Document:

Form of Common Securities Guarantee Agreement

 Exhibit 4.10 
  
 COMMON SECURITIES GUARANTEE AGREEMENT 
  
 Colonial Capital Trust IV 
  
 Dated as of September ·, 2003 

 Table of Contents 
  

	 	 	 	  	Page

	ARTICLE I
	DEFINITIONS AND INTERPRETATION
			
	 SECTION 1.1
	 	 Definitions and Interpretation
	  	1
	
	ARTICLE II
	GUARANTEE
			
	 SECTION 2.1
	 	 Guarantee
	  	4
	 SECTION 2.2
	 	 Subordination
	  	4
	 SECTION 2.3
	 	 Waiver of Notice and Demand
	  	4
	 SECTION 2.4
	 	 Obligations Not Affected
	  	4
	 SECTION 2.5
	 	 Rights of Holders
	  	5
	 SECTION 2.6
	 	 Guarantee of Payment
	  	5
	 SECTION 2.7
	 	 Subrogation
	  	5
	 SECTION 2.8
	 	 Independent Obligations
	  	6
	
	ARTICLE III
	LIMITATION OF TRANSACTIONS; SUBORDINATION
			
	 SECTION 3.1
	 	 Limitation of Transactions
	  	6
	 SECTION 3.2
	 	 Ranking
	  	6
	
	ARTICLE IV
	TERMINATION
			
	 SECTION 4.1
	 	 Termination
	  	7
	
	ARTICLE V
	MISCELLANEOUS
			
	 SECTION 5.1
	 	 Successors and Assigns
	  	7
	 SECTION 5.2
	 	 Amendments
	  	7
	 SECTION 5.3
	 	 Notices
	  	8
	 SECTION 5.4
	 	 Benefit
	  	8
	 SECTION 5.5
	 	 Governing Law
	  	8
	 SECTION 5.6
	 	 Genders
	  	8

  

 i 

 COMMON SECURITIES GUARANTEE AGREEMENT 
  
 This GUARANTEE AGREEMENT (the “Common Securities Guarantee”), dated as of September ·, 2003, is executed and delivered by The Colonial BancGroup, Inc., a Delaware corporation (the “Guarantor”), for the benefit of the Holders (as defined herein) of
Colonial Capital Trust IV, a Delaware statutory trust (the “Issuer”). 
  
 WHEREAS, pursuant to an Amended and Restated Declaration of Trust (the “Declaration”), dated as of September ·, 2003, among the trustees of the Issuer named therein, the Guarantor, as sponsor, and the holders from time to time of undivided beneficial interests in the assets of the Issuer, the Issuer is issuing on the Closing Date · common securities, having an aggregate liquidation amount of $· designated as the ·% Common Securities (the “Common Securities”); 
  
 WHEREAS, as incentive for the Holders to purchase the Common Securities, the Guarantor desires irrevocably and
unconditionally to agree, to the extent set forth in this Common Securities Guarantee, to pay to the Holders the Guarantee Payments (as defined herein) and to make certain other payments on the terms and conditions set forth herein; and 

 
 WHEREAS, the Guarantor is also executing and delivering a guarantee
agreement (the “Preferred Securities Guarantee”) in substantially identical terms to this Common Securities Guarantee for the benefit of the holders of the Preferred Securities, except that if an event of default under the Indenture, has
occurred and is continuing, the rights of holders of the Preferred Securities to receive Guarantee Payments under the Preferred Securities Guarantee rank senior and prior in right to the rights of Holders to receive Guarantee Payments under this
Common Securities Guarantee. 
  
 NOW, THEREFORE, in consideration
of the purchase by each Holder, which purchase the Guarantor hereby agrees shall benefit the Guarantor, the Guarantor executes and delivers this Common Securities Guarantee for the benefit of the Holders. 
  
 ARTICLE I 
  
 DEFINITIONS AND INTERPRETATION 
  
 SECTION 1.1 Definitions and Interpretation 
  
 In this Common Securities Guarantee, unless the context otherwise requires:

  
 (a) capitalized terms used in this Common Securities
Guarantee but not defined in the preamble above have the respective meanings assigned to them in this Section 1.1; 
  
 (b) any capitalized term not defined in either the preamble above or this Section 1.1 shall have the respective meaning assigned to it in the Declaration
in effect as of the date hereof; 
  
 (c) a term defined anywhere
in this Common Securities Guarantee has the same meaning throughout; 

 (d) all references to “the Common Securities Guarantee” or “this Common Securities
Guarantee” are to this Common Securities Guarantee as modified, supplemented or amended from time to time; 
  
 (e) all references in this Common Securities Guarantee to Articles and Sections are to Articles and Sections of this Common Securities Guarantee, unless
otherwise specified; 
  
 (f) a term defined in the Trust Indenture
Act of 1939, as amended, has the same meaning when used in this Common Securities Guarantee, unless otherwise defined in this Common Securities Guarantee or unless the context otherwise requires; and 
  
 (g) a reference to the singular includes the plural and vice versa.

  
 “Affiliate” has the same meaning as given to that
term in Rule 405 of the Securities Act of 1933, as amended, or any successor rule thereunder. 
  
 “Authorized Officer” of a Person means any executive officer, president, vice-president, assistant vice-president, treasurer, assistant treasurer, secretary, assistant secretary or other officer of such
Person generally authorized to bind such Person. 
  
 “Business Day” means any day other than Saturday, Sunday or any other day on which commercial banking institutions in The City of New York are permitted or required by applicable law, regulation or executive order to close.

  
 “Closing Date” means the “Closing Time”
and each “Date of Delivery” as defined in the Purchase Agreement. 
  
 “Covered Person” means any Holder or beneficial owner of Common Securities. 
  
 “Debentures” means the ·% Junior
Subordinated Debentures due 2033 issued by the Guarantor to the Issuer. 
  
 “Event of Default” means a default by the Guarantor on any of its payment or other obligations under this Common Securities Guarantee. 
  
 “Guarantee Payments” means the following payments or distributions, without duplication, with respect to the Common Securities, to the extent
not paid or made by the Issuer: (i) any accrued and unpaid Distributions (as defined in the Declaration) that are required to be paid on such Common Securities, to the extent the Issuer shall have funds available therefor, (ii) the redemption price,
including all accrued and unpaid Distributions to the date of redemption (the “Redemption Price”), to the extent the Issuer has funds available therefor, with respect to any Common Securities called for redemption by the Issuer, and (iii)
upon dissolution of the Issuer (other than in connection with the distribution of Debentures to the Holders or the redemption of all of the Common Securities as provided in the Declaration), the lesser of (a) the aggregate of the liquidation amount
and all accrued and unpaid Distributions on the Common Securities to the date of payment, to the extent the Issuer shall have funds available therefor, and (b) the amount of assets of the Issuer remaining available for distribution to Holders in
liquidation of the Issuer (in either case, the “Liquidation Distribution”). If an event of default 
  

 2 

 
under the Indenture has occurred and is continuing, the rights of holders of the Preferred Securities to receive payments under the Preferred Securities
Guarantee Agreement rank senior and prior in right to the rights of Holders to receive Guarantee Payments (as defined in the Preferred Securities Guarantee). 
  
