Document:

Employment Agreement

 Exhibit 10.1 
 EMPLOYMENT AGREEMENT 
 EMPLOYMENT AGREEMENT to be effective November 29, 2007, by and between
UTEK CORPORATION, a Delaware corporation, having an office at 2109 East Palm Avenue, Tampa, Florida 33605 (hereinafter referred to as “UTEK”), and Carole Wright (hereinafter referred to as “Employee”): 
 WHEREAS, UTEK desires to employ Employee in the position as Chief Financial Officer (CFO); and 
 WHEREAS, Employee is willing and capable to be employed in said position in the manner provided for herein, and to perform all of the duties of
the CFO of UTEK upon the terms and conditions herein set forth; 
 NOW, THEREFORE, in consideration of the promises and mutual
covenants herein set forth it is agreed as follows; 
 1. Employment of Employee. UTEK hereby employs Employee as Chief
Financial Officer. 
 2. Term. The term of this Agreement shall commence on November 29, 2007 (the “Commencement
Date”) and expire three years from such date, unless sooner terminated or renewed as provided hereunder. . During the term hereof, Employee shall devote substantially all of her business time and efforts to UTEK and its subsidiaries and
affiliates. 
 3. Duties. The Employee shall perform those functions generally performed by persons of such title and position,
shall perform any and all related duties, and shall be available to confer and consult with and advise the officers and directors of UTEK at such times that may be required by UTEK. 
 4. Compensation. Employee shall be paid as follows: 
 (a) Employee shall be paid a salary of One hundred and Seventy thousand dollars ($170,000.00) for the first year, One hundred and Eighty
five thousand dollars ($185,000.00) for the second year and Two Hundred Thousand dollars ($200,000.00) for the final year, payable in monthly installments; and 
 (b) In addition UTEK shall make discretionary bonuses as determined by the compensation committee of the board of directors. 

(c) Employee may participate in all benefit plans provided by UTEK 
 (d) In the event of a “change of control” and the Employee’s position is eliminated, or in the event the Employee is
terminated without cause the employee shall receive a $100,000.00 severance package. 
  

 Page 1 of 6 

 “Change of Control”: 
 (A) A person (other than a person who is an officer or a Director of Employer on the effective date hereof), including a "group" as defined in
Section 13(d)(3) of the securities Exchange Act of 1934, becomes, or obtains the right to become, the beneficial owner of Employer securities having 30% or more of the combined voting power of then outstanding securities of the Employer that
may be cast for the election of directors of the Employer; 
 (B) At any time, the Board-nominated slate of candidates for the Board is not
elected; 
 (C) Employer consummates a merger in which it is not the surviving entity; 
 (D) Substantially all of Employer's assets are sold; or Employer's stockholders approve the dissolution or liquidation of Employer. 
 5. Confidential Information 
 a. The Employee has acquired and will acquire information and knowledge respecting the intimate and confidential affairs of the Company (for this purpose including all subsidiaries and affiliates, including without limitation confidential
information with respect to the Company’s customer lists, technologies, business methodology, business techniques, promotional materials and information, and other similar matters treated by the Company as confidential (the Confidential
Information). Accordingly, the Employee covenants and agrees that during her employment by the Company (whether during the Term hereof or otherwise) and thereafter, the Employee shall not, without the prior written consent of the Company, disclose
to any person, other than a person to whom disclosure is reasonably necessary or appropriate in connection with the performance by the Employee of the Employee’s duties hereunder, any Confidential Information obtained by the Employee while in
the employ of the Company. 
 b. The Employee agrees that all memoranda, notes, records, data base information, papers or other documents and
all copies thereof relating to the Company’s operations or business, some of which may be prepared by the Employee, and all objects associated therewith in any way limited by the Employee shall be the Company’s property. This shall
include, but is not limited to, documents and objects concerning any customer contracts, manuals, mailing lists, advertising materials, and all of their materials and records of any kind that may be in the Employee’s possession or under the
Employee’s control. The Employee shall not, except for the Company’s use, copy or duplicate any of the aforementioned documents or objects (except for the purpose of performing Employee’s duties) nor remove them from the
Company’s facilities, nor use any information concerning them except for the covenants and agrees that the Employee will deliver to the Company upon termination of the Employee’s employment, or any other time at the Company’s request.

