Document:

Third Amended and Restated Investors' Rights Agreement

 Exhibit 4.4 
 COMVERGE, INC. 
 THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT 
 February 14, 2006 

 TABLE OF CONTENTS 
  

							
	 	  	 	  	Page
	ARTICLE I Definitions	  	1
		
	ARTICLE II Transfers	  	3
				
		  	Section 2.1	  	Restrictive Legend	  	3
				
		  	Section 2.2	  	Notice of Proposed Transfer	  	3
		
	ARTICLE III Registration	  	4
				
		  	Section 3.1	  	Required Registration	  	4
				
		  	Section 3.2	  	Company Registration	  	5
				
		  	Section 3.3	  	Registration on Form S-3	  	6
				
		  	Section 3.4	  	Registration Procedures	  	6
				
		  	Section 3.5	  	Expenses	  	8
				
		  	Section 3.6	  	Indemnification and Contribution	  	9
				
		  	Section 3.7	  	Changes in Common Stock or Preferred Stock	  	11
				
		  	Section 3.8	  	Rule 144 Reporting	  	11
				
		  	Section 3.9	  	Future Registration Rights	  	12
				
		  	Section 3.10	  	Market Stand-Off	  	12
				
		  	Section 3.11	  	Termination of Registration Rights	  	12
		
	ARTICLE IV Additional Covenants	  	13
				
		  	Section 4.1	  	Financial Statements, Reports, Etc.	  	13
				
		  	Section 4.2	  	Reservation of Conversion Shares	  	13
				
		  	Section 4.3	  	Inspection, Consultation and Advice	  	13
				
		  	Section 4.4	  	Director and Officer Insurance	  	14
				
		  	Section 4.5	  	Proprietary Information Agreement	  	14

  

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	    Section 4.6	  	First Refusal Right	  	14
			
	    Section 4.7	  	Expenses of Directors	  	14
			
	    Section 4.8	  	Indemnification and Advancement	  	14
			
	    Section 4.9	  	Termination or Waiver of Covenants	  	15
		
	ARTICLE V Right of First Offer	  	15
			
	    Section 5.1	  	Right of First Offer	  	15
			
	    Section 5.2	  	Procedure for Exercise	  	16
			
	    Section 5.3	  	Excluded Issuances	  	16
			
	    Section 5.4	  	Sales to Third Parties	  	16
			
	    Section 5.5	  	Assignment of Rights of First Offer	  	17
			
	    Section 5.6	  	Termination of Rights of First Offer	  	17
		
	ARTICLE VI Miscellaneous	  	17
			
	    Section 6.1	  	Assigns	  	17
			
	    Section 6.2	  	Notices	  	17
			
	    Section 6.3	  	Governing Law	  	18
			
	    Section 6.4	  	Amendments	  	18
			
	    Section 6.5	  	Counterparts; Facsimile Signatures	  	18
			
	    Section 6.6	  	Severability	  	18
			
	    Section 6.7	  	Aggregation	  	18
			
	    Section 6.8	  	Joint Product	  	18

  

			
	Schedule A	  	Investors
	Schedule B	  	Principal Stockholders
	Schedule C	  	Key Management

  

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 THIRD AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT 
 THIS THIRD AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT (the “Agreement”) is made as of the 14th
day of February, 2006, by and among Comverge, Inc., a Delaware corporation (the “Company”) and the holders of shares of the Company’s Preferred Stock (the “Preferred
Stock”) listed on Schedule A (the “Investors”), the stockholders of the Company listed on Schedule B (the “Principal Stockholders”), and
certain members of the Company’s management listed on Schedule C, as the same may be amended from time to time (the “Key Management”). 
 RECITALS 
 WHEREAS, the Company and certain of its stockholders
are parties to that certain Second Amended and Restated Investors’ Rights Agreement dated as of October 25, 2004 (the “Prior Agreement”); 
 WHEREAS, the Company desires to sell shares of its Series C Preferred Stock pursuant to the terms of that certain Series C Preferred Stock
Purchase Agreement dated as of the date hereof (the “Purchase Agreement”) and the amendment and restatement of the Prior Agreement as set forth herein is a condition to the Closing (as defined in the Purchase
Agreement); 
 WHEREAS, pursuant to Section 6.4 of the Prior Agreement, the Prior Agreement may be amended by the written consent
of the Company and the holders of at least 60% of the Preferred Registrable Securities (as defined in Section 3.1) held by the Investors; and 
 WHEREAS, the undersigned represent a majority of the Preferred Registrable Securities held by the Investors and such stockholders desire to amend the Prior Agreement as set forth below on behalf of themselves and the other holders of
Preferred Registrable Securities party to the Prior Agreement. 
 AGREEMENT 
 NOW, THEREFORE, in consideration of the foregoing premises, the mutual promises and covenants set forth herein and certain other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows: 
 ARTICLE I

 Definitions 
 As used in this Agreement, the following terms shall have the following respective meanings: 
 “Affiliate”, as applied to any person or entity, shall mean a person or entity directly or indirectly (through one or more intermediaries) controlling, controlled by or under common control with the
first person or entity, including affiliated venture capital funds. 
  

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 “Commission” shall mean the Securities and Exchange
Commission, or any other federal agency at the time charged with primary responsibility for administering the Securities Act (or any successor legislation). 
 “Common Stock” shall mean the Common Stock, $0.001 par value, of the Company, as constituted as of
the date of this Agreement. 
 “Conversion Shares” shall mean shares of Common Stock
issued or issuable upon conversion of the Preferred Stock. 
 “Exchange Act” shall mean
the Securities Exchange Act of 1934, as amended, or any similar federal statute, and the rules and regulations of the Commission thereunder, all as the same shall be in effect at the time. 
 “Preferred Shares” shall mean the shares of Series A Preferred Stock, Series A-2 Preferred Stock,
Series B Preferred Stock and/or Series C Preferred Stock held by the Investors. 
 “Registration
Expenses” shall mean the expenses so described in Section 3.5. 
 “Registrable
Securities” shall mean (i) the Conversion Shares; (ii) shares of Common Stock now held or hereafter acquired by the Principal Stockholders; provided, however, that such shares of Common Stock held by the
Principal Stockholders shall not be deemed Registrable Securities for the purposes of Sections 3.1, 3.3 and 3.9; (iii) shares of Common Stock now held or hereafter acquired by Key Management; provided, however, that such shares of
Common Stock held by Key Management shall not be deemed Registrable Securities for the purposes of Sections 3.1, 3.3 and 3.9; and (iv) any Common Stock issued as a dividend or other distribution with respect to or in exchange for or in
replacement of the shares referenced in (i), (ii) and (iii) above, in each case with the same limitation thereon; provided further that Registrable Securities shall not include any shares of Common Stock (a) that have been
registered under the Securities Act pursuant to an effective registration statement filed thereunder and disposed of in accordance with the registration statement covering them or (b) that have otherwise been sold to the public. 
 “Securities” shall mean the Preferred Stock and the Conversion Shares. 
 “Securities Act” shall mean the Securities Act of 1933, as amended, or any similar federal statute,
and the rules and regulations of the Commission thereunder, all as the same shall be in effect at the time. 
 “Selling Expenses” shall mean the expenses so described in Section 3.5. 
  

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 ARTICLE II 
 Transfers 
 Section 2.1 Restrictive Legend. Each certificate
representing Securities shall, except as otherwise provided in this Section 2.1 or in Section 2.2, be stamped or otherwise imprinted with a legend substantially in the following form: 
 “THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 OR ANY STATE SECURITIES LAWS AND MAY NOT BE TRANSFERRED OR OTHERWISE DISPOSED
OF UNLESS IT HAS BEEN REGISTERED UNDER SUCH ACT AND ALL SUCH APPLICABLE LAWS OR AN EXEMPTION FROM REGISTRATION IS AVAILABLE.” 
 “THE SECURITIES REPRESENTED HEREBY ARE SUBJECT TO THE PROVISIONS OF AN INVESTORS’ RIGHTS AGREEMENT, WHICH INCLUDES CERTAIN RESTRICTIONS ON TRANSFER. COMPLETE AND CORRECT COPIES OF THE AGREEMENT ARE AVAILABLE FOR INSPECTION AT THE
PRINCIPAL OFFICES OF THE COMPANY AND WILL BE FURNISHED UPON WRITTEN REQUEST AND WITHOUT CHARGE.” 
 A certificate shall not bear such legend if in the
opinion of counsel satisfactory to the Company the securities represented thereby may be publicly sold without registration under the Securities Act and any applicable state securities laws. 
 Section 2.2 Notice of Proposed Transfer. Prior to any proposed transfer of any Registrable Securities (other than under the
circumstances described in Sections 3.1, 3.2 or 3.3), (a) the holder thereof must give written notice to the Company of its intention to effect such transfer and (b) the transferee must agree in writing to be bound by the terms of this
Agreement. Each such notice shall describe the manner of the proposed transfer and, if requested by the Company, shall be accompanied by an opinion of counsel satisfactory to the Company to the effect that the proposed transfer may be effected
without registration under the Securities Act and any applicable state securities laws pursuant to an exemption from the registration requirements thereof, whereupon the holder of such stock shall be entitled to transfer such Registrable Securities
in accordance with the terms of its notice; provided, however, that no such opinion of counsel shall be required for a transfer to one or more partners, members or shareholders of the transferor (in the case of a transferor that is a
partnership, limited liability company or a corporation, respectively) or to an Affiliate of the transferor or for routine sales pursuant to Rule 144. Each certificate for Registrable Securities transferred as above provided shall bear the legends
set forth in Section 2.1, except that such certificate shall not bear such legends if (i) such transfer is in accordance with the provisions of Rule 144 (or any other rule permitting public sale without registration under the Securities
Act) or (ii) the opinion of counsel referred to above is to the further effect that the transferee and any subsequent transferee (other than an Affiliate of the Company) would be entitled to transfer such securities in a public sale 

 

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 without registration under the Securities Act pursuant to an exemption from the registration requirements thereof. The
restrictions provided for in this Section 2.2 shall not apply to securities which are not required to bear the legends prescribed by Section 2.1 in accordance with the provisions of that Section. 
 ARTICLE III 
 Registration