 “Holder” means any holder, as registered on the books and records of the Issuer, of any Common Securities. 
  
 “Indenture” means the Indenture dated as of March 21, 2002, as
supplemented by the First Supplemental Indenture, dated March 21, 2002, as supplemented by the Second Supplemental Indenture, dated September ·,
2003 (the “Second Supplemental Indenture”), each between the Guarantor (the “Debenture Issuer”) and The Bank of New York, as trustee, and any indenture supplemental thereto pursuant to which certain subordinated debt securities
of the Debenture Issuer are to be issued to the Institutional Trustee of the Issuer. 
  
 “Officers’ Certificate” means, with respect to any Person, a certificate signed by two Authorized Officers of such Person. Any Officers’ Certificate delivered with respect to compliance with a
condition or covenant provided for in this Common Securities Guarantee shall include: 
  
 (a) a statement that each Authorized Officer signing the Officers’ Certificate has read the covenant or condition and the definition relating thereto; 
  
 (b) a brief statement of the nature and scope of the examination or investigation undertaken by each Authorized Officer in
rendering the Officers’ Certificate; 
  
 (c) a statement that
each such Authorized Officer has made such examination or investigation as, in such Authorized Officer’s opinion, is necessary to enable such Authorized Officer to express an informed opinion as to whether or not such covenant or condition has
been complied with; and 
  
 (d) a statement as to whether, in the
opinion of each such officer, such condition or covenant has been complied with. 
  
 “Person” means a legal person, including any individual, corporation, estate, partnership, joint venture, association, joint stock company, limited liability company, trust, unincorporated association, or
government or any agency or political subdivision thereof, or any other entity of whatever nature. 
  
 “Preferred Securities” means the preferred securities of the Issuer designated as the ·% Preferred Securities. 
  
 “Purchase Agreement” means the Purchase Agreement for the offer and sale of Preferred Securities in the form of Exhibit B to the Declaration. 
  
 “Trust Securities” means the Common Securities and the Preferred Securities. 
  

 3 

 ARTICLE II 
  
 GUARANTEE 
  
 SECTION 2.1 Guarantee 
  
 The Guarantor irrevocably and unconditionally agrees to pay in full to the Holders the Guarantee Payments (without duplication of amounts theretofore paid
by the Issuer), as and when due, regardless of any defense, right of set-off or counterclaim that the Issuer may have or assert. The Guarantor’s obligation to make a Guarantee Payment may be satisfied by direct payment of the required amounts
by the Guarantor to the Holders or by causing the Issuer to pay such amounts to the Holders. 
  
 SECTION 2.2 Subordination 
  
 If
(a) an Event of Default or (b) an event of default under the Indenture has occurred and is continuing, the rights of Holders to receive Guarantee Payments under this Common Securities Guarantee are subordinated to the rights of holders of Preferred
Securities to receive Guarantee Payments (as defined in the Preferred Securities Guarantee) under the Preferred Securities Guarantee. 
  
 SECTION 2.3 Waiver of Notice and Demand 
  
 The Guarantor hereby waives notice of acceptance of this Common Securities Guarantee and of any liability to which it applies or may apply, presentment,
demand for payment, any right to require a proceeding first against the Issuer or any other Person before proceeding against the Guarantor, protest, notice of nonpayment, notice of dishonor, notice of redemption and all other notices and demands.

  
 SECTION 2.4 Obligations Not Affected 
  
 The obligations, covenants, agreements and duties of the Guarantor under
this Common Securities Guarantee shall in no way be affected or impaired by reason of the happening from time to time of any of the following: 
  
 (a) the release or waiver, by operation of law or otherwise, of the performance or observance by the Issuer of any express or implied agreement, covenant,
term or condition relating to the Common Securities to be performed or observed by the Issuer; 
  
 (b) the extension of time for the payment by the Issuer of all or any portion of the Distributions, Redemption Price, Liquidation Distribution or any other sums payable under the terms of the Common Securities or the
extension of time for the performance of any other obligation under, arising out of, or in connection with, the Common Securities (other than an extension of time for payment of Distributions, Redemption Price, Liquidation Distribution or other sum
payable that results from the extension of any interest payment period on the Debentures or any extension of the maturity date of the Debentures permitted by the Indenture); 
  

 4 

 (c) any failure, omission, delay or lack of diligence on the part of the Holders to enforce, assert or
exercise any right, privilege, power or remedy conferred on the Holders pursuant to the terms of the Common Securities, or any action on the part of the Issuer granting indulgence or extension of any kind; 
  
 (d) the voluntary or involuntary liquidation, dissolution, sale of any
collateral, receivership, insolvency, bankruptcy, assignment for the benefit of creditors, reorganization, arrangement, composition or readjustment of debt of, or other similar proceedings affecting, the Issuer or any of the assets of the Issuer;

  
 (e) any invalidity of, or defect or deficiency in, the Common
Securities; 
  
 (f) the settlement or compromise of any obligation
guaranteed hereby or hereby incurred; or 
  
 (g) any other
circumstance whatsoever that might otherwise constitute a legal or equitable discharge or defense of a guarantor, it being the intent of this Section 2.4 that the obligations of the Guarantor hereunder shall be absolute and unconditional under any
and all circumstances. 
  
 There shall be no obligation of the
Holders to give notice to, or obtain consent of, the Guarantor with respect to the happening of any of the foregoing. 
  
 SECTION 2.5 Rights of Holders 
  
 The Guarantor expressly acknowledges that any Holder may institute a legal proceeding directly against the Guarantor to enforce its rights under this
Common Securities Guarantee without first instituting a legal proceeding against the Issuer or any other Person. 
  
 SECTION 2.6 Guarantee of Payment 
  
 This Common Securities Guarantee creates a guarantee of payment and not of collection. This Common Securities Guarantee will not be discharged except by
payment of the Guarantee Payments in full (without duplication of amounts therefor paid by the Issuer). 
  
 SECTION 2.7 Subrogation 
  
 The Guarantor shall be subrogated to all (if any) rights of the Holders against the Issuer in respect of any amounts paid to such Holders by the Guarantor
under this Common Securities Guarantee; provided, however, that the Guarantor shall not (except to the extent required by mandatory provisions of law) be entitled to enforce or exercise any right that it may acquire by way of subrogation or any
indemnity, reimbursement or other agreement, in all cases as a result of payment under this Common Securities Guarantee, if, at the time of any such payment, any amounts are due and unpaid under this Common Securities Guarantee. If any amount shall
be paid to the Guarantor in violation of the preceding sentence, the Guarantor agrees to hold such amount in trust for the Holders and to pay over such amount to the Holders. 
  

