to the Corporation for the acts and omissions
of any subcontractor. 
 C. Except as explicitly stated elsewhere in this Agreement, nothing under this Agreement shall be
construed to give any rights or benefits in this Agreement to anyone other than the Agent and the Corporation and the duties and responsibilities undertaken pursuant to this Agreement shall be for the sole and exclusive benefit of the Agent and the
Corporation. This Agreement shall inure to the benefit of and be binding upon the parties and their respective permitted successors and assigns. 
 14. Amendment. This Agreement may not be modified, amended or supplemented without an express written agreement executed by each of the parties hereto. 

15. Counterparts. This Agreement may be executed in separate counterparts, each of which, when executed and delivered, shall be an
original, but all such counterparts shall together constitute but one and the same instrument. 
 16. No Joint Venture.
This Agreement does not constitute an agreement for a partnership or joint venture between the Agent and the Corporation. Neither party shall make any commitments with third parties that are binding on the other party without the other party’s
prior written consent. 
 17. Force Majeure. In the event either party is unable to perform its obligations under the
terms of this Agreement because of acts of God, strikes, equipment or transmission failure or damage that is reasonably beyond its control, or other cause that is reasonably beyond its control (except, in the case of the Agent, for acts of
subcontractors), such party shall not be liable for damages to the other for any damages resulting from such failure to perform or otherwise from such causes. Performance under this Agreement shall resume when the affected party or parties are able
to perform substantially that party’s duties. 
 18. Consequential Damages. Neither party to this Agreement shall be
liable for any consequential, indirect, special or incidental damages under any provision of this Agreement or for any consequential, indirect, penal, special or incidental damages arising out of any act or failure to act hereunder even if that
party has been advised of or has foreseen the possibility of such damages. 
 19. Severability. If any provision of this
Agreement shall be held invalid, unlawful, or unenforceable, the validity, legality, and enforceability of the remaining provisions shall not in any way be affected or impaired. 

20. Confidentiality. The Agent and the Corporation agree that all books, records, information and data pertaining to the business
of the other party which are received pursuant to the negotiation or the carrying out of this Agreement, including the fees for services set forth in the attached schedule, shall remain confidential and shall not be voluntarily disclosed to any
other person (except the party’s attorneys and advisors), except with the written approval of the other party or as may be required by law. 

  
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 21. Survival. The provisions of Sections 4, 5, 6, 8, 12, 13, 18, 21 and 22 shall
survive any termination of this agreement. 
 22. Merger of Agreement. This Agreement constitutes the entire agreement
between the parties hereto and supersedes any prior agreement with respect to the subject matter hereof whether oral or written. 
 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their respective officers, hereunto duly authorized, as of the day and year first above written. 

 

									
	BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC.	 		 	NANOPHASE TECHNOLOGIES CORPORATION
					
	 By:
	 		 		 	 By:
	 	
	 Title:
	 		 		 	 Title:
	 	

  

  
 8 

 Exhibit A 

AGENT FEES AND INCLUDED SERVICES 
 Subscription and Information Agent Fee of $7,500, plus $10.00 for each line item on Depository Trust Company’s ATOP forms submitted to Agent. 
 Plus reasonable out of pocket expenses, including but not limited to, checks, stop check charges, printing costs, postage (at 1.1 times rate), wire transfers, excess material disposal, overtime charges at
100% assessed in the event of late delivery of material for Mailing 
 INCLUDED SERVICES 

 

	 	•	 	 Designating a corporate action account manager to communicate with all parties hereto and their counsel to establish the terms, timing and procedures
required to carry out Subscription Agent duties, including document review and execution of legal agreements, Subscription Certificates and other Rights Offering documents and communication materials, project management, and on-going project updates
and reporting. 

  

	 	•	 	 Designating an Information Agent account manager to review and become familiar with all Offer Documents and provide expert assistance to holders of
Common Stock related to matters concerning the Rights Offering. 

  

	 	•	 	 Preparing labels that include name, address for the mailing of Offering Documents. 

 

	 	•	 	 Collating and assembling Offering Documents and envelopes for mailing. 

 

	 	•	 	 Addressing and enclosing Offering Documents and return envelopes, for one-time, one-day mailing to holders of Common Stock.

  

	 	•	 	 Receiving, opening and logging in returned Subscription Certificates. 

 

	 	•	 	 Checking Subscription Certificates for validity against master list. 

 

	 	•	 	 Checking for proper execution of all of Subscription Certificates and other documents necessary to effect a proper exercise of Subscription Rights,
including W-9’s (if applicable). 

  

	 	•	 	 Curing defective subscriptions, including telephoning and writing holders of Common Stock in connection with unsigned or improperly executed
Subscription Certificates and other Offering Documents. 

  

	 	•	 	 Soliciting by mail W-9’s from holders of Common Stock who have not executed them or whose TIN’s do not match our records.

  
 9 

	 	•	 	 Tracking and reporting as required the number of shares of Common Stock to which stockholders have subscribed. 

 

	 	•	 	 Sealing, addressing, posting (not including postage), and providing envelopes for mailing to holders of Common Stock. 

 

	 	•	 	 Providing stockholder relations services to all holders of Common Stock related to the Rights Offering, including phone, email, and regular mail
inquiries. 

 NON-INCLUDED SERVICES 

 

	 	•	 	 Services associated with new duties, legislation or regulations which become effective after the date of this Agreement (these will be provided on an
appraisal basis) 

  

	 	•	 	 Reasonable legal review fees if referred to outside counsel 

 

	 	•	 	 Overtime charges at 100% assessed in the event of late delivery of material for mailings, unless the target mail date is rescheduled

  

	 	•	 	 Post-Offer clean up 

  

	 	•	 	 Dedicated Toll Free 800 Number 

  
 10

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