 Section 3.1 Required Registration. 
 (a) At any time after February 14, 2009, the holders of a majority of the Preferred Shares, including the Common Stock issued on conversion of the
Preferred Shares (the “Preferred Registrable Securities”), calculated on an as-converted basis, may request the Company to register some or all of their Preferred Registrable Securities under the Securities Act
if the anticipated aggregate price to the public is not less than $8,000,000. Any request for registration (“Registration Request”) shall specify (A) the approximate number of shares of Preferred
Registrable Securities requested to be registered and (B) the intended method of distribution of such shares. 
 (b) Within ten days
after the receipt of a Registration Request, the Company shall immediately notify all holders of Registrable Securities from whom notice has not been received and shall, subject to the limitations of this Section 3.1, effect, as expeditiously
as is reasonably possible the registration under the Securities Act, for public sale in accordance with the method of disposition specified in such notice from requesting holders, the number of shares of Preferred Registrable Securities specified in
such notice (and in all notices received by the Company from other holders within fifteen days after the giving of such notice by the Company); provided, that in the case of an underwritten public offering, if the managing underwriter
determines that, because of marketing factors all of the Registrable Securities requested to be registered may not be included in the offering, the Company shall include in such registration (i) first, the Preferred Registrable Securities
requested to be included in such registration by the Investors, pro rata among the holders thereof on the basis of the number of shares of Preferred Registrable Securities such Investors requested to be included in such registration, and
(ii) second, the Registrable Securities requested to be included in such registration by the Principal Stockholders and Key Management pursuant to the incidental registration provisions of Section 3.2 hereof, pro rata among the Principal
Stockholders and such members of Key Management on the basis of the number of shares of Registrable Securities the Principal Stockholders and such members of Key Management requested to be included in such registration. 
 (c) The Company will have the right to select one or more underwriters to manage the offering, subject to the reasonable satisfaction of a majority in
interest of the Investors initially requesting registration, which approval, if any be required, shall not be unreasonably withheld or delayed; provided, that if the managing underwriter or underwriters shall be the firm or firms that managed
the Company’s most recently completed underwritten public offering of Common Stock, such firms shall be deemed acceptable unless a majority in interest of the Investors initially requesting such registration shall object to such firm or firms
for reasons related to the ability of such firm or firms to effectively manage the offering. 
  

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 (d) The Company shall be obligated to effect a registration pursuant to this Section 3.1 on two
occasions only, and shall not be required to effect a registration (i) during the 180-day period following the effective date of the registration statement pertaining to the Company’s initial public offering or (ii) if the Company
delivers notice in writing to the holders of Registrable Securities within 30 days of any Registration Request of the Company’s intent to file a registration statement within 90 days. 
 (e) The Company shall be entitled to include in any registration statement referred to in this Section 3.1, for sale in accordance with the method
of disposition specified by requesting holders, shares of Common Stock to be sold by the Company for its own account but only to the extent that such inclusion will not adversely affect the offering for the account of the holders of Registrable
Securities. Except for registration statements on Form S-4, S-8 or any successors thereto, the Company will not file with the Commission any other registration statement with respect to its Common Stock, whether for its own account or that of other
stockholders, from the date of receipt of a notice from requesting holders pursuant to this Section 3.1 until the completion of the period of distribution of the registration contemplated thereby. 
 Section 3.2 Company Registration. If the Company at any time (other than pursuant to the Company’s initial public
offering) proposes to register any of its securities under the Securities Act for sale to the public, whether for its own account or for the account of other security holders or both (except with respect to registration statements on Forms S-4, S-8
or another form not available for registering the Registrable Securities for sale to the public), each such time it will give written notice to all holders of outstanding Registrable Securities of its intention so to do. Upon the written request of
any such holder, received by the Company within 15 days after the giving of any such notice by the Company, to register any of its Registrable Securities, the Company will use reasonable best efforts to cause such Registrable Securities to be
included in the registration statement proposed to be filed by the Company. In the event that any registration pursuant to this Section 3.2 shall be, in whole or in part, an underwritten public offering of Common Stock, and the managing
underwriters advise the Company in their opinion that the number of securities to be included in such registration exceeds the number that can be sold in an orderly manner in such offering within the price range acceptable to the parties initially
requesting such registration, the Company will include in such registration (i) first, the securities proposed to be included therein by the Company if the Company has initiated the registration, (ii) second, the Registrable Securities
requested to included in such registration by the Investors, pro rata among the holders thereof on the basis of the number of shares of Registrable Securities requested to be included in such registration, and (iii) third, the Registrable
Securities requested to be included in such registration by the Principal Stockholders and Key Management, pro rata among the Principal Stockholders and such members of Key Management on the basis of the number of shares of Registrable Securities
the Principal Stockholders and such members of Key Management requested to be included in such registration; provided, however, that in the case of any underwritten public offering, the number of shares of Preferred Registrable
Securities included in such offering shall not be reduced below an amount equal to 25% of the total number of shares to be included unless such offering is the initial public offering and such registration does not include shares of any other
selling stockholders, in which event any or all of the Preferred Registrable Securities may be excluded in accordance with the immediately preceding clause. Notwithstanding the foregoing provisions, the Company may withdraw any registration
statement referred to in this Section 3.2 without thereby incurring any liability to the holders of Registrable Securities. 
  

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 Section 3.3 Registration on Form S-3. If at any time (i) a holder or
holders of Preferred Registrable Securities request that the Company file a registration statement on Form S-3 or any successor thereto for a public offering of all or any portion of their Preferred Registrable Securities, the reasonably
anticipated aggregate price to the public of which would exceed $2,000,000, and (ii) the Company is a registrant entitled to use Form S-3 or any successor thereto to register such shares, then the Company shall, as soon as practicable, use
reasonable best efforts to effect such registration under the Securities Act on Form S-3 or any successor thereto, for public sale in accordance with the method of disposition specified in such notice, the Preferred Registrable Securities specified
in such notice. Whenever the Company is required by this Section 3.3 to use reasonable best efforts to effect the registration on behalf of a holder or holders of Preferred Registrable Securities, the Company shall notify all other holders of
Registrable Securities and provide them with the opportunity to participate in the offering in accordance with Section 3.2 hereof (with any exclusion by underwriters to be pro rata on the basis of the number of shares of Registrable Securities
requested to be included), and the provisions of paragraphs (c) and (e) of Section 3.1 shall apply to such registration. The Company shall not be required to effect more than two such registrations pursuant to this Section 3.3 in
any 12-month period. Registrations effected pursuant to this Section 3.3 shall not be counted as demand registrations effected pursuant to Section 3.1. 
 Section 3.4 Registration Procedures. If and whenever the Company is required by the provisions of Section 3.1, 3.2 or 3.3 to use reasonable best efforts to effect the registration of any
Registrable Securities under the Securities Act, the Company will, as expeditiously as possible: 
 (a) prepare and file with the Commission a
registration statement (which, in the case of an underwritten public offering pursuant to Section 3.1, shall be on Form S-1 or other form of general applicability satisfactory to the managing underwriter selected as therein provided) with
respect to such securities and use reasonable best efforts to cause such registration statement to become and remain effective for the period of the distribution contemplated thereby (determined as hereinafter provided); provided,
however, that that Company’s obligation to file a registration statement, or cause such registration statement to become and remain effective, shall be suspended for a period not to exceed ninety (90) days in any 12-month period if
in the reasonable good faith judgment of the Company’s Board of Directors it would be seriously detrimental to the Company to effect a registration at such time; 
 (b) prepare and file with the Commission such amendments and supplements to such registration statement and the related prospectus as may be necessary to keep such registration statement effective for the period
specified in paragraph (a) above and comply with the provisions of the Securities Act with respect to the disposition of all Registrable Securities covered by such registration statement in accordance with the sellers’ intended method of
disposition set forth in such registration statement for such period; 
 (c) furnish to each seller of Registrable Securities and to each
underwriter such number of copies of the registration statement and the prospectus included therein 
  

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 (including each preliminary prospectus) as such persons reasonably may request in order to facilitate the public sale or
other disposition of the Registrable Securities covered by such registration statement; 
 (d) use reasonable best efforts to register or
qualify the Registrable Securities covered by such registration statement under the securities or “blue sky” laws of such jurisdictions as the sellers of Registrable Securities or, in the case of an underwritten public offering, the
managing underwriter reasonably shall request; provided, however, that the Company shall not for any such purpose be required to qualify generally to transact business as a foreign corporation in any jurisdiction where it is not so
qualified or to consent to general service of process in any such jurisdiction; 
 (e) list the Registrable Securities covered by such
registration statement with any securities exchange (or quotation system) on which the Common Stock of the Company is then listed (or qualified for inclusion); 
 (f) immediately (i) notify each seller of Registrable Securities and each underwriter under such registration statement, at any time when a prospectus relating thereto is required to be delivered under the
Securities Act, of the happening of any event of which the Company has knowledge as a result of which the prospectus contained in such registration statement, as then in effect, includes an untrue statement of a material fact or omits to state a
material fact required to be stated therein or necessary to make the statements therein not misleading in light of the circumstances then existing and (ii) use commercially reasonable efforts to amend or supplement such prospectus in order to
cause such prospectus not to include any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading in light of the circumstances then existing;

 (g) if the offering is underwritten and at the request of any seller of Registrable Securities, use reasonable best efforts to furnish on
the date that Registrable Securities is delivered to the underwriters for sale pursuant to such registration: (i) an opinion dated such date of counsel representing the Company for the purposes of such registration, addressed to the
underwriters and to such seller, in form and substance as is customarily given in an underwritten public offering; and (ii) a letter dated such date from the independent public accountants retained by the Company, addressed to the underwriters
and to such seller, in form and substance as is customarily given in an underwritten public offering; and 
 (h) make available for
inspection by each seller of Registrable Securities, any underwriter participating in any distribution pursuant to such registration statement, and any attorney or accountant retained by such seller or underwriter, all financial and other records,
pertinent corporate documents and properties of the Company, and cause the Company’s officers, directors and employees to supply all information reasonably requested by any such seller, underwriter, attorney or accountant in connection with
such registration statement. 
 (i) For purposes of Section 3.4(a) and 3.4(b), the period of distribution of Registrable Securities in a
firm commitment underwritten public offering shall be deemed to extend until each underwriter has completed the distribution of all securities purchased by it, and 
  