 5 

 SECTION 2.8 Independent Obligations 
  
 The Guarantor acknowledges that its obligations hereunder are independent of the obligations of the Issuer with respect to
the Common Securities, and that the Guarantor shall be liable as principal and as debtor hereunder to make Guarantee Payments pursuant to the terms of this Common Securities Guarantee notwithstanding the occurrence of any event referred to in
subsections (a) through (g), inclusive, of Section 2.4 hereof. 
  
 ARTICLE III 
  
 LIMITATION OF TRANSACTIONS;
SUBORDINATION 
  
 SECTION 3.1 Limitation of Transactions

  
 So long as any Common Securities remain outstanding, if (a)
there shall have occurred an Event of Default, (b) there shall have occurred an event of default under the Indenture or (c) the Guarantor has exercised its option to defer interest payments on the Debentures by extending the interest payment period
as provided in Article IV of the Second Supplemental Indenture and such period or extension thereof shall be continuing, then (i) the Guarantor shall not declare or pay any dividend on, make any distribution or other payment with respect to, or
redeem, purchase, acquire, or make a liquidation payment with respect to, any of its capital stock (other than (A) repurchases, redemptions or other acquisitions of shares of the Guarantor’s capital stock in connection with the satisfaction by
the Guarantor of its obligations under any employee benefit plans, (B) as a result of an exchange or conversion of one class or series of the Guarantor’s capital stock for another class or series of the Guarantor’s capital stock or (C) the
purchase of fractional interests in shares of the Guarantor’s capital stock pursuant to the conversion or exchange provisions of such capital stock or the security being converted or exchanged), (ii) the Guarantor shall not make any payment of
interest, principal or premium, if any, on or repay, repurchase or redeem any debt securities issued by the Guarantor that rank pari passu with or junior to the Debentures and (iii) the Guarantor shall not make any guarantee payments with
respect to the foregoing (other than pursuant to this Common Securities Guarantee). 
  
 In addition, so long as any Common Securities remain outstanding, the Guarantor (i) will remain the sole direct or indirect owner of all of the outstanding Common Securities; provided that any permitted successor of
the Guarantor under the Indenture may succeed to the Guarantor’s ownership of the Common Securities, (ii) will not take any action which would cause the Issuer to cease to be treated as a grantor trust for United States federal income tax
purposes and (iii) will cause the Issuer to remain a statutory trust, except in connection with a distribution of Debentures, the redemption of all of the Trust Securities, or mergers, consolidations or amalgamations, each as provided in the
Declaration. 
  
 SECTION 3.2 Ranking 
  
 This Common Securities Guarantee will constitute an unsecured obligation of
the Guarantor and will rank (i) subordinate and junior in right of payment to all other liabilities of the Guarantor, except those made pari passu or subordinate by their terms, (ii) pari passu with 
  

 6 

 
the most senior preferred or preference stock now or hereafter issued by the Guarantor and with any guarantee now or hereafter entered into by the Guarantor
in respect of any preferred or preference stock of any Affiliate of the Guarantor, and (iii) senior to the Guarantor’s Common Stock; provided that, in accordance with Section 2.2, this Common Securities Guarantee will rank subordinate and
junior in right of payment to the Preferred Securities Guarantee. 
  
 ARTICLE IV 
  
 TERMINATION 
  
 SECTION 4.1 Termination 
  
 This Common Securities Guarantee shall terminate and be of no further force
and effect upon (i) full payment of the amount payable upon redemption of the Common Securities, (ii) upon the distribution of the Debentures to all of the holders of the Preferred Securities or (iii) upon full payment of the amounts payable in
accordance with the Declaration upon dissolution of the Issuer. Notwithstanding the foregoing, this Common Securities Guarantee will continue to be effective or will be reinstated, as the case may be, if at any time any Holder must restore payment
of any sums paid under the Common Securities or under this Common Securities Guarantee. 
  
 ARTICLE V 
  
 MISCELLANEOUS 
  
 SECTION 5.1 Successors and
Assigns 
  
 All guarantees and agreements contained in this
Common Securities Guarantee shall bind the successors, assigns, receivers, trustees and representatives of the Guarantor and shall inure to the benefit of the Holders of the Common Securities then outstanding. Except in connection with any merger or
consolidation of the Guarantor with or into another entity or any sale, transfer or lease of the Guarantor’s assets to another entity, each as permitted by the Indenture, the Guarantor may not assign its rights or delegate its obligations under
this Common Securities Guarantee without the prior approval of the Holders of at least a Majority in liquidation amount of the Common Securities then outstanding. 
  
 SECTION 5.2 Amendments 
  
 Except with respect to any changes that do not adversely affect the rights of Holders (in which case no consent of Holders will be required), this Common
Securities Guarantee may only be amended with the prior approval of the Holders of at least a majority in liquidation amount of all the outstanding Common Securities. The provisions of Section 12.2 of the Declaration with respect to meetings of
Holders apply to the giving of such approval. 
  

 7 

 SECTION 5.3 Notices 
  
 All notices provided for in this Common Securities Guarantee shall be in writing, duly signed by the party giving such
notice, and shall be delivered, telecopied or mailed by registered or certified mail, as follows: 
  
 (a) If given to the Guarantor, at the Guarantor’s mailing address set forth below (or such other address as the Guarantor may give notice of to the
Holders): 
  
 The Colonial BancGroup, Inc. 
 One Commerce Street 
 P.O. Box 1108 
 Montgomery, Alabama 36101-1108 
 Attention: William A. McCrary, General
Counsel 
  
 (b) If given to any Holder, at the address set forth
on the books and records of the Issuer. 
  
 All such notices shall
be deemed to have been given when received in person, telecopied with receipt confirmed, or mailed by first class mail, postage prepaid except that if a notice or other document is refused delivery or cannot be delivered because of a changed address
of which no notice was given, such notice or other document shall be deemed to have been delivered on the date of such refusal or inability to deliver. 
  
 SECTION 5.4 Benefit 
  
 This Common Securities Guarantee is solely for the benefit of the Holders and is not separately transferable from the Common Securities. 
  
 SECTION 5.5 Governing Law 
  
 This Common Securities Guarantee shall be governed by, and construed in
accordance with, the laws of the State of New York, without regard to conflicts of laws principles thereof. 
  
 SECTION 5.6 Genders 
  
 The masculine, feminine and neuter genders used herein shall include the masculine, feminine and neuter genders. 
  

 8 

 THIS COMMON SECURITIES GUARANTEE is executed as of the day and year first above written. 
  

	 THE COLONIAL BANCGROUP, INC.,

	 as Guarantor

		
	 By:
	 	  

	 Name:
	 	 Sarah H. Moore

	 Title:
	 	 Chief Financial Officer

  

 9Kintana, Inc. 1997 Equity Incentive Plan

 Exhibit 4.1 
  

KINTANA, INC. 
  
