Document:

EXHIBIT 10.4

    

SECOND AMENDMENT

TO

EMPLOYMENT AGREEMENT

This Second Amendment to the Employment Agreement, effective as of September 2, 2008 and amended as of January 25, 2011, (the “Employment Agreement”), by and between AboveNet, Inc. (the “Company”) and Robert Sokota (the “Employee”) is effective as of November 30, 2011 (this “Second Amendment”).

WHEREAS, the Company and the Employee are parties to the Employment Agreement, whose term is scheduled to expire on December 31, 2012 (the “Term”); and

WHEREAS, the parties wish to extend the Term of the Employment Agreement to December 31, 2013;

NOW THEREFORE, the Employment Agreement is hereby amended as follows:

1.           Section 1(b) of the Employment Agreement shall read as follows:

(b) The term (the “Term”) of the Employee’s employment hereunder will commence on the Effective Date and, unless sooner terminated as provided in Section 6 hereof, will terminate at the end of the day on December 31, 2013.  The Term shall be automatically extended unless sooner terminated as provided herein, for successive additional one-year periods, unless at least 120 days prior to the end of Term, the Company or the Employee has notified the other that the Term will not be extended.

2.           All other provisions of the Employment Agreement shall remain in force and effect.

  

  

  

IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Employment Agreement as of the date first set forth above.

	 	
ABOVENET, INC.

	 
	 	 	 	 
	
 

	
By: 

	/s/ William LaPerch	 
	 	 	

Name: William LaPerch

	 
	 	 	

Title: President and CEO

	 
	 	 	 	 

	 	
EMPLOYEE

	 
	 	 	 	 
	
 

	/s/ Robert Sokota	 
	 	

Robert SokotaUnassociated Document

Exhibit 4.5

 

AMENDMENT NO. 2 TO

GREEN BALLAST, INC.

8% SENIOR SECURED CONVERTIBLE NOTE

 

THIS AMENDMENT, dated as of November 28, 2011 (the “Amendment”), to the 8% Senior Secured Convertible Note, dated as of April 15, 2011 (the “Gemini Note”), by Green Ballast, Inc., a Delaware corporation (the “Company”).

 

WHEREAS, the Company issued the Gemini Note to Gemini Master Fund, Ltd., a Cayman Islands corporation (the “Holder”) on April 15, 2011; and

 

WHEREAS, the Company and the Holder desire to enter into this Amendment.

 

NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged and agreed, the Company and the Holder agree as follows:

 

1.           Section 7(a)(vi) of the Gemini Note is hereby amended by deleting Section 7(a)(vi) in its entirety and replacing it with the following:

 

iv.           if at any time after February 1, 2012, the Common Stock shall not be eligible for listing or quotation for trading on a Trading Market and shall not be eligible to resume listing or quotation for trading thereon within five (5) Trading Days, or the Company fails to use its best efforts to cause the Common Stock to be listed or quoted on a Trading Market after February 1, 2012; provided however, that in the event the Company (i) files an S-1 to register for resale the Holder’s Common Stock (including the Conversion Shares issuable upon conversion thereof) and (ii) reasonably diligently responds to comments from the Commission or otherwise uses its best efforts to seek effectiveness of the S-1, the Company shall not be deemed to be in default or breach of this Note if the Commission fails to declare the S-1 effective by February 1, 2012, thereby causing to delay or prevent the Common Stock from becoming eligible for listing or quotation for trading on a Trading Market;

 

2.           Section 7(a)(viii) of the Gemini Note is hereby amended by deleting Section 7(a)(viii) in its entirety and replacing it with the following:

 

viii.           if at any time after February 1, 2012, the Company (a) is not subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act or (b) has failed to file all reports required to be filed thereunder during the then preceding 12 months (or such shorter period that the Company was required to file such reports); provided however, that in the event the Company (i) files an S-1 to register for resale the Holder’s Common Stock (including the Conversion Shares issuable upon conversion thereof) and (ii) reasonably diligently responds to comments from the Commission or otherwise uses its best efforts to seek effectiveness of the S-1, the Company shall not be deemed to be in default or breach of this Note if the Commission fails to declare the S-1 effective by February 1, 2012, thereby causing to delay or prevent the Company from becoming subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act;

 

3.           Except to the extent amended hereby, the Gemini Note shall remain in full force and effect.

 

4.           All capitalized terms used herein, and not otherwise defined herein, have the respective meanings given to such terms in the Gemini Note.