 c. The Employee shall deliver to the Company or its designee at the termination of her 

  

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employment all data, correspondence, memoranda, notes, records, drawings, sketches, plans, customer lists, product compositions, and other documents and all
copies thereof, made, composed or received by the Employee, solely or jointly with others, that are in the Employee’s possession, custody, or control at termination and that are related in any manner to the past, present, or anticipated
business or any member of the Company or one its subsidies. In this regard, the Employee hereby grants and conveys to the Company all right, title, and interest in and to, including without limitation, the right to possess, print, copy, and sell or
otherwise dispose of, any reports, records, papers, summaries, photographs, drawings or other documents, and writings, and copies, abstracts or summaries thereof, that may be prepared by the Employee or under her direction or that may come into her
possession in any way during the term of her employment with the Company that relate in any manner to the past, present or anticipated business of any member of the Company or one its subsidies. 
 6. Covenant Not to Compete. 
 a. The Employee covenants and agrees that during the Employee’s employment by UTEK (whether during the Term hereof or otherwise), and thereafter for a period of one (1) year following the termination of the Employee’s
employment with the UTEK, the Employee will not: 
 (i) directly or indirectly engage in, continue in or carry on the business of any
corporation, partnership, firm or other business organization which is now, becomes or may become a direct competitor of the UTEK in its business, including owning or controlling any financial interest in, any corporation, partnership, firm or other
form of business organization which competes with or is engaged in or carries on any aspect of such business or any business substantially similar thereto; 
 (ii) consult with, advise or assist in any way, whether or not for consideration, any corporation, partnership, firm or other business organization which is now, becomes or may become a competitor of the UTEK during
the Employee’s employment with the UTEK; 
 (iii) engage in any practice the purpose of which is to evade the provisions of this
Agreement or to commit any act which is detrimental to the successful continuation of, or which adversely affects, the business of the UTEK. 
 b. The Employee agrees that the geographic scope of this covenant not to compete shall extend to the geographic area where the Company’s customers conduct business or are located at any time during the Term of this Agreement. For the
purposes of this Agreement, “Customers” means any person, university or entity to which the Company provides or has provided services within a period of one (1) year prior to the Employee’s termination of services for the
furtherance of such customer’s business within such period of one (1) year the Company has pursued or communicated with for the purposes of obtaining business for the Company. 
 c. In the event of any breach of this covenant not to compete, the Employee 

  