 1997 EQUITY INCENTIVE PLAN 
  
 As Adopted August 25, 1997 
 As
Amended June 10, 1999 
 As Amended May 2, 2000 
 As Amended January 24, 2001 
  
 1. PURPOSE. The purpose of this Plan is to provide incentives to attract, retain and motivate eligible persons whose present and potential contributions are important to the success of the Company, its Parent and Subsidiaries,
by offering them an opportunity to participate in the Company’s future performance through awards of Options and Restricted Stock. Capitalized terms not defined in the text are defined in Section 22. This Plan is intended to be a written
compensatory benefit plan within the meaning of Rule 701 promulgated under the Securities Act. 
  
 2. SHARES SUBJECT TO THE PLAN. 
  
 2.1 Number of Shares Available. Subject to Sections 2.2 and 17, the total number of Shares reserved and available for grant and issuance pursuant to this Plan will be Nine Million One Hundred Sixty
Thousand Five Hundred Six (9,160,506) Shares or such lesser number of Shares as permitted under Section 260.140.45 of Title 10 of the California Code of Regulations. Subject to Sections 2.2 and 17, Shares that: (a) are subject to issuance upon
exercise of an Option but cease to be subject to such Option for any reason other than exercise of such Option or (b) are subject to an Award that otherwise terminates without Shares being issued will again be available for grant and issuance in
connection with future Awards under this Plan. At all times the Company will reserve and keep available a sufficient number of Shares as will be required to satisfy the requirements of all Awards granted under this Plan. 
  
 2.2 Adjustment of Shares. In the event that the number of
outstanding Shares is changed by a stock dividend, recapitalization, stock split, reverse stock split, subdivision, combination, reclassification or similar change in the capital structure of the Company without consideration, then (a) the number of
Shares reserved for issuance under this Plan, (b) the Exercise Prices of and number of Shares subject to outstanding Options, and (c) the number of Shares subject to other outstanding Awards will be proportionately adjusted, subject to any required
action by the Board or the stockholders of the Company and compliance with applicable securities laws; provided, however, that fractions of a Share will not be issued but will either be paid in cash at Fair Market Value of such
fraction of a Share or will be rounded up to the nearest whole Share, as determined by the Committee (as defined in Section 22 below). 
  
 3. ELIGIBILITY. ISOs (as defined in Section 5 below) may be granted only to employees (including officers and directors who are also
employees) of the Company or of a Parent or Subsidiary of the Company. All other Awards may be granted to employees, officers, directors and consultants of the Company or any Parent or Subsidiary of the Company; provided such consultants
render bona fide services not in connection with the offer and sale of securities in a capital-raising transaction. A person may be granted more than one Award under this Plan. 
  
 4. ADMINISTRATION. 
  

4.1 Committee Authority. This Plan will be administered by the Committee or the Board acting as the Committee. Subject to the general
purposes, terms and conditions of this Plan, and to the direction of the Board, the Committee will have full power to implement and carry out this Plan. Without limitation, the Committee will have the authority to: 
  

	 	(a)	 	construe and interpret this Plan, any Award Agreement and any other agreement or document executed pursuant to this Plan; 

  

	 	(b)	 	prescribe, amend and rescind rules and regulations relating to this Plan; 

	 	(c)	 	select persons to receive Awards; 

  

	 	(d)	 	determine the form and terms of Awards; 

  

	 	(e)	 	determine the number of Shares or other consideration subject to Awards; 

  

	 	(f)	 	determine whether Awards will be granted singly, in combination with, in tandem with, in replacement of, or as alternatives to, other Awards under this Plan or any other incentive
or compensation plan of the Company or any Parent or Subsidiary of the Company; 

  

	 	(g)	 	grant waivers of Plan or Award conditions; 

  

	 	(h)	 	determine the vesting, exercisability and payment of Awards; 

  

	 	(i)	 	correct any defect, supply any omission, or reconcile any inconsistency in this Plan, any Award, any Award Agreement, any Exercise Agreement or any Restricted Stock Purchase
Agreement; 

  

	 	(j)	 	determine whether an Award has been earned; and 

  

	 	(k)	 	make all other determinations necessary or advisable for the administration of this Plan. 

  
 4.2 Committee Discretion. Any determination made by the Committee with respect to any Award will be made in
its sole discretion at the time of grant of the Award or, unless in contravention of any express term of this Plan or Award, at any later time, and such determination will be final and binding on the Company and on all persons having an interest in
any Award under this Plan. The Committee may delegate to one or more officers of the Company the authority to grant an Award under this Plan to Participants who are not Insiders of the Company. 
  
 5. OPTIONS. The Committee may grant Options to eligible persons
and will determine whether such Options will be Incentive Stock Options within the meaning of the Code (“ISOs”) or Nonqualified Stock Options (“NQSOs”), the number of Shares subject to the Option, the
Exercise Price of the Option, the period during which the Option may be exercised, and all other terms and conditions of the Option, subject to the following: 
  

5.1 Form of Option Grant. Each Option granted under this Plan will be evidenced by an Award Agreement which will expressly identify the
Option as an ISO or an NQSO (“Stock Option Agreement”), and will be in such form and contain such provisions (which need not be the same for each Participant) as the Committee may from time to time approve, and which will
comply with and be subject to the terms and conditions of this Plan. 
  
 5.2 Date of Grant. The date of grant of an Option will be the date on which the Committee makes the determination to grant such Option, unless otherwise specified by the Committee. The Stock Option Agreement and a copy of this
Plan will be delivered to the Participant within a reasonable time after the granting of the Option. 
  
 5.3 Exercise Period. Options may be exercisable immediately (subject to repurchase pursuant to Section 11 of this Plan) or may be
exercisable within the times or upon the events determined by the Committee as set forth in the Stock Option Agreement governing such Option; provided, however, that no Option will be exercisable after the expiration of ten (10) years
from the date the Option is granted; and provided further that no ISO granted to a person who directly or by attribution owns more than ten percent (10%) of the total combined voting power of all classes of stock of the Company or of
any Parent or Subsidiary of the Company (“Ten Percent Stockholder”) will be exercisable after the expiration of five (5) years from the date the ISO is granted. The Committee also may provide for Options to become exercisable
at one time or from time to time, periodically or otherwise, in such number of Shares or percentage of Shares as the Committee determines. Subject to earlier termination of the Option as provided herein, Participant’s other than officers,
directors or consultants of the Company or of a Parent or Subsidiary of the Company shall have the right to exercise an Option granted hereunder at the rate of at least twenty percent (20%) per year over five (5) years from the date such Option is
granted. 
  

 2 

 5.4 Exercise Price. The Exercise Price of an Option will be determined by the Committee
when the Option is granted and may not be less than 85% of the Fair Market Value of the Shares on the date of grant; provided that (i) the Exercise Price of an ISO will not be less than 100% of the Fair Market Value of the Shares on the date of
grant and (ii) the Exercise Price of any Option granted to a Ten Percent Stockholder will not be less than 110% of the Fair Market Value of the Shares on the date of grant. Payment for the Shares purchased must be made in accordance with Section 7
of this Plan. 
  