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 the period of distribution of Registrable Securities in any other registration shall be deemed to extend until the
earlier of the sale of all Registrable Securities covered thereby and one hundred twenty (120) days after the effective date thereof. 
 (j) It shall be a condition precedent to the obligations of the Company to take any action in connection with each registration pursuant to Sections 3.1, 3.2 or 3.3 hereof, that the sellers of Registrable Securities furnish to the Company
in writing such information with respect to themselves and the proposed distribution by them as reasonably shall be necessary in order to assure compliance with federal and applicable state securities laws. 
 (k) In connection with each registration pursuant to Sections 3.1, 3.2 or 3.3 covering an underwritten public offering, the Company shall not be required
to include any Registrable Securities in such underwriting unless the holders of such Registrable Securities accept the terms of the underwriting as agreed upon between the Company and the underwriters selected by it (or by other persons entitled to
select the underwriters). 
 Section 3.5 Expenses. All expenses incurred by the Company in complying with Sections 3.1,
3.2 and 3.3, including, without limitation, all registration and filing fees, printing expenses, fees and disbursements of counsel and independent public accountants for the Company, fees and expenses (including counsel fees) incurred in connection
with complying with state securities or “blue sky” laws, fees of the National Association of Securities Dealers, Inc., transfer taxes, fees of transfer agents and registrars and the reasonable fees and disbursements of one counsel for the
sellers of Registrable Securities not to exceed $25,000, but excluding any Selling Expenses, are called “Registration Expenses.” All underwriting discounts and selling commissions applicable to the sale of
Registrable Securities are called “Selling Expenses.” 
 The Company will pay all Registration Expenses
in connection with each registration statement under Section 3.1, 3.2 or 3.3; provided, however, that the Company shall not be required to pay for any Registration Expenses of any registration proceeding begun pursuant to
Section 3.1 if the registration request is subsequently withdrawn on the written request of the holders of a majority of the Preferred Registrable Securities to be registered (in which case all participating holders of Preferred Registrable
Securities shall bear such expenses pro rata), unless the holders of a majority of the Preferred Registrable Securities agree to forfeit their right to one (1) demand registration pursuant to Section 3.1; provided, further
that if at the time of such withdrawal, such holders of Preferred Registrable Securities have learned of a material adverse change in the Company from that known to such holders at the time of the request and have withdrawn the request with
reasonable promptness following disclosure by the Company of or such holders’ otherwise having learned of such material adverse change, then the Company shall pay the Registration Expenses of such holders, and such holders shall not be required
to pay any of such expenses and shall not forfeit their right to a demand registration pursuant to Section 3.1. All Selling Expenses in connection with each such registration statement shall be borne by the participating sellers. 
  

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 Section 3.6 Indemnification and Contribution. 
 (a) In the event of a registration of any of the Registrable Securities under the Securities Act pursuant to Section 3.1, 3.2 or 3.3, the Company
will indemnify and hold harmless each seller of such Registrable Securities thereunder, each underwriter of such Registrable Securities thereunder and each other person, if any, who controls such seller or underwriter within the meaning of the
Securities Act, against any losses, claims, damages or liabilities, joint or several, to which such seller, underwriter or controlling person may become subject under the Securities Act, the Exchange Act, any state securities laws or any rule or
regulation promulgated under the Securities Act, Exchange Act or any state securities laws or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect thereof) (i) arise out of or are based upon any untrue
statement or alleged untrue statement of any material fact contained in any registration statement under which such Registrable Securities were registered under the Securities Act, any preliminary prospectus or final prospectus contained therein, or
any amendment or supplement thereof, (ii) arise out of or are based upon the omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading or
(iii) arise out of or are based on any violation or alleged violation by the Company of the Securities Act, the Exchange Act, any state securities laws or any rule or regulation promulgated under the Securities Act, the Exchange Act or any
state securities laws, and will reimburse each such seller, each such underwriter and each such controlling person for any legal or other expenses reasonably incurred by them in connection with investigating or defending any such loss, claim,
damage, liability or action; provided, however, that the Company will not be liable to any such indemnitee (i) for any amounts paid in settlement of any such loss, claim, damage, liability, or action if such settlement is effected
without the consent of the Company (which consent shall not be unreasonably withheld, conditioned or delayed), (ii) if and to the extent that any such loss, claim, damage or liability arises out of or is based upon an untrue statement or
alleged untrue statement or omission or alleged omission so made in conformity with information furnished by such indemnitee in writing specifically for use in such registration statement or prospectus, or (iii) if and to the extent that, in
the case of a sale directly by such holder of Registrable Securities (including a sale of such Registrable Securities through any underwriter retained by such holder of Registrable Securities to engage in a distribution solely on behalf of such
holder of Registrable Securities), such untrue statement or alleged untrue statement or omission or alleged omission was contained in a preliminary prospectus and corrected in a final or amended prospectus, and such holder of Registrable Securities
failed to deliver a copy of the final or amended prospectus at or prior to the confirmation of the sale of the Registrable Securities to the Person asserting any such loss, claim, damage or liability in any case where such delivery is required by
the Securities Act or any state securities laws. 
 (b) In the event of a registration of any of the Registrable Securities under the
Securities Act pursuant to Section 3.1, 3.2 or 3.3, each seller of such Registrable Securities thereunder, severally and not jointly, will indemnify and hold harmless the Company, each person, if any, who controls the Company within the meaning
of the Securities Act, each officer of the Company who signs the registration statement, each director of the Company, each underwriter and each person who controls any underwriter within the meaning of the Securities Act, against all losses,
claims, damages or liabilities, joint or several, to which the Company or such officer, director, underwriter or controlling person may become subject under the Securities 
  

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 Act, the Exchange Act, any state securities laws or any rule or regulation promulgated under the Securities Act or any
state securities laws or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect thereof) arise out of or are based upon any untrue statement or alleged untrue statement of any material fact contained in the
registration statement under which such Registrable Securities were registered under the Securities Act, any preliminary prospectus or final prospectus contained therein, or any amendment or supplement thereof, or arise out of or are based upon the
omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, and will reimburse the Company and each such officer, director, underwriter and controlling
person for any legal or other expenses reasonably incurred by them in connection with investigating or defending any such loss, claim, damage, liability or action; provided, however, that such seller will be liable hereunder in any
such case if and only to the extent that any such loss, claim, damage or liability arises out of or is based upon an untrue statement or alleged untrue statement or omission or alleged omission made in reliance upon and in conformity with
information pertaining to such seller, as such, furnished in writing to the Company by such seller specifically for use in such registration statement or prospectus; and provided, further, however, that the liability of each
seller hereunder shall be limited to the proportion of any such loss, claim, damage, liability or expense which is equal to the proportion that the public offering price of the shares sold by such seller under such registration statement bears to
the total public offering price of all securities sold thereunder, but not in any event to exceed the net proceeds (after deduction of underwriting discounts and other Selling Expenses) to such seller from the sale of Registrable Securities covered
by such registration statement. 
 (c) Promptly after receipt by an indemnified party hereunder of notice of the commencement of any action,
such indemnified party shall, if a claim in respect thereof is to be made against the indemnifying party hereunder, notify the indemnifying party in writing thereof, but the omission so to notify the indemnifying party shall not relieve it from any
liability which it may have to such indemnified party other than under this Section 3.6 and shall only relieve it from any liability which it may have to such indemnified party under this Section 3.6 if and to the extent the indemnifying
party is prejudiced by such omission. In case any such action shall be brought against any indemnified party and it shall notify the indemnifying party of the commencement thereof, the indemnifying party shall be entitled to participate in and, to
the extent it shall wish, to assume and undertake the defense thereof with counsel mutually satisfactory to the parties, and, after notice from the indemnifying party to such indemnified party of its election so to assume and undertake the defense
thereof, the indemnifying party shall not be liable to such indemnified party under this Section 3.6 for any legal expenses subsequently incurred by such indemnified party in connection with the defense thereof other than reasonable costs of
investigation and of liaison with counsel so selected; provided, however, that, if the defendants in any such action include both the indemnified party and the indemnifying party and the indemnified party shall have reasonably
concluded that there may be reasonable defenses available to it which are different from or additional to those available to the indemnifying party or if the interests of the indemnified party reasonably may be deemed to conflict with the interests
of the indemnifying party, the indemnified party shall have the right to select a separate counsel and to assume such legal defenses and otherwise to participate in the defense of such action, with the expenses and fees of such separate counsel and
other expenses related to such participation to be reimbursed by the indemnifying party as incurred. 
  