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recognizes that the remedies at law will be inadequate and that in addition to any relief at law which may be available to the Company for such violation or
breach and regardless of any provisions contained in this Agreement, the Company shall be entitled to equitable remedies (including an injunction) and such other relief as a court may grant after considering the intent of this section. In any action
or proceeding by the Company to obtain a temporary restraining order and/or preliminary injunction to enforce the covenant, the Employee hereby agrees that the Company shall not be required to put an injunction bond in excess of One Thousand Dollars
($1,000.00) in order to obtain the temporary restraining order and/or preliminary injunction. It is further acknowledged and agreed that the existence of any claim or cause of action on the part of the Employee against the Company, whether arising
from this Agreement or otherwise, shall in no way constitute a defense to the enforcement of this covenant not to compete, and the duration of this covenant not to compete shall be extended in an amount which equals the time period during which the
Employee is or has been in violation of this covenant not to compete. 
 d. In the event a court of competent jurisdiction determines that the
provisions of this covenant not to compete are excessively broad as to duration, geographic scope, prohibited activities or otherwise, the parties agree that this covenant shall be reduced or curtained to the extent necessary to render it
enforceable. 
 e. For the purposes of this Section 6, Company shall be deemed to include the Company, as well as its subsidiaries and
affiliates. 
 f. The parties hereto expressly acknowledge and agree that any provision of this Section 6 may be amended or waived by the
mutual written agreement of both parties. 
 7. Termination. 
 a. Either party may terminate this Agreement for any reason by giving the other party ninety (90) days written notice. 
 b. UTEK shall also have the right to terminate this Agreement immediately For Cause, which shall include, but not be limited to, fraud, breach of
fiduciary duty, conviction of a crime or like conduct. 
 c. If the Employee is terminated for any reason or terminates her employment, the
Company will not be required to make any further payments to Employee during the remainder of the term of this Employment Agreement except as provided in 4 (d) herein. 
 8. Arbitration Any controversies between UTEK and Employee involving the construction or application of any of the terms, provisions or
conditions of this Agreement shall on the written request of either party served on the other be submitted to arbitration. Such arbitration shall comply with and be governed by the rules of the American Arbitration Association. An arbitration demand
must be made within one (1) year of the date on which the party demanding arbitration first had notice of the 

  

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existence of the claim to be arbitrated, or the right to arbitration along with such claim shall be considered to have been waived. An arbitrator shall be
selected according to the procedures of the American Arbitration Association. The cost of arbitration shall be born by the losing party or in such proportions as the arbitrator shall decide. The arbitrator shall have no authority to add to, subtract
from or otherwise modify the provisions of this Agreement, or to award punitive damages to either party. 
 9. Attorney's Fees and
Costs. If any action at law or in equity is necessary to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other
relief to which he may be entitled. 
 10. Entire Agreement: Survival. 
 a. This Agreement contains the entire agreement between the parties with respect to the transactions contemplated herein and supersedes, effective as of
the date hereof any prior agreement or understanding between UTEK and Employee with respect to Employee's employment by UTEK. The unenforceability of any provision of this Agreement shall not affect the enforceability of any other Provision. This
Agreement may not be amended except by an agreement in writing signed by the Employee and the UTEK, or any waiver, change, discharge or modification as sought. Waiver of or failure to exercise any rights provided by this Agreement and in any respect
shall not be deemed a waiver of any further or future rights. 
 b. The provisions of Sections 5, 6, 8, 9, 10, 12 and 14 shall survive the
termination of this Agreement. 
 11. Assignment. This Agreement shall not be assigned to other parties. 
 12. Governing Law. This Agreement and all the amendments hereof, and waivers and consents with respect thereto shall be governed by the
laws of the State of Florida, without regard to the conflicts of laws principles thereof and the parties agree that the jurisdiction shall be in Hillsborough County, Florida. 
 13. Notice. All notices, responses, demands or other communications under this Agreement shall be in writing and shall be deemed to have
been given when 
 a. delivered by hand; 
 b. sent be fax, (with receipt confirmed), provided that a copy Is mailed by registered or certified mail, return receipt requested; or 
 c. received by the addressee as sent be express delivery service (receipt requested) in each case to the appropriate addresses, and fax numbers as the party may designate to itself by notice to the other parties: 
  

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 (i) if to UTEK: 
 UTEK Corporation 
 2109 East Palm Avenue 
 Tampa,
Florida 33605 
 Attention: Sam Reiber 
 Vice President &
General Counsel 
 Telephone: 813-754-4330 
 (ii)
If to the Employee: 
 Carole Wright 
 c/o UTEK Corporation

 2109 East Palm Avenue 
 Tampa, Florida 33605 
 14. Severability. Should any part of this Agreement for any reason be declared invalid by a court of competent jurisdiction, such decision
shall not affect the validity of any remaining portion, which remaining provisions shall remain in full force and effect as if this Agreement had been executed with the invalid portion thereof eliminated, and it is hereby declared the intention of
the parties that they would have executed the remaining portions of this Agreement without including any such part, parts or portions which may, for any reason, be hereafter declared invalid. 
 IN WITNESS WHEREOF, the undersigned have executed this agreement as of the day and year first above written. 
  