 5.5 Method of Exercise. Options
may be exercised only by delivery to the Company of a written stock option exercise agreement (the “Exercise Agreement”) in a form approved by the Committee (which need not be the same for each Participant), stating the
number of Shares being purchased, the restrictions imposed on the Shares purchased under such Exercise Agreement, if any, and such representations and agreements regarding Participant’s investment intent and access to information and other
matters, if any, as may be required or desirable by the Company to comply with applicable securities laws, together with payment in full of the Exercise Price, and any applicable taxes, for the number of Shares being purchased. 
  
 5.6 Termination. Subject to earlier termination pursuant to
Subsection 17.1 and notwithstanding the exercise periods set forth in the Stock Option Agreement, exercise of an Option will always be subject to the following: 
  

	 	(a)	 	If the Participant is Terminated for any reason except death, Disability or for Cause, then the Participant may exercise such Participant’s Options only to the extent that such
Options would have been exercisable upon the Termination Date no later than three (3) months after the Termination Date (or such shorter time period, not less than thirty (30) days, as may be specified in the Stock Option Agreement) or such longer
time period not exceeding five (5) years after the Termination Date as may be determined by the Committee, with any exercise beyond three (3) months after the Termination Date deemed to be an NQSO, but in any event, no later than the expiration date
of the Options. 

  

	 	(b)	 	If the Participant is Terminated because of Participant’s death or Disability (or the Participant dies within three (3) months after a Termination other than because of
Participant’s death or Disability or Cause), then Participant’s Options may be exercised only to the extent that such Options would have been exercisable by Participant on the Termination Date and must be exercised by Participant (or
Participant’s legal representative or authorized assignee) no later than twelve (12) months after the Termination Date (or such shorter time period, not less than six (6) months, as may be specified in the Stock Option Agreement) or such longer
time period not exceeding five (5) years after the Termination Date as may be determined by the Committee, with any exercise beyond (a) three (3) months after the Termination Date when the Termination is for any reason other than the
Participant’s death or disability, within the meaning of Section 22(e)(3) of the Code, or (b) twelve (12) months after the Termination Date when the Termination is for Participant’s death or disability, within the meaning of Section
22(e)(3) of the Code, deemed to be an NQSO, but in any event no later than the expiration date of the Options. 

  

	 	(c)	 	If the Participant is terminated for Cause, then Participant’s options shall expire on such Participant’s Termination Date, or at such later time and on such conditions as
determined by the Committee. 

  
 5.7
Limitations on Exercise. The Committee may specify a reasonable minimum number of Shares that may be purchased on any exercise of an Option, provided that such minimum number will not prevent Participant from exercising the Option for the
full number of Shares for which it is then exercisable. 
  
 5.8
Limitations on ISOs. The aggregate Fair Market Value (determined as of the date of grant) of Shares with respect to which ISOs are exercisable for the first time by a Participant during any calendar year (under this Plan or under any
other incentive stock option plan of the Company or any Parent or Subsidiary of the Company) will not exceed $100,000. If the Fair Market Value of Shares on the date of grant with respect to 
  

 3 

 which ISOs are exercisable for the first time by a Participant during any calendar year exceeds $100,000, then the
Options for the first $100,000 worth of Shares to become exercisable in such calendar year will be ISOs and the Options for the amount in excess of $100,000 that become exercisable in that calendar year will be NQSOs. In the event that the Code or
the regulations promulgated thereunder are amended after the Effective Date (as defined in Section 18 below) of this Plan to provide for a different limit on the Fair Market Value of Shares permitted to be subject to ISOs, then such different limit
will be automatically incorporated herein and will apply to any Options granted after the effective date of such amendment. 
  
 5.9 Modification, Extension or Renewal. The Committee may modify, extend or renew outstanding Options and authorize the grant of new Options
in substitution therefor, provided that any such action may not, without the written consent of a Participant, impair any of such Participant’s rights under any Option previously granted. Any outstanding ISO that is modified, extended, renewed
or otherwise altered will be treated in accordance with Section 424(h) of the Code. The Committee may reduce the Exercise Price of outstanding Options without the consent of Participants affected by a written notice to them; provided,
however, that the Exercise Price may not be reduced below the minimum Exercise Price that would be permitted under Section 5.4 of this Plan for Options granted on the date the action is taken to reduce the Exercise Price. 
  
 5.10 No Disqualification. Notwithstanding any other provision
in this Plan, no term of this Plan relating to ISOs will be interpreted, amended or altered, nor will any discretion or authority granted under this Plan be exercised, so as to disqualify this Plan under Section 422 of the Code or, without the
consent of the Participant affected, to disqualify any ISO under Section 422 of the Code. 
  
 6. RESTRICTED STOCK. A Restricted Stock Award is an offer by the Company to sell to an eligible person Shares that are subject to restrictions. The Committee will determine to whom an offer will be made,
the number of Shares the person may purchase, the Purchase Price, the restrictions to which the Shares will be subject, and all other terms and conditions of the Restricted Stock Award, subject to the following: 
  
 6.1 Form of Restricted Stock Award. All purchases under a
Restricted Stock Award made pursuant to this Plan will be evidenced by an Award Agreement (“Restricted Stock Purchase Agreement”) that will be in such form (which need not be the same for each Participant) as the Committee
will from time to time approve, and will comply with and be subject to the terms and conditions of this Plan. The offer of Restricted Stock will be accepted by the Participant’s execution and delivery of the Restricted Stock Purchase Agreement
and full payment for the Shares to the Company within thirty (30) days from the date the Restricted Stock Purchase Agreement is delivered to the person. If such person does not execute and deliver the Restricted Stock Purchase Agreement along with
full payment for the Shares to the Company within thirty (30) days, then the offer will terminate, unless otherwise determined by the Committee. 
  
 6.2 Purchase Price. The Purchase Price of Shares sold pursuant to a Restricted Stock Award will be determined by the Committee and will be
at least 85% of the Fair Market Value of the Shares on the date the Restricted Stock Award is granted or at the time the purchase is consummated, except in the case of a sale to a Ten Percent Stockholder, in which case the Purchase Price will be
100% of the Fair Market Value on the date the Restricted Stock Award is granted or at the time the purchase is consummated. Payment of the Purchase Price may be made in accordance with Section 7 of this Plan. 
  
 6.3 Restrictions. Restricted Stock Awards may be subject to the
restrictions set forth in Section 11 of this Plan or such other restrictions not inconsistent with Section 25102(o) of the California Corporations Code. 
  