 10 

 (d) In order to provide for just and equitable contribution to joint liability under the Securities Act
in any case in which either (i) any holder of Registrable Securities exercising rights under this Agreement, or any controlling person of any such holder, makes a claim for indemnification pursuant to this Section 3.6 but it is judicially
determined (by the entry of a final judgment or decree by a court of competent jurisdiction and the expiration of time to appeal or the denial of the last right of appeal) that such indemnification may not be enforced in such case notwithstanding
the fact that this Section 3.6 provides for indemnification in such case, or (ii) contribution under the Securities Act may be required on the part of any such selling holder or any such controlling person in circumstances for which
indemnification is provided under this Section 3.6; then, and in each such case, the Company and such holder will contribute to the aggregate losses, claims, damages or liabilities to which they may be subject (after contribution from others)
in such proportion as is appropriate to reflect the relative fault of the indemnifying party on the one hand and of the indemnified party on the other, as well as any other relevant equitable considerations. The relative fault of the parties shall
be determined by reference to, among other things, whether the untrue or alleged untrue statement of a material fact or the omission to state a material fact relates to information supplied by the indemnifying party or by the indemnified party and
the parties’ relative intent, knowledge, access to information and opportunity to correct or prevent such statement or omission; provided, however, that, in any such case, (A) no such holder will be required to contribute,
when added to any amounts paid pursuant to Section 3.6(c), an amount in excess of the net proceeds (after deduction of underwriting discounts and other selling expenses) to such seller from the sale of Registrable Securities covered by such
registration statement; and (B) no person or entity guilty of fraudulent misrepresentation (within the meaning of Section 11(f) of the Securities Act) will be entitled to contribution from any person or entity who was not guilty of such
fraudulent misrepresentation. 
 Section 3.7 Changes in Common Stock or Preferred Stock. If, and as often as, there is
any change in the Common Stock or the Preferred Stock by way of a stock split, stock dividend, combination or reclassification, or through a merger, consolidation, reorganization or recapitalization, or by any other means, appropriate adjustment
shall be made in the provisions hereof so that the rights and privileges granted hereby shall continue with respect to the Common Stock or the Preferred Stock as so changed. 
 Section 3.8 Rule 144 Reporting. With a view to making available the benefits of certain rules and regulations of the
Commission which may at any time permit the sale of the Registrable Securities to the public without registration, at all times after any registration statement covering a public offering of securities of the Company under the Securities Act shall
have become effective, the Company agrees to: 
 (a) make and keep public information available, as those terms are understood and defined in
Rule 144 under the Securities Act; 
 (b) file with the Commission in a timely manner all reports and other documents required of the Company
under the Securities Act and the Exchange Act; and 
 (c) furnish to each holder of Registrable Securities forthwith upon request a written
statement by the Company as to its compliance with the reporting requirements of such 
  

 11 

 Rule 144 and of the Securities Act and the Exchange Act, a copy of the most recent annual or quarterly report of the
Company, and such other reports and documents so filed by the Company as such holder may reasonably request in availing itself of any rule or regulation of the Commission allowing such holder to sell any Registrable Securities without registration.

 Section 3.9 Future Registration Rights. In addition to any other restrictions imposed hereby, the Company
shall not, except with the consent of the Investors holding a majority of the Preferred Registrable Securities held by the Investors, enter into any agreement with any holder or prospective holder (each, an “Other
Holder”) of any securities of the Company that would grant such Other Holder registration rights that would (i) reduce the amount of Preferred Registrable Securities that may be registered pursuant to Section 3.1, 3.2
or 3.3 hereof, or (ii) otherwise provide any Other Holder the right to register any securities. 
 Section 3.10 Market
Stand-Off. If requested in writing by the underwriters for the Company’s first firm commitment underwritten public offering of securities of the Company, each holder of Registrable Securities shall agree not to directly or
indirectly sell, offer to sell, contract to sell, make any short sale of, grant any option for the purchase of, or enter into any hedging or similar transaction with the same economic effect as a sale, any Common Stock (or other securities) of the
Company held by such holder (other than those included in the registration statement), without the consent of such underwriters, for a period of not more than 180 days following the effective date of the registration statement relating to such
offering; provided, however, that all other persons selling shares of Common Stock in such offering and all executive officers, and directors of the Company, and all holders of at least 1% of the Company’s outstanding Common Stock
(on an as-converted basis), agree to be similarly restricted and that any early release of such restrictions applicable to securities held by any officer, director or holder of at least 1% of the Company’s outstanding Common Stock (on an
as-converted basis) will apply to a corresponding proportion of the Registrable Securities. In order to enforce the foregoing covenant, the Company may impose stop transfer instructions with respect to holders of the Registrable Securities (and the
shares or securities of every other person subject to the foregoing restriction) until the end of such period. 
 Section 3.11
Termination of Registration Rights. The obligations of the Company to register Registrable Securities under Section 3.1, 3.2 or 3.3 for a holder of Registrable Securities shall terminate on the earliest to occur of
(i) the fifth anniversary of the consummation of the Company’s first firm commitment underwritten public offering of its securities and (ii) the date on which such holder can, in the reasonable opinion of counsel to the Company, sell
all shares of his Registrable Securities in a three-month period without registration under the Securities Act pursuant to Rule 144 under the Securities Act; provided, however, that the provisions of this Section 3.11 shall not
apply to any holder while such holder owns more than 1% of the Company’s outstanding Common Stock (as calculated for purposes of paragraph (e) of Rule 144). 
  

 12 

 ARTICLE IV 
 Additional Covenants 
 The Company covenants and agrees with each of the Investors that:

 Section 4.1 Financial Statements, Reports, Etc. The Company will maintain true books and records of account in
which full and correct entries will be made of all its business transactions pursuant to a system of accounting established and administered in accordance with generally accepted accounting principles consistently applied (except as noted therein),
and will set aside on its books all such proper accruals and reserves as shall be required under generally accepted accounting principles consistently applied. The Company shall furnish to each Investor who (alone or together with its Affiliates)
holds at least 250,000 shares of Common Stock and/or Preferred Stock (as adjusted for stock splits, stock dividends, recapitalizations or the like): 
 (a) within 90 days after the end of each fiscal year of the Company, a consolidated balance sheet of the Company and its subsidiaries, if any, as of the end of such fiscal year and the related consolidated statements of income and cash
flows for the fiscal year then ended, prepared in accordance with generally accepted accounting principles and certified by a firm of independent public accountants selected by the Board of Directors of the Company and acceptable to the directors
designated by the holders of Preferred Stock; 
 (b) within 45 days after the end of each quarter in each fiscal year, a consolidated balance
sheet of the Company and its subsidiaries, if any, and the related consolidated statements of income and cash flows, unaudited but prepared in accordance with generally accepted accounting principles (subject to year-end adjustments and excluding
footnotes) and certified by an officer of the Company, such consolidated balance sheet to be as of the end of such quarter and such consolidated statements of income and cash flows to be for such quarter and for the period from the beginning of the
fiscal year to the end of such month, in each case with comparative statements for the prior fiscal year and comparing the information presented to the Company’s plan, and accompanied by an updated capitalization table; and 
 (c) no later than 30 days prior to the start of each fiscal year, consolidated capital and operating expense budgets, cash flow projections and income
and loss projections for the Company and its subsidiaries in respect of such fiscal year, all itemized in reasonable detail and prepared on a monthly basis, and, promptly after preparation, any revisions to any of the foregoing. 
 Section 4.2 Reservation of Conversion Shares. The Company shall at all times reserve and keep available out of its authorized
but unissued shares of Common Stock, for the purpose of effecting the conversion of the Preferred Stock and otherwise complying with the terms of this Agreement, such number of its duly authorized shares of Common Stock as shall be sufficient to
effect the conversion of the Preferred Stock from time to time outstanding. If at any time the number of authorized but unissued shares of Common Stock shall not be sufficient to effect the conversion of the Preferred Stock or otherwise to comply
with the terms of this Agreement, the Company will forthwith take such corporate action as may be necessary to increase its authorized but unissued shares of Common Stock to such number of shares as shall be sufficient for such purposes. The Company
will obtain any authorization, consent, approval or other action by or make any filing with any court or administrative body that may be required under applicable state securities laws in connection with the issuance of the Conversion Shares.

 Section 4.3 Inspection, Consultation and Advice. The Company shall permit and cause each of its subsidiaries
(if any) to permit each Investor and such persons as it may 
  

 13 

 designate (provided that such Investor provides satisfactory assurances (as determined by the Company in good faith) to
the Company with respect to the confidentiality of all information received from the Company), at such Investor’s expense, to visit and inspect any of the properties of the Company and its subsidiaries, examine their books and take copies and
extracts therefrom, discuss the affairs, finances and accounts of the Company and its subsidiaries with their officers, employees and public accountants (and the Company hereby authorizes said accountants to discuss with such Investor and such
designees such affairs, finances and accounts), and consult with and advise the management of the Company and its subsidiaries as to the Company’s affairs, finances and accounts, all at reasonable times and upon reasonable notice;
provided, however, that the Company shall not be obligated pursuant to this Section 4.3 to provide access to any information that they reasonably consider to be a trade secret or similar confidential information, or if, upon
advice of counsel, the Company believes in good faith that such disclosure would destroy the attorney-client privilege with regard to such information. 
 Section 4.4 Director and Officer Insurance. The Company shall obtain and keep in effect a director and officer insurance policy in the aggregate amount of $2,000,000; provided,
however, that any reduction in coverage under, or termination of, such insurance policy that is unanimously approved by the Company’s board of directors shall not be a breach of this Section 4.4. 
 Section 4.5 Proprietary Information Agreement. The Company shall
require all employees and consultants to execute and deliver a Proprietary Information and Inventions Agreement substantially in the form referenced in the first sentence of Section 2.9 of the Purchase Agreement, as such form may be amended
hereafter from time to time by the Board of Directors. 
 Section 4.6 First Refusal Right. The Company shall
require, as a condition to the issuance of equity securities of the Company as compensation for services rendered to the Company, that each future officer of the Company become a party to the Company’s Third Amended and Restated Co-Sale and
First Refusal Agreement of even date herewith. 
 Section 4.7 Expenses of Directors. The Company shall promptly
reimburse in full, upon presentation of reasonably satisfactory supporting documentation, each director of the Company who is not an employee of the Company for all of his or her reasonable out-of-pocket expenses incurred in attending each meeting
of the Board of Directors of the Company or any committee thereof or undertaking any activities at the behest of the Company. 
 Section
4.8 Indemnification and Advancement. 
 (a) The Company hereby agrees to hold harmless and indemnify the Investors, the
Investors’ direct and indirect subsidiaries, affiliated entities and corporations, and each of their partners, members, officers, directors, employees, stockholders, agents, and representatives (collectively, referred to as the
“Investor Indemnitees”) against any and all expenses (including attorneys’ fees), damages, judgments, fines, amounts paid in settlements, or any other amounts that an Investor Indemnitee incurs as a result
of any claim or claims made against it in connection with any threatened, pending or completed action, suit, arbitration, investigation or other proceeding arising out of, or relating to the Investors’ actions in connection 
  