	
	For UTEK Corporation
	
	 /s/ Clifford M. Gross

	Clifford M. Gross, PhD
	CEO
	
	For Employee
	
	 /s/ Carole R. Wright

	Carole Wright

  

 Page 6 of 6Exhibit 4.3

 Exhibit 4.3 
 CMS BANCORP, INC. 
 2007 STOCK OPTION
PLAN 
 STOCK OPTION CERTIFICATE 
  

			
	  

	 Name of Optionee
	  	Social Security Number

  

	
	  

	 Street Address

  

					
	  

	 City
	 	State	 	ZIP Code

 This Stock Option Agreement is intended to set forth the terms and conditions on which a Stock Option has been
granted under the CMS Bancorp, Inc. 2007 Stock Option Plan. Set forth below are the specific terms and conditions applicable to this Stock Option. Attached as Exhibit A are its general terms and conditions. 
  

											
	 Option Grant
	  	 (A)
	  	 (B)
	  	 (C)
	  	 (D)
	  	 (E)

						
	 Grant Date:
	  		  		  		  		  	
						
	 Class of Optioned Shares*
	  	Common	  	Common	  	Common	  	Common	  	Common
						
	 No. of Optioned Shares*
	  		  		  		  		  	
						
	 Exercise Price Per Share*
	  		  		  		  		  	
						
	 Option Type (ISO or NQSO)
	  		  		  		  		  	
						
	 Vesting
	  		  		  		  		  	
						
	 Earliest Exercise Date*
	  		  		  		  		  	
						
	 Option Expiration Date*
	  		  		  		  		  	

	*	Subject to adjustment as provided in the Plan and the General Terms and Conditions. 

 By signing where indicated below, CMS Bancorp, Inc. (the “Company”) grants this Stock Option upon the specified terms and conditions, and the Optionee acknowledges receipt of this Stock Option Agreement,
including Exhibit A, and agrees to observe and be bound by the terms and conditions set forth herein and acknowledges receipt of a copy of the CMS Bancorp, Inc. 2007 Stock Option Plan. 
  

							
	 CMS BANCORP, INC.
	 		 	OPTIONEE
				
	 By
	 	  
	 		 	  

	 Name:
	 		 		 	
	 Title:
	 		 		 	

 Instructions: This page should be completed by or on behalf of the Compensation Committee. Any blank space
intentionally left blank should be crossed out. An option grant consists of a number of optioned shares with uniform terms and conditions. Where options are granted on the same date with varying terms and conditions (for example, varying exercise
prices or earliest exercise dates), the options should be recorded as a series of grants each with its own uniform terms and conditions. 