 7. PAYMENT FOR SHARE PURCHASES. 
  
 7.1 Payment. Payment for Shares purchased pursuant to this Plan may be made in cash (by check) or, where expressly approved for the
Participant by the Committee and where permitted by law: 
  

	 	(a)	 	by cancellation of indebtedness of the Company to the Participant; 

  

	 	(b)	 	by surrender of shares that either: (1) have been owned by Participant for more than six (6) months and have been paid for within the meaning of SEC Rule 144 (and, if such shares
were purchased from the Company by use of a promissory 

  

 4 

	 	  	 	note, such note has been fully paid with respect to such shares); or (2) were obtained by Participant in the public market; 

  

	 	(c)	 	by tender of a full recourse promissory note having such terms as may be approved by the Committee and bearing interest at a rate sufficient to avoid imputation of income under
Sections 483 and 1274 of the Code; provided, however, that Participants who are not employees or directors of the Company will not be entitled to purchase Shares with a promissory note unless the note is adequately secured by collateral other than
the Shares; 

  

	 	(d)	 	by waiver of compensation due or accrued to the Participant for services rendered; 

  

	 	(e)	 	with respect only to purchases upon exercise of an Option, and provided that a public market for the Company’s stock exists: 

  

	 	(1)	 	through a “same day sale” commitment from the Participant and a broker-dealer that is a member of the National Association of Securities Dealers (an “NASD
Dealer”) whereby the Participant irrevocably elects to exercise the Option and to sell a portion of the Shares so purchased to pay for the Exercise Price, and whereby the NASD Dealer irrevocably commits upon receipt of such Shares to
forward the Exercise Price directly to the Company; or 

  

	 	(2)	 	through a “margin” commitment from the Participant and an NASD Dealer whereby the Participant irrevocably elects to exercise the Option and to pledge the Shares so
purchased to the NASD Dealer in a margin account as security for a loan from the NASD Dealer in the amount of the Exercise Price, and whereby the NASD Dealer irrevocably commits upon receipt of such Shares to forward the Exercise Price directly to
the Company; or 

  

	 	(f)	 	by any combination of the foregoing. 

  
 7.2 Loan Guarantees. The Committee may help the Participant pay for Shares purchased under this Plan by authorizing a guarantee by the
Company of a third-party loan to the Participant. 
  
 8.
WITHHOLDING TAXES. 
  
 8.1 Withholding
Generally. Whenever Shares are to be issued in satisfaction of Awards granted under this Plan, the Company may require the Participant to remit to the Company an amount sufficient to satisfy federal, state and local withholding tax
requirements prior to the delivery of any certificate or certificates for such Shares. Whenever, under this Plan, payments in satisfaction of Awards are to be made in cash, such payment will be net of an amount sufficient to satisfy federal, state,
and local withholding tax requirements. 
  
 8.2 Stock
Withholding. When, under applicable tax laws, a Participant incurs tax liability in connection with the exercise or vesting of any Award that is subject to tax withholding and the Participant is obligated to pay the Company the amount
required to be withheld, the Committee may in its sole discretion allow the Participant to satisfy the minimum withholding tax obligation by electing to have the Company withhold from the Shares to be issued that number of Shares having a Fair
Market Value equal to the minimum amount required to be withheld, determined on the date that the amount of tax to be withheld is to be determined. All elections by a Participant to have Shares withheld for this purpose will be made in accordance
with the requirements established by the Committee for such elections and be in writing in a form acceptable to the Committee. 
  
 9. PRIVILEGES OF STOCK OWNERSHIP. 
  
 9.1 Voting and Dividends. No Participant will have any of the rights of a stockholder with respect to any Shares until the Shares are issued
to the Participant. After Shares are issued to the Participant, the Participant will be a stockholder and have all the rights of a stockholder with respect to such Shares, including the right to vote and receive all dividends or other distributions
made or paid with respect to such Shares; provided, that 
  

 5 

 if such Shares are Restricted Stock, then any new, additional or different securities the Participant may become entitled
to receive with respect to such Shares by virtue of a stock dividend, stock split or any other change in the corporate or capital structure of the Company will be subject to the same restrictions as the Restricted Stock; provided, further, that the
Participant will have no right to retain such stock dividends or stock distributions with respect to Unvested Shares that are repurchased pursuant to Section 11. The Company will comply with Section 260.140.1 of Title 10 of the California
Corporations Code with respect to the voting rights of Common Stock. 
  
 9.2 Financial Statements. The Company will provide financial statements to each Participant prior to such Participant’s purchase of Shares under this Plan, and to each Participant annually during the period such
Participant has Awards outstanding, or as otherwise required or permitted under Section 260.140.46 of Title 10 of the California Code of Regulations. Notwithstanding the foregoing, the Company will not be required to provide such financial
statements to Participants whose services in connection with the Company assure them access to equivalent information. 
  
 10. TRANSFERABILITY. Awards granted under this Plan, and any interest therein, will not be transferable or assignable by Participant, and
may not be made subject to execution, attachment or similar process, otherwise than by will or by the laws of descent and distribution. During the lifetime of the Participant an Award will be exercisable only by the Participant, and any elections
with respect to an Award, may be made only by the Participant. 
  
 11. RESTRICTIONS ON SHARES. At the discretion of the Committee, the Company may reserve to itself and/or its assignee(s) in the Award Agreement (a) a right of first refusal to purchase all Shares that a Participant (or
a subsequent transferee) may propose to transfer to a third party, unless otherwise not permitted by Section 25102(o) of the California Corporations Code, provided, that such right of first refusal terminates when the Company’s
securities become publicly traded and/or (b) a right to repurchase Shares held by a Participant following such Participant’s Termination at any time within ninety (90) days after Participant’s Termination Date (or, in the case of
securities issued upon exercise of an Option after the Participant’s Termination Date, within 90 days after the date of such exercise) for cash and/or cancellation of purchase money indebtedness, at: (A) with respect to Vested Shares, the Fair
Market Value of such Shares on Participant’s Termination Date, provided, that such right of repurchase terminates when the Company’s securities become publicly traded; or (B) with respect to Unvested Shares, the Participant’s
Exercise Price or Purchase Price, as the case may be, provided, that to the extent the Participant is not an officer, director or consultant of the Company or of a Parent or Subsidiary of the Company, such right of repurchase at Exercise
Price or Purchase Price, as the case may be, lapses at the rate of at least twenty percent (20%) per year over five (5) years from: (i) the date of grant of the Option or (ii) in the case of Restricted Stock, the date the Participant purchases the
Shares. 
  
 12. CERTIFICATES. All certificates for
Shares or other securities delivered under this Plan will be subject to such stock transfer orders, legends and other restrictions as the Committee may deem necessary or advisable, including restrictions under any applicable federal, state or
foreign securities law, or any rules, regulations and other requirements of the SEC or any stock exchange or automated quotation system upon which the Shares may be listed or quoted. 
  