 14 

 with the purchase by the Investors of the Company’s Preferred Stock (a “Financing-Based
Claim”); provided, however, that no Investor Indemnitee shall be entitled to be held harmless or indemnified by the Company for acts, conduct or omissions as to which there has been a final adjudication that such Investor
Indemnitee engaged in intentional misconduct or in knowing and culpable violation of the law. 
 (b) The Company shall reimburse, promptly
following request therefor, all reasonable expenses incurred by an Investor Indemnitee in connection with any threatened, pending or completed action, suit, arbitration, investigation or other proceeding arising out of, or relating to, a
Financing-Based Claim, provided, however, that no Investor Indemnitee shall be entitled to reimbursement in connection with acts, conduct or omissions as to which there has been a final adjudication that such Investor Indemnitee engaged in
intentional misconduct, in knowing and culpable violation of the law. 
 (c) The Company’s indemnity obligations set forth above are
subject to the Investors providing prompt written notice of a claim. The Company shall control the defense of any such action and, at its discretion, may enter into a stipulation of discontinuance or settlement thereof; provided that the Company may
not discontinue any action or settle any claim in a manner that does not unconditionally release the Investors without the Investors’ prior written approval. The Investors shall, at the Company’s expense and reasonable request, cooperate
with the Company in any such defense and shall make available to the Company at the Company’s expense all those persons, documents (excluding attorney/client or attorney work product materials) reasonably required by the Company in the defense
of any such action. The Investors may, at their expense, assist in such defense. 
 Section 4.9 Termination or Waiver of
Covenants. All of the covenants set forth in this Article IV (other than in Section 4.2) shall terminate and be of no further force or effect upon the earlier to occur of (i) (A) in the case of Section 4.1, the sale of
securities pursuant to a registration statement filed by the Company under the Securities Act in connection with the firm commitment underwritten offering of its securities to the general public is consummated or when the Company first becomes
subject to the periodic reporting requirements of Sections 13 or 15(d) of the Exchange Act and (B) in the case of Sections 4.3 through 4.8, a Qualified Public Offering (as defined in the Company’s then-current Certificate of Incorporation)
and (ii) upon the closing of any merger, recapitalization, reorganization or sale of all or substantially all of the assets of the Company which will result in the stockholders of the Company as constituted immediately prior to such transaction
not holding, directly or indirectly, immediately following such transaction, at least 50% of the voting power of the surviving, continuing or purchasing entity (a “Change of Control”). Compliance with any of
such covenants (excluding Section 4.2) can be waived by the holders of at least 60% of the Preferred Registrable Securities held by the Investors. 
 ARTICLE V 
 Right of First Offer 
 Section 5.1 Right of First Offer. Subject to the terms and conditions specified in this section, the Company hereby grants to each
Investor who holds at least 350,000 shares of Preferred Stock (adjusted for stock splits, stock dividends, recapitalizations or the like) (each a 

 15 

 “Major Investor” and, collectively, the “Major
Investors”) a right of first offer with respect to future sales by the Company of its Shares (as hereinafter defined); provided that such right shall apply only to the extent that such Major Investor is an “accredited
investor” within the meaning of Rule 501 of Regulation D of the Securities Act. For purposes of this Article V, “Major Investor” includes any general partners and Affiliates of a Major Investor. A Major Investor shall be entitled to
apportion the rights of first offer hereby granted it among itself and its partners and Affiliates in such proportions as it deems appropriate. Subject to Section 5.3 below, each time the Company proposes to offer any shares of, or securities
convertible into or exercisable for any shares of, any class of its capital stock (“Shares”), the Company shall first make an offering to each Major Investor to purchase such Major Investor’s pro-rata share
of such offering in accordance with the following provisions: 
 Section 5.2 Procedure for Exercise. The Company
shall deliver notice (the “Offer Notice”) to the Major Investor stating (i) the number of Shares offered in the applicable offering and (ii) the price and terms, if any, upon which it proposes to offer
such Shares. Within 45 days after giving of the Offer Notice, each Major Investor may elect to purchase or obtain, at the price and on the terms specified in the Notice, up to that portion of such Shares which equals the proportion that the number
of Preferred Registrable Securities then held by such Major Investor bears to the total number of shares of Common Stock of the Company then outstanding (assuming full conversion and exercise of all convertible or exercisable securities then
outstanding) by paying the purchase price therefor at the principal office of the Company. Each Major Investor shall have an over-allotment option with respect to any shares that other Major Investors elect not to purchase and may exercise such
option in the same manner provided above within 15 days after receipt of notice from the Company of such over-allotment shares, which notice shall be delivered within five days of the expiration of the initial 45-day period. 
 Section 5.3 Excluded Issuances. The rights of first offer set forth in this section shall not be applicable to (i) shares of
Common Stock issued or issuable solely for compensatory purposes, to directors, officers, employees or consultants of the Company, whether directly (as Common Stock or options) or pursuant to a stock option plan or a restricted stock plan, in each
case approved by the Board of Directors; (ii) shares of Common Stock issued upon the conversion of shares of the Company’s Preferred Stock; (iii) securities issued in connection with a bona fide business acquisition or license of
technology of or by the Company, whether by license, merger, consolidation, sale of assets, sale or exchange of stock or otherwise that are not issued primarily for equity financing purposes, in each case as approved by the Board of Directors;
(iv) securities issued in connection with bona fide commercial borrowing, real estate leases, capital equipment leases, licensing, distribution, development, corporate partnering or similar transactions, in each case approved by the Board of
Directors of the Company that are not issued primarily for equity financing purposes; and (v) securities issued as dividends or distributions on the Preferred Stock. 
 Section 5.4 Sales to Third Parties. The Company shall, after complying with its obligations under Sections 5.1 and 5.2, be free at any time prior to 90 days after the date of the Offer Notice, to
offer and sell to any third party or parties the remainder of such securities proposed to be issued by the Company at a price and on payment terms no less favorable to the Company than those specified in the Offer Notice. However, if such third
party sale or sales are not consummated within such 90 day period, the Company shall not sell such securities as shall not have been purchased within such period without again complying with this Article V. 
  

 16 

 Section 5.5 Assignment of Rights of First Offer. Except as set forth in
Section 5.1, the rights of first offer set forth in this section may not be assigned or transferred. 
 Section 5.6
Termination of Rights of First Offer. The rights provided in this Article V shall terminate upon the earlier to occur of (i) a Qualified Public Offering (as defined in the Company’s Certificate of Incorporation, as the same
may be amended and restated from time to time), and these rights shall not be applicable to a Qualified Public Offering or (ii) a Change of Control. 
 ARTICLE VI 
 Miscellaneous 
 Section 6.1 Assigns. All covenants and agreements contained in this Agreement by or on behalf of any of the parties hereto shall bind
and inure to the benefit of the respective successors and assigns of the parties hereto, including, without limitation, transferees of any Securities, whether so expressed or not, each of whom as a condition to such transfer shall execute an
Adoption Agreement in the form attached hereto as Exhibit A; provided, however, that rights to register Registrable Securities pursuant to Article III may be transferred only to (i) any then-current holder of Registrable
Securities, (ii) any partner, member or Affiliate of a holder of Registrable Securities, (iii) any family member or trust of any individual holder of Registrable Securities or (iv) a transferee who acquires at least 250,000 shares of
Registrable Securities. 
 Section 6.2 Notices. Any notice required or permitted by this Agreement shall be in writing and
shall be deemed effectively given: (1) upon actual delivery, when delivered personally; (b) upon receipt when sent by confirmed telegram or fax if sent during normal business hours, and if not, then on the next business day; (c) one
day after deposit with a nationally recognized overnight courier, specifying next day delivery, with written verification of receipt; (d) five business days after being deposited in the U.S. mail, as certified or registered mail, return receipt
requested, postage prepaid if addressed to U.S. addressees or (e) seven business days after being deposited in the U.S. mail, as certified or registered mail, return receipt requested, postage prepaid if addressed to non-U.S. addressees. All
communications shall be sent to the Company and to the Investors at the addresses as set forth on Schedule A or at such other addresses as the Company or Investors may designate by ten (10) days’ advance written notice to the other
parties hereto; and if to the Company, with a copy to Carmelo M. Gordian, Andrews Kurth LLP, 111 Congress Avenue, Suite 1700, Austin, TX 78701, facsimile: (512) 320-9292. 
 (i) if to the Company, at its principal place of business; 
 (ii) if to any holder of Securities, at such address as may have been furnished to the Company in writing by such holder. 
  

 17 

 Section 6.3 Governing Law. This Agreement shall be governed by and construed in
accordance with the laws of the State of Delaware without giving effect to principles of conflicts of laws. 
 Section 6.4
Amendments. This Agreement may not be amended or modified, and no provision hereof may be waived, without the written consent of the Company and the holders of at least 60% of the Preferred Registrable Securities held by the Investors;
provided, however, that (i) in the event such amendment or waiver adversely affects the rights and/or obligations of the Principal Stockholders or Key Management in a different manner than the Investors, such amendment or waiver
shall also require the written consent of the holders of a majority of the Common Stock then held by the Principal Stockholders or the holders of a majority of the Common Stock then held by Key Management who are then providing services to the
Company as an employee, officer or director, as the case may be and (ii) any amendment or waiver that affects one Investor in a disproportionately adverse manner as compared to other Investors must be approved by the disproportionately affected
Investor; and provided further that the Board of Directors shall have the right to amend or modify the list of Key Management on Schedule C hereto from time to time to remove certain individuals who are no longer employees, officers or
directors of the Company. In the event of any addition of a member of Key Management who shall have been approved by the Board of Directors, such member of Key Management shall become a party to this Agreement upon receipt from such new member of
Key Management of a fully executed signature page hereto. Any amendment or waiver effected in accordance with this Section shall be binding upon each holder of Registrable Securities then outstanding, each future holder of all such Registrable
Securities and the Company. 
 Section 6.5 Counterparts; Facsimile Signatures. This Agreement may be executed in two or
more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. This Agreement may be executed by facsimile signatures. 
 Section 6.6 Severability. If any provision of this Agreement shall be held to be illegal, invalid or unenforceable, such illegality,
invalidity or unenforceability shall attach only to such provision and shall not in any manner affect or render illegal, invalid or unenforceable any other provision of this Agreement, and this Agreement shall be carried out as if any such illegal,
invalid or unenforceable provision were not contained herein. 
 Section 6.7 Aggregation. All shares held or
acquired by an Investor and its Affiliates and the partners, members and shareholders of the Investor or its Affiliates shall be aggregated together for the purpose of determining the availability of any rights under this Agreement. 
 Section 6.8 Joint Product. This Agreement is the joint product of the Company and the other parties hereto and each provision hereof
and thereof has been subject to the mutual consultation, negotiation and agreement of the Company and the other parties hereto and shall not be construed against any party hereto. 
 [Signature pages follow] 
  

 18 

 IN WITNESS WHEREOF, the undersigned party has executed this counterpart signature page to the
Third Amended and Restated Investors’ Rights Agreement as of the date first written above. 
  