 EXHIBIT A 
 CMS BANCORP, INC. 2007 STOCK OPTION PLAN 
 STOCK OPTION CERTIFICATE 
 General Terms and Conditions 
 Section 1. Option Size and Type. The number of
shares of Common Stock, par value $0.01 per share (“Shares”), that have been optioned to you under the CMS Bancorp, Inc. 2007 Stock Option Plan (the “Plan”) is specified in this Stock Option Certificate. If the “Option
Type” shown for your stock option is “ISO”, then your stock option has been designed with the intent that it qualify to the maximum permissible extent for the special tax benefits applicable to incentive stock options under the
Internal Revenue Code of 1986. If the “Option Type” shown for your stock options is “NQSO”, then incentive stock option tax treatment is not applicable. 
 Section 2. Exercise Price. The Exercise Price for your stock options is the price per Share at which you may
acquire the Shares that have been optioned to you and is specified in this Stock Option Certificate. As a general rule, the Exercise Price for your stock options will not change unless there is a stock split, stock dividend, merger or other major
corporate event that justifies an adjustment. 
 Section 3. Vesting. 
 (a) Earliest Exercise Date. You may not exercise your stock options until they are vested. The date on which
your stock options become vested is specified in this Stock Option Certificate as the Earliest Exercise Date. As a general rule, you must be in the service of the Company on an Earliest Exercise Date in order to be vested in the stock options that
vest on that date. You may acquire the Shares that have been optioned to you by exercising your stock options at any time during the period beginning on the Earliest Exercise Date and continuing until the applicable Option Expiration Date, by
completing and filing the Notice of Exercise of Stock Option that is attached to this Stock Option Certificate as Appendix A and by following the procedures outlined therein. 
 (b) Forfeitures. If you terminate service with the Company prior to an Earliest Exercise Date, you will
forfeit any stock options that are scheduled to vest on that date. When you forfeit stock options, you relinquish any and all rights that you have to acquire the Shares that were optioned to you. 
 (c) Accelerated Vesting. Your outstanding stock options that have not previously vested will become fully and
immediately vested, without any further action on your part, in the event of your death or Disability before your termination of service with the Company. Similarly, all of your outstanding stock options that have not previously vested will become
fully and immediately vested if a Change of Control occurs before your termination of service with the Company. In addition, to the extent authorized pursuant to a Plan provision that is approved by the Company’s shareholders by the requisite
affirmative vote at a meeting of shareholders held on or after April 3, 2008, if your service terminates due to Retirement (as defined in the Plan), then any stock options not theretofore forfeited shall become immediately vested on the date of
your Retirement. If vesting accelerates, the accelerated vesting date will be the applicable Earliest Exercise Date. 
 Section 4.
Option Expiration Date. To derive any benefit from your stock options, you must exercise them during the period that begins on the applicable Earliest Exercise Date and ends on the Option Expiration Date. The Option
Expiration Date for your stock options is specified in this Stock Option Certificate. Your Option Expiration Date may be accelerated in the event of your termination of service with the Company. Your stock options will expire on the earliest of
(i) the Option Expiration Date, (ii) three months after your termination of service with the Company for any reason other than death, Disability (as defined in the Plan), Retirement (as defined in the Plan) or Termination for Cause (as
defined in the Plan); (iii) one year after your termination of service due to death, Disability or Retirement; and (iv) the date and time of your Termination for Cause. 
 Note: To qualify for the favorable tax treatment accorded to incentive stock options, you (or, in the event of your death, your estate or
designated beneficiaries) must exercise any stock options that are designated as ISOs within three months after you terminate service as a common-law employee of the Company and its affiliates for any reason other than death or disability and within
one year after you terminate service as common-law employee due to your death or disability. If they are exercised later, they will be subject to tax as if they were designated as NQSOs. 
 Section 5. Amendment. This Certificate may be amended, in whole or in part and in any manner not inconsistent
with the provisions of the Plan, at any time and from time to time, by written Certificate between the Company and you. 
 Section 6. Plan Provisions Control. This Certificate and the rights and obligations created hereunder shall be subject to all of the terms and conditions of the Plan. In the event of any conflict
between the provisions of the Plan and the provisions of this Certificate, the terms of the Plan, which are incorporated herein by reference, shall control. Capitalized terms in this Certificate have the meaning defined in the Plan, as amended from
time to time, unless stated otherwise. By signing this Certificate, you acknowledge receipt of a copy of the Plan. 