 13. ESCROW; PLEDGE OF SHARES. To enforce any restrictions on a Participant’s Shares, the Committee may
require the Participant to deposit all certificates representing Shares, together with stock powers or other instruments of transfer approved by the Committee, appropriately endorsed in blank, with the Company or an agent designated by the Company
to hold in escrow until such restrictions have lapsed or terminated, and the Committee may cause a legend or legends referencing such restrictions to be placed on the certificates. Any Participant who is permitted to execute a promissory note as
partial or full consideration for the purchase of Shares under this Plan will be required to pledge and deposit with the Company all or part of the Shares so purchased as collateral to secure the payment of Participant’s obligation to the
Company under the promissory note; provided, however, that the Committee may require or accept other or additional forms of collateral to secure the payment of such obligation and, in any event, the Company will have full recourse
against the Participant under the promissory note notwithstanding any pledge of the Participant’s Shares or other collateral. In connection with any pledge of the Shares, Participant will be required to execute and deliver a written pledge
agreement in such form as the Committee will from time to time approve. The Shares purchased with the promissory note may be released from the pledge on a pro rata basis as the promissory note is paid. 
  
  

 6 

 14. EXCHANGE AND BUYOUT OF AWARDS. The Committee may, at any time or from time to time,
authorize the Company, with the consent of the respective Participants, to issue new Awards in exchange for the surrender and cancellation of any or all outstanding Awards. The Committee may at any time buy from a Participant an Award previously
granted with payment in cash, Shares (including Restricted Stock) or other consideration, based on such terms and conditions as the Committee and the Participant may agree. 
  
 15. SECURITIES LAW AND OTHER REGULATORY COMPLIANCE. This Plan is intended to comply with Section 25102(o) of
the California Corporations Code. Any provision of the Plan which is inconsistent with Section 25102(o) shall, without further act or amendment by the Company or the Board, be reformed to comply with the requirements of Section 25102(o). An Award
will not be effective unless such Award is in compliance with all applicable federal and state securities laws, rules and regulations of any governmental body, and the requirements of any stock exchange or automated quotation system upon which the
Shares may then be listed or quoted, as they are in effect on the date of grant of the Award and also on the date of exercise or other issuance. Notwithstanding any other provision in this Plan, the Company will have no obligation to issue or
deliver certificates for Shares under this Plan prior to (a) obtaining any approvals from governmental agencies that the Company determines are necessary or advisable, and/or (b) compliance with any exemption, completion of any registration or other
qualification of such Shares under any state or federal law or ruling of any governmental body that the Company determines to be necessary or advisable. The Company will be under no obligation to register the Shares with the SEC or to effect
compliance with the exemption, registration, qualification or listing requirements of any state securities laws, stock exchange or automated quotation system, and the Company will have no liability for any inability or failure to do so. 

 
 16. NO OBLIGATION TO EMPLOY. Nothing in this Plan or any
Award granted under this Plan will confer or be deemed to confer on any Participant any right to continue in the employ of, or to continue any other relationship with, the Company or any Parent or Subsidiary of the Company or limit in any way the
right of the Company or any Parent or Subsidiary of the Company to terminate Participant’s employment or other relationship at any time, with or without cause. 
  
 17. CORPORATE TRANSACTIONS. 
  
 17.1 Assumption or Replacement of Awards by Successor. In the event of (a) a dissolution or liquidation of the
Company, (b) a merger or consolidation in which the Company is not the surviving corporation (other than a merger or consolidation with a wholly-owned subsidiary, a reincorporation of the Company in a different jurisdiction, or other
transaction in which there is no substantial change in the stockholders of the Company or their relative stock holdings and the Awards granted under this Plan are assumed, converted or replaced by the successor corporation, which assumption will be
binding on all Participants), (c) a merger in which the Company is the surviving corporation but after which the stockholders of the Company immediately prior to such merger (other than any stockholder which merges, or which owns or controls another
corporation which merges, with the Company in such merger) cease to own their shares or other equity interests in the Company, or (d) the sale of substantially all of the assets of the Company, any or all outstanding Awards may be assumed, converted
or replaced by the successor corporation (if any), which assumption, conversion or replacement will be binding on all Participants. In the alternative, the successor corporation may substitute equivalent Awards or provide substantially similar
consideration to Participants as was provided to stockholders (after taking into account the existing provisions of the Awards). The successor corporation may also issue, in place of outstanding Shares of the Company held by the Participant,
substantially similar shares or other property subject to repurchase restrictions and other provisions no less favorable to the Participant than those which applied to such outstanding Shares immediately prior to such transaction described in this
Subsection 17.1. In the event such successor corporation (if any) refuses to assume or substitute Awards, as provided above, pursuant to a transaction described in this Subsection 17.1, then notwithstanding any other provision in this Plan to the
contrary, such Awards will expire on such transaction at such time and on such conditions as the Board will determine. In the event such successor corporation (if any) refuses to assume or substitute Awards, as provided above, pursuant to a
transaction described in this Subsection 17.1, then notwithstanding any other provision in this Plan to the contrary, the vesting of such Awards will accelerate and the Options will become exercisable in full prior to the consummation of such event
at such times and on such conditions as the Committee determines, and if such Options are not exercised prior to the consummation of the corporate transaction, they shall terminate in accordance with the provisions of this Plan. 
  
 17.2 Other Treatment of Awards. Subject to any greater rights
granted to Participants under the foregoing provisions of this Section 17, in the event of the occurrence of any transaction described in Section 
  

 7 

 17.1, any outstanding Awards will be treated as provided in the applicable agreement or plan of merger, consolidation,
dissolution, liquidation or sale of assets. 
  
 17.3
Assumption of Awards by the Company. The Company, from time to time, also may substitute or assume outstanding awards granted by another company, whether in connection with an acquisition of such other company or otherwise, by either (a)
granting an Award under this Plan in substitution of such other company’s award or (b) assuming such award as if it had been granted under this Plan if the terms of such assumed award could be applied to an Award granted under this Plan. Such
substitution or assumption will be permissible if the holder of the substituted or assumed award would have been eligible to be granted an Award under this Plan if the other company had applied the rules of this Plan to such grant. In the event the
Company assumes an award granted by another company, the terms and conditions of such award will remain unchanged (except that the exercise price and the number and nature of shares issuable upon exercise of any such option will be adjusted
appropriately pursuant to Section 424(a) of the Code). In the event the Company elects to grant a new Option rather than assuming an existing option, such new Option may be granted with a similarly adjusted Exercise Price. 
  
 18. ADOPTION AND STOCKHOLDER APPROVAL. This Plan will become
effective on the date that it is adopted by the Board (the “Effective Date”). This Plan will be approved by the stockholders of the Company (excluding Shares issued pursuant to this Plan), consistent with applicable laws,
within twelve (12) months before or after the Effective Date. Upon the Effective Date, the Board may grant Awards pursuant to this Plan; provided, however, that no Option may be exercised prior to stockholder approval of this Plan. In
the event that stockholder approval is not obtained within twelve (12) months before or after the date this Plan is adopted by the Board, all Awards granted hereunder will be canceled, any Shares issued pursuant to any Award will be canceled and any
purchase of Shares hereunder will be rescinded. 
  