 

  

 

  

5.           This Amendment may be executed in any number of counterparts, each of which shall constitute an original document.  Electronic signatures, whether by fax, e-mail, or other electronic means, shall be treated as original signatures.

 

[Signature page to follow.]

 

  

2

  

 

IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed the day and year first set forth above.

	  	
COMPANY:

	  	  
	  	
GREEN BALLAST, INC.

	  	  	  
	  	
By:

	
/s/ Kevin Adams

	  	
Name:

	
Kevin Adams

	  	
Title:

	
Chief Executive Officer

	  	  
	  	
HOLDER:

	  	  
	  	
GEMINI MASTER FUND, LTD.

	  	
By: GEMINI STRATEGIES, LLC, as

investment manager

	  	  	  	  
	  	  	
By:

	
/s/ Steven Winters

	  	  	
Name:

	
Steven Winters

	  	  	
Title:

	
Managing Member

 

  

3Unassociated Document

Exhibit 4.7

 

AMENDMENT NO. 2 TO

GREEN BALLAST, INC.

8% SENIOR SECURED NOTE

THIS AMENDMENT, dated as of November 28, 2011 (the “Amendment”), to the 8% Senior Secured Note, dated as of April 15, 2011 (the “GBL Note”), by Green Ballast, Inc., a Delaware corporation (the “Company”).

 

WHEREAS, the Company issued the GBL Note to Green Ballast LLC, a Tennessee limited liability company (the “Holder”) on April 15, 2011; and

 

WHEREAS, the Company and the Holder desire to enter into this Amendment.

 

NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged and agreed, the Company and the Holder agree as follows:

 

1.           Section 6(a)(vi) of the GBL Note is hereby amended by deleting Section 6(a)(vi) in its entirety and replacing it with the following:

 

vi.           if at any time after February 1, 2012, the Common Stock shall not be eligible for listing or quotation for trading on a Trading Market and shall not be eligible to resume listing or quotation for trading thereon within five (5) Trading Days, or the Company fails to use its best efforts to cause the Common Stock to be listed or quoted on a Trading Market after February 1, 2012; provided however, that in the event the Company (i) files an S-1 to register for resale the Holder’s Common Stock (including the Conversion Shares issuable upon conversion thereof) and (ii) reasonably diligently responds to comments from the Commission or otherwise uses its best efforts to seek effectiveness of the S-1, the Company shall not be deemed to be in default or breach of this Note if the Commission fails to declare the S-1 effective by February 1, 2012, thereby causing to delay or prevent the Common Stock from becoming eligible for listing or quotation for trading on a Trading Market;

 

2.           Section 6(a)(viii) of the GBL Note is hereby amended by deleting Section 6(a)(viii) in its entirety and replacing it with the following:

 

viii.           if at any time after February 1, 2012, the Company (a) is not subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act or (b) has failed to file all reports required to be filed thereunder during the then preceding 12 months (or such shorter period that the Company was required to file such reports); provided however, that in the event the Company (i) files an S-1 to register for resale the Holder’s Common Stock (including the Conversion Shares issuable upon conversion thereof) and (ii) reasonably diligently responds to comments from the Commission or otherwise uses its best efforts to seek effectiveness of the S-1, the Company shall not be deemed to be in default or breach of this Note if the Commission fails to declare the S-1 effective by February 1, 2012, thereby causing to delay or prevent the Company from becoming subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act;

 

3.           Except to the extent amended hereby, the GBL Note shall remain in full force and effect.

 

4.           All capitalized terms used herein, and not otherwise defined herein, have the respective meanings given to such terms in the GBL Note.

 

  

 

  

5.           This Amendment may be executed in any number of counterparts, each of which shall constitute an original document.  Electronic signatures, whether by fax, e-mail, or other electronic means, shall be treated as original signatures.

 

[Signature page to follow.]

 

  

2

  

IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed the day and year first set forth above.

 

	  	
COMPANY:

	  	  
	  	
GREEN BALLAST, INC.

	  	  
	  	
By:

	
/s/ Kevin Adams

	  	
Name:

	
Kevin Adams

	  	
Title:

	
Chief Executive Officer

	  	  
	  	
HOLDER:

	  	  
	  	
GREEN BALLAST LLC

	  	  
	  	
By:

	
/s/ Kevin Adams

	  	
Name:

	
Kevin Adams

	  	
Title:

	
Chief Executive Officer

 

  

3

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00197-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00197-of-00352.parquet"}], [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00197-of-00352.parquet"}]]