			
	COMPANY:
	
	COMVERGE, INC.
		
	By:	 	 /s/ Robert M. Chiste

		 	Robert M. Chiste
		 	Chief Executive Officer

			
	INVESTORS:
	
	AIR PRODUCTS AND CHEMICALS, INC.
		
	By:	 	 /s/ David J. Taylor

	Name:	 	David J. Taylor
	Title:	 	Vice President
	
	DATA SYSTEMS & SOFTWARE INC.
		
	By:	 	 /s/ G

	Name:	 	  

	Title:	 	  

	
	ENERTECH CAPITAL PARTNERS II L.P.
		
	By:	 	ECP II Management L.P.,
		 	Its General Partner
		
	By:	 	ECP II Management L.L.C.,
		 	Its General Partner
		
	By:	 	 /s/ Scott Ungerer

		 	Scott Ungerer
		 	Managing Director
	
	ECP II INTERFUND L.P.
		
	By:	 	ECP II Management L.L.C.,
		 	Its General Partner
		
	By:	 	 /s/ Scott Ungerer

		 	Scott Ungerer
		 	Managing Director

 [SIGNATURE PAGE TO COMVERGE, INC. THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT] 

					
	EASTON HUNT CAPITAL PARTNERS, L.P.
	By:	 	EHC GP, L.P.
	Its:	 	General Partner
	By:	 	EHC, Inc.
	Its:	 	General Partner
		
	By:	 	 /s/ Richard P. Schneider

	Name:	 	Richard P. Schneider
	Title:	 	Vice President & Secretary
	
	E.ON VENTURE PARTNERS
		
	By:	 	  

		 	        Peter Bachsleitner
		 	        Managing Director
		
	By:	 	  

		 	        Steffen Hasselwander
		 	        Managing Director
	
	PARTNERS FOR GROWTH L.P.
		
	By:	 	Partners for Growth, LLC,
		 	Its General Partner
		
	By:	 	 /s/ Andrew W. Kahn

		 	Andrew W. Kahn
		 	Manager

 [SIGNATURE PAGE TO COMVERGE, INC. THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT] 

			
	NTH POWER TECHNOLOGIES FUND II, L.P.,
	NTH POWER TECHNOLOGIES FUND II-A, L.P.
		
	By:	 	NTH POWER MANAGEMENT II, L.P. AND
		 	NTH POWER MANAGEMENT II-A, L.L.C.
		
	By:	 	NTH POWER L.L.C.
		 	THEIR MANAGEMENT AGENT
		
	By:	 	 /s/ Tim Woodward

	Name:	 	Tim Woodward
	Title:	 	Managing Director
	
	RIDGEWOOD COMVERGE, LLC
		
	By:	 	 /s/ Robert L. Gold

	Name:	 	  

	Title:	 	  

	
	SHELL INTERNET VENTURES B.V.
		
	By:	 	  

	Name:	 	  

	Title:	 	  

	
	NORSK HYDRO TECHNOLOGY VENTURES AS
		
	By:	 	 /s/ Richard Erskine

	Name:	 	Richard Erskine
	Title:	 	Managing Director

 [SIGNATURE PAGE TO COMVERGE, INC. THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT] 

			
	ROCKPORT CAPITAL PARTNERS, L.P.
		
	By:	 	RockPort Capital I, LLC, its General Partner
		
	By:	 	 /s/ Alexander Ellis III

	Name:	 	Alexander Ellis III
	Title:	 	Managing Member
	
	RP CO-INVESTMENT FUND I, L.P.
		
	By:	 	RP Co-Investment Fund I GP, LLC, its
		 	General Partner
		
	By:	 	 /s/ Alexander Ellis III

	Name:	 	Alexander Ellis III
	Title:	 	Managing Member
	
	EMERSON VENTURES INC.
		
	By:	 	 /s/ Randall D. Ledford

	Name:	 	Randall D. Ledford
	Title:	 	Sr. Vice President & Chief Technology Officer
	
	 /s/ Frank A. Magnotti

	Frank Magnotti
	
	 /s/ Richard Preston

	Richard Preston
	
	 /s/ John Rossi

	John Rossi
	
	 /s/ Robert M. Chiste

	Robert M. Chiste

 [SIGNATURE PAGE TO COMVERGE, INC. THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT] 

	
	  

	Joseph Esteves
	
	 /s/ Wayne Wren

	T. Wayne Wren

 [SIGNATURE PAGE TO COMVERGE, INC. THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT] 

			
	PRINCIPAL STOCKHOLDERS:
	
	DATA SYSTEMS & SOFTWARE INC.
		
	By:	 	 /s/ G

	Name:	 	  

	Title:	 	  

 [SIGNATURE PAGE TO COMVERGE, INC. THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT] 

	
	KEY MANAGEMENT:
	
	 /s/ Robert M. Chiste

	Robert Chiste
	
	 /s/ Wayne Wren

	T. Wayne Wren
	
	 /s/ John Rossi

	John Rossi
	
	 /s/ Richard Preston

	Richard Preston
	
	 /s/ Frank A. Magnotti

	Frank Magnotti
	
	 /s/ Coral Almog

	Coral Almog

 [SIGNATURE PAGE TO COMVERGE, INC. THIRD AMENDED AND RESTATED 
 INVESTORS’ RIGHTS AGREEMENT]Advanced Energy Management Agreement

 Exhibit 10.1 
 *** Indicates material has been omitted pursuant to a Confidential Treatment Request filed with the Securities and Exchange Commission. A complete copy of this agreement has been filed separately with the Securities and Exchange Commission

 ADVANCED 
 ENERGY
MANAGEMENT 
 AGREEMENT 
 between 
 Scientific-Atlanta, Inc. 
 and 
 Gulf Power Company, Inc. 
 Scientific-Atlanta 
 Proprietary Information 

 This Advanced Energy Management Agreement is dated as of September 16, 1996, 
 BETWEEN: 
 GULF POWER COMPANY, INC. 
 500 Bayfront Parkway 
 Pensacola, FL 32520-0231 
 (“Purchaser”) 
 AND: 
 SCIENTIFIC-ATLANTA, INC. 
 Control Systems Division 
 4311 Communications Drive 
 Norcross, Georgia 30093 
 (“Seller”) 
 WHEREAS, Purchaser and Seller desire to work together to provide “Advanced Energy
Management” and other value added services for Purchaser and its customers; and 
 WHEREAS, Purchaser desires to purchase from Seller, and Seller
desires to sell, deliver and install for Purchaser, components for a two way Advanced Energy Management system, as defined in Exhibit A (the “System”); 
 WHEREAS, Purchaser further desires to purchase from Seller, and Seller desires to provide for Purchaser, certain project management services in connection with the creation and implementation of the System;

 NOW, THEREFORE, in consideration of the mutual covenants herein expressed, the adequacy and sufficiency of which are hereby acknowledged, Purchaser and
Seller agree as follows: 
  

	1.	DEFINITION OF TERMS 

 For the purposes of this
Agreement, capitalized terms shall have the meanings set forth below. 
  

	1.1	“Additional Costs” shall have the meaning set forth in Section 5.1. 

  

	1.2	“Advanced Energy Management System” or “AEM System” or “System” shall have the meaning set forth on Exhibit A.

  

	1.3	“Agreement” means this Advanced Energy Management Agreement and the schedules, exhibits and appendices hereto. 

  

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	1.4	“Approved Purchasers” means Purchaser’s parent company, The Southern Company, and the direct and indirect wholly owned subsidiaries of The Southern
Company. 

  

	1.5	“Customer” means Purchaser’s customers for electric utility service. 

  

	1.6	“Customer Premise Equipment” or “CPE” means Seller’s MainGate Gateway which is located outside a Customer’s home or business, and any
in-home or in- business devices consisting of thermostats and load control modules. 

  

	1.7	“Defect” means material damage, not including purely cosmetic damage, to a Product or any material adverse deviation by the Product from its Specificities
due to materials or workmanship. 

  

	1.8	“Delivery” or “Delivered” shall have the meaning set forth in Section 6.1. 

  

	1.9	“Delivery Schedule” means that schedule set forth in Exhibit C, as modified from time to time by purchase orders and quotes initiated and accepted pursuant to
Section 16. 

  

	1.10	“Destination Point” shall mean Purchaser’s warehouse located at 55 North Q Street, Pensacola, Florida 32501, or such other location as mutually agreed to
from time to time. 

  

	1.11	“Effective Date” shall have the meaning set forth in Section 4. 

  

	1.12	“Forecast” shall mean the rolling six-month forecast described in Exhibit C. 

  

	1.13	“Parties” means the Purchaser and the Seller. 

  

	1.14	“Payment Schedule” means that schedule set forth in Exhibit D, as modified from time to time by purchase orders and quotes initiated and accepted pursuant to
Section 16. 

  

	1.15	“Prices” means the prices set forth in Exhibit D, as modified from time to time by purchase orders and quotes initiated and accepted pursuant to Section 16.

  

	1.16	“Products” means the products listed or described on Exhibit B, as modified from time to time by purchase orders and quotes initiated and accepted pursuant to
Section 16. 

  

	1.17	“Proprietary Information” shall have the meaning set forth in Section 10.1. 

  

	1.18	“Purchaser’s Pre-Installation Obligations” means those obligations set forth in Exhibit F. 

  

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	1.19	“Return Material Authorization” or “RMA” shall have the meaning given in Exhibit E. 

  

	1.20	“Services” means those project management and other services to be performed by Seller set forth in Exhibit B, as modified from time to time by purchase orders
and quotes initiated and accepted pursuant to Section 16. 

  

	1.21	“Software” means that software set forth in Exhibit B or included with a Product. 

  

	1.22	“Software License” means that certain Software License Agreement substantially in the form of Exhibit G. 

  

	1.23	“Warranty Period” shall have the meaning set forth in Section 9.2. 