 19. TERM
OF PLAN/GOVERNING LAW. Unless earlier terminated as provided herein, this Plan will terminate ten (10) years from the Effective Date or, if earlier, the date of stockholder approval. This Plan and all agreements hereunder shall be governed
by and construed in accordance with the laws of the State of California. 
  
 20. AMENDMENT OR TERMINATION OF PLAN. The Board may at any time terminate or amend this Plan in any respect, including without limitation amendment of any form of Award Agreement or instrument to be
executed pursuant to this Plan; provided, however, that the Board will not, without the approval of the stockholders of the Company, amend this Plan in any manner that requires such stockholder approval pursuant to the Code or the
regulations promulgated thereunder as such provisions apply to ISO plans. 
  
 21. NONEXCLUSIVITY OF THE PLAN. Neither the adoption of this Plan by the Board, the submission of this Plan to the stockholders of the Company for approval, nor any provision of this Plan will be
construed as creating any limitations on the power of the Board to adopt such additional compensation arrangements as it may deem desirable, including, without limitation, the granting of stock options otherwise than under this Plan, and such
arrangements may be either generally applicable or applicable only in specific cases. 
  
 22. DEFINITIONS. As used in this Plan, the following terms will have the following meanings: 
  
 “Award” means any award under this Plan, including any Option or Restricted Stock Award. 
  
 “Award Agreement” means, with respect to each Award,
the signed written agreement between the Company and the Participant setting forth the terms and conditions of the Award. 
  
 “Board” means the Board of Directors of the Company. 
  
 “Cause” means Termination because of (i) any willful material violation by the Participant of any
law or regulation applicable to the business of the Company or a Parent or Subsidiary of the Company, the Participant’s conviction for, or guilty plea to, a felony or a crime involving moral turpitude, any willful perpetration by the
Participant of a common law fraud or any unlawful use by the Participant of drugs or other controlled substances, (ii) the Participant’s commission of an act of personal dishonesty which involves personal profit in connection with the Company
or any other entity having a business relationship with the Company, (iii) any material breach by the Participant of any provision of any agreement or understanding between the Company and the Participant regarding the terms of the
Participant’s service as an employee, director, consultant, independent contractor or adviser to the Company or a Parent or Subsidiary of the Company, including without limitation, the 
  

 8 

 willful and continued failure or refusal of the Participant to perform the material duties required of such Participant
as an employee, director, consultant, independent contractor or adviser of the Company or a Parent or Subsidiary of the Company, other than as a result of having a Disability, or a breach of any applicable invention assignment and confidentiality
agreement or similar agreement between the Company and the Participant, (iv) Participant’s disregard of the policies of the Company so as to cause loss, damage or injury to the property, reputation or employees of the Company or a Parent or
Subsidiary of the Company, or (v) any other misconduct by the Participant which is materially injurious to the financial condition or business reputation of, or is otherwise materially injurious to, the Company or a Parent or Subsidiary of the
Company. 
  
 “Code” means the Internal
Revenue Code of 1986, as amended. 
  
 “Committee” means the committee appointed by the Board to administer this Plan, or if no committee is appointed, the Board. 
  
 “Company” means Kintana, Inc., or any successor corporation. 
  
 “Disability” means a disability, whether temporary or permanent, partial or total, as determined by
the Committee. 
  
 “Exchange Act” means
the Securities Exchange Act of 1934, as amended. 
  
 “Exercise Price” means the price at which a holder of an Option may purchase the Shares issuable upon exercise of the Option. 
  

“Fair Market Value” means, as of any date, the value of a share of the Company’s Common Stock determined as follows:

  

	 	(a)	 	if such Common Stock is then quoted on the Nasdaq National Market, its closing price on the Nasdaq National Market on the date of determination as reported in The Wall Street
Journal; 

  

	 	(b)	 	if such Common Stock is publicly traded and is then listed on a national securities exchange, its closing price on the date of determination on the principal national securities
exchange on which the Common Stock is listed or admitted to trading as reported in The Wall Street Journal; 

  

	 	(c)	 	if such Common Stock is publicly traded but is not quoted on the Nasdaq National Market nor listed or admitted to trading on a national securities exchange, the average of the
closing bid and asked prices on the date of determination as reported by The Wall Street Journal (or, if not so reported, as otherwise reported by any newspaper or other source as the Board may determine); or 

  

	 	(d)	 	if none of the foregoing is applicable, by the Committee in good faith. 

  
 “Insider” means an officer or director of the Company or any other person whose transactions in the Company’s Common Stock
are subject to Section 16 of the Exchange Act. 
  
 “Option” means an award of an option to purchase Shares pursuant to Section 5. 
  
 “Parent” means any corporation (other than the Company) in an unbroken chain of corporations ending with the Company if each of
such corporations other than the Company owns stock possessing 50% or more of the total combined voting power of all classes of stock in one of the other corporations in such chain. 
  
 “Participant” means a person who receives an Award under this Plan. 
  
 “Plan” means this Kintana, Inc. 1997 Equity Incentive
Plan, as amended from time to time. 
  

 9 

 “Purchase Price” the price at which a Participant may purchase Restricted Stock.

  
 “Restricted Stock Award” means an
award of Shares pursuant to Section 6. 
  
 “SEC” means the Securities and Exchange Commission. 
  
 “Securities Act” means the Securities Act of 1933, as amended. 
  
 “Shares” means shares of the Company’s Common Stock reserved for issuance under this Plan, as adjusted pursuant to Sections 2
and 17, and any successor security. 
  
 “Subsidiary” means any corporation (other than the Company) in an unbroken chain of corporations beginning with the Company if each of the corporations other than the last corporation in the unbroken chain owns stock
possessing 50% or more of the total combined voting power of all classes of stock in one of the other corporations in such chain. 
  
 “Termination” or “Terminated” means, for purposes of this Plan with respect to a Participant, that the
Participant has for any reason ceased to provide services as an employee, officer, director or consultant to the Company or a Parent or Subsidiary of the Company. An employee will not be deemed to have ceased to provide services in the case of (i)
sick leave, (ii) military leave, or (iii) any other leave of absence approved by the Committee, provided that such leave is for a period of not more than 90 days unless reemployment upon the expiration of such leave is guaranteed by contract or
statute, or unless provided otherwise pursuant to formal policy adopted from time to time by the Company and issued and promulgated to employees in writing. In the case of any employee on an approved leave of absence, the Committee may make such
provisions respecting suspension of vesting of the Award while on leave from the employ of the Company or a Subsidiary as it may deem appropriate, except that in no event may an Option be exercised after the expiration of the term set forth in the
Stock Option Agreement. The Committee will have sole discretion to determine whether a Participant has ceased to provide services and the effective date on which the Participant ceased to provide services (the “Termination
Date”). 
  
 “Unvested Shares”
means “Unvested Shares” as defined in the Award Agreement. 
  

 10

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