 APPENDIX A TO STOCK OPTION
CERTIFICATE 
 CMS BANCORP, INC. 2007 STOCK OPTION
PLAN 
 NOTICE OF EXERCISE OF STOCK
OPTION 
 Use this Notice to inform CMS Bancorp, Inc. that you are exercising your right to purchase shares of common stock
(“Shares”) of CMS Bancorp, Inc. pursuant to an option (“Option”) granted under the CMS Bancorp, Inc. 2007 Stock Option Plan (“Plan”). If you are not the person to whom the Option was granted (“Option
Recipient”), you must attach to this Notice proof of your right to exercise the Option granted under the Stock Option Certificate entered into between CMS Bancorp, Inc. and the Option Recipient (“Certificate”). This Notice should be
personally delivered or mailed by certified mail, return receipt requested to: CMS Bancorp, Inc., 123 Main Street, Suite 750, White Plains, New York 10601, Attention: Compensation Committee. The effective date of the exercise of the Option shall be
the earliest date practicable following the date this Notice is received by CMS Bancorp, Inc. (“Effective Date”). Except as specifically provided to the contrary herein, capitalized terms shall have the meanings assigned to them under the
Plan. 
  

			
	OPTION INFORMATION	  	Identify below the Option that you are exercising by providing the following information from the Stock Option Certificate.

															
						
		 	  Name of Option Recipient:	 	                                      
                                        
               	  		  		  	

													
				
		 	      Option Grant Date:	  	                                      
              ,                         
	 	Exercise Price per $hare: $                    .        
        

													
		 		  	                  (Month and Day)                
              (Year)                    	  		 	

  

			
	EXERCISE PRICE	  	Compute the Exercise Price below and select a method of payment.

  

													
			
		 	        Total Exercise Price                	  	                                      
                x  $                    .
                   
=  $                                     
           
		 		  	            (No. of
Shares)                             (Exercise
Price)                     Total Exercise Price
							
		 	        Method of Payment	  		  		  		  		  	

													
				
		  	 ̈	 	I enclose a certified check, money order, or bank draft payable to the order of CMS Bancorp, Inc. in the amount of	  	$                         
				
		  	 ̈	 	I enclose Shares I have owned for at least six months duly endorsed for transfer to CMS Bancorp, Inc. with all stamps attached and having a fair market value of*	  	$                         
				
		  		 	Total Exercise Price	  	$                         

											
		
		  	 *       Subject to Compensation Committee approval as an acceptable method of payment.

											
	
	ISSUANCE OF CERTIFICATES
	
	 I hereby direct that the stock certificates representing the Shares purchased pursuant to section 2 above be issued to the following person(s) in the
amount specified below:

			
	Name and Address	  	Social Security No.	  	No. of Shares
			
	  
	  	                -                -    
                    	  	  

	  
	  	  
			
	  
	  	                -                -    
                    	  	  

	  
	  	  

  

			
	 WITHHOLDING ELECTIONS
	  	For Employee Option Recipients with Non-Qualified Stock Options only. Beneficiaries should not complete.

											
	
	 I understand that I am responsible for the amount of federal, state and local taxes required to be withheld with respect to the Shares to be issued to
me pursuant to this Notice, but that I may request CMS Bancorp, Inc. to retain or sell a sufficient number of such Shares to cover the amount to be withheld. I hereby request that any taxes required to be withheld be paid in the following manner
[check one]:

													
			
		 	 ̈	  	With a certified or bank check that I will deliver to CMS Bancorp, Inc. on the day after the Effective Date of my Option exercise.
			
		 	 ̈	  	With the proceeds from a sale of Shares that would otherwise be distributed to me.
			
		 	 ̈	  	Retain shares that would otherwise be distributed to me and that have a value equal to the minimum amount required to be withheld by law.

											
	
	I understand that the withholding elections I have made on this form are not binding on the Compensation Committee, and that the Compensation Committee will decide the amount to be
withheld and the method of withholding and advise me of its decision prior to the Effective Date. I further understand that the Compensation Committee may request additional information or assurances regarding the manner and time at which I will
report the income attributable to the distribution to be made to me. I further understand that if I have elected to have Shares sold to satisfy tax withholding, I may be asked to pay a minimal amount of such taxes in cash in order to avoid the sale
of more Shares than are necessary.