  

	2.	PARTIES 

 The Parties to this Agreement are the
Purchaser, Gulf Power Company, Inc., a corporation organized under the laws of the State of Maine, and the Seller, Scientific-Atlanta, Inc., a corporation organized under the laws of the State of Georgia. 
  

	3.	SCOPE 

 This Agreement governs the ongoing purchase
by Purchaser and the ongoing sale, installation and Delivery by Seller of the Products and Services in accordance with the Delivery Schedule and the payment therefor in accordance with the Prices and Payment Schedule. Purchaser shall make
annual minimum purchases of not less than *** units per year. With respect to additional Products to be purchased by Purchaser, Purchaser shall submit to Seller the Forecast described in Exhibit C not less frequently than every month
during the term of this Agreement. It is further understood and agreed that Seller shall sell and provide Products to Approved Purchasers who have executed the agreement set forth in Exhibit H. In the event of authorized purchases by Approved
Purchasers in accordance with such agreement, the references in this Agreement to ”Purchaser” shall be deemed to include “Approved Purchasers”, and any Approved Purchaser, by placing any purchase order for Products
pursuant to this Agreement shall be deemed to have agreed to accept the obligations of Purchaser under this Agreement with respect to such purchase order. Purchaser agrees that it shall be responsible for informing Approved Purchasers of their
obligations as Purchasers under this Agreement, and for obtaining such Approved Purchasers’ written undertaking to be bound by the obligations of Purchaser hereunder, by requiring them to execute the agreement set forth in Exhibit H, and for
providing a copy of such written undertaking to Seller. However, Purchaser shall not be liable for the obligations of any Approved Purchaser under this Agreement or in any order by an Approved Purchaser initiated and accepted in accordance with the
provisions hereunder. It is further understood and agreed that Purchaser and the Approved Purchasers shall have the right to purchase quantities of System Products under 
  

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 this Agreement for resale to others. Technical support and implementation services for any Products
so resold shall be negotiated by Seller and Purchaser (or the Approved Purchaser, as applicable) upon request. 
  

	4.	EFFECTIVE DATE AND EXPIRATION DATE 

 This Agreement
shall become effective on the date first written above (the “Effective Date”); provided, however, that Seiler shall have no obligations under this Agreement until the date on which Seller has received a Purchase Order from Purchaser. This
Agreement shall be effective for a period of eight (8) years, unless sooner terminated as provided herein. 
  

	5.	PRICE AND PAYMENT; MOST FAVORED CUSTOMER 

  

	5.1	Price and Additional Costs. Prices for Products and Services are set forth in Exhibit D to this Agreement. Prices include charges for packaging and crating Products and
installing the head-end equipment, but do not include freight, insurance, other installation or any taxes assessed or imposed on the sale of the Products (collectively, “Additional Costs”). Any Additional Costs shall be the responsibility
of Purchaser, provided that Seller shall use reasonable efforts to minimize such Additional Costs, consistent with the Purchaser’s shipping instructions. Seller shall hold the Prices firm on Exhibit D for a period of *** from the Effective
Date, after which the Seller may increase prices not more frequently than *** based on annual percentage increases in the ***. 

  

	5.2	Payment Terms and Schedule. Unless otherwise agreed in writing by the Seller, payment is due thirty (30) days after the date of invoice. 

  

	5.3	Invoicing for and Payment of Additional Costs. Seller shall invoice Purchaser for Additional Costs as they occur, but no more frequently than monthly. Payment is due
thirty (30) days after the date of invoice. 

  

	5.4	Most Favored Customer Pricing; Technological Innovations. 

  

	 	a.	After the Effective Date of this Agreement, Purchaser shall be entitled to purchase the Products offered in this Agreement at prices no less favorable than those paid, during the
term of this Agreement, by a purchaser for the same, substantially similar or functionally equivalent Products, in equivalent quantities and product mixes, over an equivalent period of time, taking into consideration purchase commitment levels,
warranty and any other terms and conditions which may be considered by Seller to have a financial impact on value. The price to Purchaser shall be adjusted only for purchase orders accepted after the date the more favorable price as
determined herein is paid by a subsequent purchaser. 

  

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	 	b.	In the normal course of its business, Seller conducts research and development activities, some of which may pertain to the Products and/or Services to be supplied under this
Agreement. During the term of this Agreement, Seller shall keep Purchaser advised at its request as set forth in Section 5.4(c) concerning the results of such activities and any new or improved technologies that may result from such activities
after proper steps have been taken to secure Seller’s statutory rights in and to such technologies. Seller shall cooperate with Purchaser to accomplish mutually desired, technologically feasible modifications to the Products, and such
modifications shall be provided to Purchaser at a mutually agreed upon cost.

  

	 	c.	During the term of this Agreement, Purchaser shall be entitled to inquire of Seller on a quarterly basis as to the existence of any more favorable pricing for the Products and any
potential modifications or technological improvements with respect to the Products, each as provided in this Section 5.4. In addition and no more frequently than annually, Purchaser may request that a representative of Seller travel to
Purchaser’s principal offices for the purposes of discussing pricing and technology issues. Whether in responding to a telephonic inquiry or in making a visit to Purchaser’s principal offices as contemplated herein. Seller shall only be
obligated to disclose such information as Seller is not otherwise contractually or legally prevented or restricted from disclosing. 

  

	6.	DELIVERY 

  

	6.1	Shipment; Random Inspection. Delivery shall occur when Seller tenders the Products to the carrier for shipment F.O.B. Destination (“Delivery” or
“Delivered”). Freight charges will be prepaid by Seller and invoiced to the Purchaser. Seller may make partial shipments of the Products. Purchaser shall have the right, for a period of ten (10) business days following Delivery
to conduct spot and sample inspections of the Products shipped to verify the absence of in-transit damage or apparent out-of -the-box failures of such Products. Purchaser shall have the right to reject Products that are either damaged in
transit (other than cosmetic defects not affecting the functionality of the Products or materially compromising the appearance of the Products) or contain apparent, verified out-of-box failures, provided in each case Purchaser so notifies Seller
within such ten (10) day period, by sending written notice of rejection (preferably by facsimile) specifically setting forth the damage suffered or failure verified. Upon receipt of such notice, Seller shall initiate remedial or corrective
action designed to replace damaged or defective units as quickly as practicable, taking into account Purchaser’s program progress and inventory on hand. 

  

	6.2	Rejection Period; Returns. Purchaser’s right to reject a particular Product shipment shall cease upon the earlier to occur of ten (10) business days following
Delivery of such shipment or first commercial use of any Products contained in such shipment. “Acceptance” of a shipment of Products shall be deemed to occur 

  

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	  	on the date of expiration of the rejection period, if no claim is made during such period, or on the date conforming goods are Delivered to replace the damaged or failing goods.
Purchaser shall assist Seller in presenting and verifying any claim for in-transit damage to the appropriate shipping carrier. Purchaser’s rejection of any Products hereunder shall not affect Purchaser’s obligation to pay for Products
delivered, provided, however, that if replacement Products are not delivered to Purchaser within forty (40) days from the date of rejection, then Purchaser shall be entitled to a credit against future purchases in the amount of the invoice for
the damaged or defective Products. If any Product returned by a Purchaser pursuant to this Section is not damaged, defective or nonconforming, then Seller shall bill the Purchaser at Seller’s standard rates for services performed with
respect to such returned Products. Purchaser shall pay the costs of shipping any damaged or defective units (which costs Purchaser shall use reasonable efforts to minimize) back to Seller and shall retain all invoices and other
documentation evidencing such return (collectively, “Return Documentation”). No more frequently than quarterly, Purchaser shall furnish Seller with an invoice setting forth the shipment costs incurred pursuant to this Section,
together with all Return Documentation. Seller shall grant Purchaser a credit against future purchases for each correct invoice for returns where damages and/or defects were actually found. 

  

	6.3	Time of Delivery. Seller will use its reasonable efforts to comply with the Delivery Schedule subject to Purchaser’s complying with Purchaser’s Pre-Installation
Obligations and other obligations hereunder, including, without limitation, its payment obligations. Seller will promptly advise Purchaser if Seller anticipates a material variance from the Delivery Schedule and the date when Delivery may be
expected. 

  

	7.	TITLE AND RISK OF LOSS 

 Title and risk of loss to
Products shall pass to Purchaser upon Delivery of the Products. Any loss or damage to Products prior to Delivery shall be at Seller’s risk. 
  

	8.	INSTALLATION 

 Seller shall perform the project
management Services set forth on Exhibit B. In addition, Seller shall perform the installation Services with respect to the head-end and certain communication interfaces as set forth in Exhibit B. Performance of any installation Services shall be
contingent upon Purchaser completing the Purchaser’s Pre-Installation Obligations specified in Exhibit F. Purchaser shall be responsible for installing or having installed the CPE and other System components not specifically
identified on Exhibit B under installation services. 
  

	9.	WARRANTIES 

  

	9.1	Warranties. Seller hereby represents and warrants to Purchaser under this Agreement that: 

  

	 	a.	Each Product shall conform to its specifications in effect on the date of shipment in all material respects and be free from material Defects in workmanship and materials; provided,
however, that Software included with any Product or provided separately shall conform to the warranty set forth in the Software License; 

  

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	 	b.	Subject to any required installation, the Products shall be capable of being operated within the System in accordance with the description set forth on Exhibit A in all material
respects; and 

  

	 	c.	Each Service provided hereunder shall be performed in a workmanlike manner in accordance with good commercial practices. 

  

	9.2	Warranty Period. The warranties set forth in Section 9.1 above shall apply for the period (the “Warranty Period”) beginning, with respect to head-end
equipment, on the date of Acceptance and ending *** months thereafter and beginning, with respect to other Products, on the date of in-home installation and ending *** months thereafter, provided, however, that in no event shall the Warranty Period
for non head-end equipment exceed *** months from the date of Delivery of such equipment and further provided, however, that Software included with any Product or provided separately shall conform to the warranty set forth in the Software License.