 COMPLIANCE WITH TAX AND SECURITIES LAWS 
  

											
			
	 S
 I
 G
 N
	  	 H
 E
 R
 E
	  	I understand that I must rely on, and consult with, my own tax and legal counsel (and not CMS Bancorp, Inc.) regarding the application of all laws — particularly tax and
securities laws — to the transactions to be effected pursuant to my Option and this Notice. I understand that I will be responsible for paying any federal, state and local taxes that may become due upon the sale (including a sale pursuant to a
“cashless exercise”) or other disposition of Shares issued pursuant to this Notice and that I must consult with my own tax advisor regarding how and when such income will be reportable.
	  	  	  
	  		  	  

	  	  	Signature	  		  	Date

                                       
                                        
              Internal Use Only                    
                                        
                                     
  

							
	Received [check one]:	  	  ̈        By Hand
	  	  ̈        By Mail Post Marked
	  	  

		  		  		  	Date of Post Mark
			
	By
                                        
                                        
                                        
  	  		  	  

	 Authorized Signature
	  		  	Date of Receipt

  

 APPENDIX B TO STOCK OPTION
CERTIFICATE 
 CMS BANCORP, INC. 
 2007 STOCK OPTION PLAN 
 Beneficiary Designation Form 
  

																	
	GENERAL
INFORMATION	  	Use this form to designate the Beneficiary(ies) who will receive vested stock options outstanding to you at the time of your death.

																	
			
	Name of
 Award Recipient
	 	  
	  	Social Security Number
            –        –                

											
			
	 BENEFICIARY
 DESIGNATION
	 		  	Complete sections A and B. If no percentage shares are specified, each Beneficiary in the same class (primary or contingent) shall have an equal share. If any designated
Beneficiary predeceases you, the shares of each remaining Beneficiary in the same class (primary or contingent) shall be increased proportionately.

 A. PRIMARY BENEFICIARY(IES). I hereby designate the following person as my primary Beneficiary under the
Plan, reserving the right to change or revoke this designation at any time prior to my death: 
  

											
	 Name
	  	Address	  	Relationship	  	Birthdate	  	Share
						
	  
	  	  
	  	  
	  	  
	  	  
	 	%
	  	  
	  	  	  	 
						
	  
	  	  
	  	  
	  	  
	  	  
	 	%
	  	  
	  	  	  	 
						
	  
	  	  
	  	  
	  	  
	  	  
	 	%
	  	  
	  	  	  	 
		  		  		  		  	Total=100%	 	

 B. CONTINGENT BENEFICIARY(IES). I hereby designate the following person(s) as my contingent
Beneficiary(ies) under the Plan to receive benefits only if all of my primary Beneficiaries should predecease me, reserving the right to change or revoke this designation at any time prior to my death: 
  

											
	 Name
	  	Address	  	Relationship	  	Birthdate	  	Share
						
	  
	  	  
	  	  
	  	  
	  	  
	 	%
	  	  
	  	  	  	 
						
	  
	  	  
	  	  
	  	  
	  	  
	 	%
	  	  
	  	  	  	 
						
	  
	  	  
	  	  
	  	  
	  	  
	 	%
	  	  
	  	  	  	 
		  		  		  		  	Total=100%	 	

  

							
				
	 S
 I
 G
 N
	 	 H
 E
 R
 E
	 		  	I understand that this Beneficiary Designation shall be effective only if properly completed and received by the Compensation Committee of CMS Bancorp, Inc. prior to my death, and that it is
subject to all of the terms and conditions of the Plan. I also understand that an effective Beneficiary designation revokes my prior designation(s) with respect to all outstanding Stock Options.

													
		 		 		  	  
	  		 	                                      
	  	
		 		 		  	Your Signature	  		 	Date	  	

					
			
	  
	 	Internal Use Only	 	  

			
		
	This Beneficiary Designation was received by the Compensation Committee of CMS Bancorp, Inc. on the date indicated.	 	Comments

							
				
	 By
	 	  
	 		 	  

		 	Authorized Signature	 		 	Date

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