  

	9.3	Warranty Replacement or Repair. During the Warranty Period and subject to the provisions of Section 9.4, Seller, at its option and expense, shall repair or replace any
Product not conforming to the above warranty. The procedure for effecting warranty replacement or repair is set forth in Exhibit E. In the case of a Service, during the Warranty Period, Seller shall reperform a Service not conforming to the above
warranty, or so much of the Service as is reasonably necessary to effect conformance therewith. During the Warranty Period, Purchaser shall provide an office at its headquarters location for use solely by Seller’s project manager and service
representative. 

  

	9.4	Potentially Injurious Design and Latent Defects. In the event that Seller discovers a design defect or a latent defect in a Product that requires remedial action to
prevent a threat to life or property, Seller shall notify Purchaser to that effect and shall work with Purchaser to develop a mutually agreeable plan of remedial action (which may include, without limitation, substituting or upgrading Products) (the
“Plan”). The Plan shall include a proposed budget of costs for any action to be taken pursuant thereto for which Seller shall be responsible. 

  

	9.5	Exclusions. Seller shall have no obligations with respect to any Defects, damage, or nonconformances of Products that result from: installation by Purchaser or
its agents other than in accordance with its specifications or in a workmanlike manner in accordance with good commercial practices, operation of the Products or the System outside of suggested parameters or failure to maintain Products as
required or desired; unauthorized repair; tampering; vandalism; physical abuse; or 

  

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	  	from accidents, or acts of God (except for weather-related damage to a Product where the Product is specifically represented as resistant to the type of climatic damage involved,
provided that Seller shall have no obligation with respect to multiple lightning strikes or damage caused by extraordinarily severe weather conditions), or other such occurrences after Delivery. If any Product returned by a Purchaser for repair or
replacement contains a defect or nonconformance caused by a factor outside the scope of Seller’s warranty or if the returned Product is not defective or nonconforming, then Seller shall bill the Purchaser at Seller’s standard rates
for services performed with respect to such defective returned unit. 

  

	9.6	Replacement Parts Availability. Seller shall use its reasonable efforts to maintain the availability of replacement parts for Products Delivered under this
Agreement for five (5) years after Delivery thereof. 

  

	9.7	Limitation on Warranties. THE EXPRESS WARRANTIES IN THIS SECTION 9 AND IN THE SOFTWARE LICENSE SET FORTH SELLER’S SOLE AND EXCLUSIVE WARRANTIES WITH
RESPECT TO THE PRODUCTS AND SERVICES HEREUNDER AND THERE SHALL BE NO IMPLIED OR STATUTORY WARRANTIES, INCLUDING ANY WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR NONINFRINGEMENT. THE SOLE REMEDIES OF PURCHASER FOR
ANY BREACH OF WARRANTY ARE THE REMEDIES SET FORTH IN THIS SECTION 9 AND THE SOFTWARE LICENSE. SELLER RECOGNIZES THAT CERTAIN PRODUCTS TO BE PROVIDED HEREUNDER MAY BE PLACED ON OR IN THE HOMES OR BUSINESSES OF PURCHASER’S
CUSTOMERS AND THAT PURCHASER SHALL BE ENTITLED TO MAKE WARRANTY CLAIMS OTHERWISE MEETING THE CONDITIONS SET FORTH IN THIS SECTION 9 NOTWITHSTANDING SUCH PLACEMENT; HOWEVER, SELLER SPECIFICALLY DISCLAIMS ANY AND ALL WARRANTIES TO CUSTOMERS OF
PURCHASER. 

  

	10.	CONFIDENTIALITY 

  

	10.1	Proprietary Information. Any information or data fixed in a tangible, medium and furnished by one Party to the other Party and conspicuously marked as the confidential or
proprietary information of the disclosing Party, or if provided orally, stated to be confidential or proprietary at the time the information is provided and described in a written memorandum within thirty (30) days of disclosure
(hereinafter referred to as “Proprietary Information”) is and shall remain the property of the disclosing Party. The receiving Party shall not disclose Proprietary information to anyone other than its employees who have agreed in
writing to hold such Proprietary Information in trust and confidence and who have signed a statement in the form attached hereto as Exhibit I, and who need to use such Proprietary Information for the purposes of this Agreement.

  

	10.2	Exceptions Required by Law. Notwithstanding the provisions of Section 10.1, a Party receiving Proprietary Information may disclose it (i) pursuant to an
order or judgment of any court or governmental body, provided that the disclosing Party 

  

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	  	has given notice of such order or judgment to the other Party prior to making such disclosure, or (ii) pursuant to any law, rule or regulation, provided that the
disclosing Party has received a written opinion of its counsel that such disclosure is required, notified the other Party in advance of such disclosure, and, when practical, requests confidential treatment by the entity to which the disclosure
is made of such information, 

  

	10.3	Other Exceptions. The restrictions and obligations in Section 10.1 shall no longer apply to any item of Proprietary Information after it: (i) becomes generally
available to the public through any means other than a breach by the receiving Party of its obligations under this Agreement; (ii) is disclosed to the receiving Party without an obligation of confidentiality by a third party who has the right
to make such disclosure; (iii) is in possession of the receiving Party without obligations of confidentiality; or (iv) is required to be disclosed to enforce rights under this Agreement but only to the extent necessary to enforce such
rights. 

  

	11.	PROPRIETARY RIGHTS INDEMNIFICATION 

  

	11.1	Seller shall, at its expense, settle and/or defend, and shall indemnity Purchaser against, and shall pay all costs, damages, and attorneys’ fees (other than attorneys’
fees and punitive damages attributable to acts of Purchaser) finally awarded in, any demand, claim, suit, action or proceeding by a third party against Purchaser to the extent based upon a finding that the design or construction of the Product, as
furnished, infringes the intellectual property rights of such third party provided that Purchaser promptly notifies Seller in writing of any allegation of such infringement and Seller is given the right at its expense to settle such charge and,
through attorneys of its own choice, to defend or control the defense of any suit based upon such charge; and the entire obligation of Seller hereunder to indemnify Purchaser shall not exceed the total amount paid to Seller by Purchaser for all
Products purchased under this Agreement. 

  

	11.2	In addition, in the event that the use of the Product becomes, or in the opinion of Seller may become the subject of any claim, suit or proceeding or if the manufacture, use or sale
of the Product is enjoined, Seller may, at its option and expense, do one or more of the following: 

  

	 	a.	obtain for Purchaser the right to use the Product; 

  

	 	b.	modify the Product so that it becomes noninfringing or replace the Product with a noninfringing product, while remaining in compliance with Seller’s published specifications in
effect at the date of this Agreement; in all material respects; or 

  

	 	c.	if Seller cannot reasonably effect (a) or (b) above, cease to deliver the Product to Purchaser and allow Purchaser to return the allegedly infringing Product to Seller,
and upon return pay to Purchaser an amount equal to all amounts paid by Purchaser to Seller for the Product less depreciation (based on a five-year life, with straight-line depreciation) up to the time that Purchaser ceases to use the Product
as a result of such claim. 

  

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 Seller shall communicate and consult with Purchaser as to the ability of Seller to effect alternatives
(a) or (b) above and the resulting impact on any Product or Product availability or Delivery Schedule. In the event Seller concludes that it cannot reasonably effect (a) or (b), then Seller shall work with Purchaser in order
to minimize the costs and disruption to Purchaser’s business resulting from such action. Should the System or any non-infringing Product become inoperable due to cessation of delivery under (c) above of an allegedly infringing
Product, Purchaser shall have the right to return the inoperable Products and upon return, Seller shall pay to Purchaser an amount equal to all amounts paid by Purchaser to Seller for the returned Products less depreciation (based on a
five-year life, with straight-line depreciation) up to the time that the Products become inoperable as a result of the infringement claim. 
  

	11.3	Notwithstanding any other provision of this Paragraph, Seller shall have no liability for any infringement to the extent arising from or occurring as a result of:

  

	 	a.	use of the Product in combination with other items unless Seller sold, made or specifically recommended them all as a combination; 

  

	 	b.	incorporation of a specific design or modification at the request of Purchaser, other than a request for a particular feature where Purchaser does not mandate the mode of
implementing such new feature; or 

  

	 	c.	the failure by Purchaser to implement changes, replacements or new releases recommended by Seller and made available at no-cost to Purchaser, where the infringement would
be avoided by such changes, replacements or new releases, and where the Product would still materially conform to the Specifications following such changes, replacements or new releases. 

  

	11.4	This Section sets forth the entire liability of Seller to Purchaser with respect to the infringement of intellectual property by the Product, and Seller makes no warranty of
noninfringement, express or implied. 

  

	12.	GENERAL INDEMNIFICATION 

 Each Party shall indemnity
and hold harmless the other, its directors, officers, employees, agents, subsidiaries, affiliates, subcontractors and assignees, or any of them, from and against any losses, damages, liabilities, expenses, costs, claims, suits, demands,
actions, causes of action, proceedings, judgments, assessments, deficiencies and charges on account of physical damage to tangible property and personal injuries, including death, to all persons, arising from any negligent act or omission or willful
misconduct of the indemnifying Party. 
  

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	13.	LIMITATION OF LIABILITY 

 SELLER SHALL NOT BE LIABLE
TO PURCHASER FOR INDIRECT, SPECIAL, INCIDENTAL, CONSEQUENTIAL, PUNITIVE, OR EXEMPLARY DAMAGES ARISING OUT OF OR IN CONNECTION WITH THIS AGREEMENT OR ANY ACTS OR OMISSIONS ASSOCIATED THEREWITH OR RELATING TO THE USE OF ANY
PRODUCTS OR SERVICES FURNISHED, WHETHER SUCH CLAIM IS BASED ON BREACH OF WARRANTY, CONTRACT, TORT OR OTHER LEGAL THEORY AND REGARDLESS OF THE CAUSES OF SUCH LOSS OR DAMAGES OR WHETHER ANY OTHER REMEDY PROVIDED HEREIN FAILS. 
  

	14.	EXCUSABLE DELAYS 

 Neither Party to this Agreement
shall be liable for any delay or non-performance hereunder resulting from: acts of God (except for weather-related damages to Products described in Section 9.4); severe weather conditions; strikes; war; riots; civil disorder, earthquakes; any
law, order, proclamation, regulation, ordinance, demand or requirement of any governmental agency; freight embargoes; custom delays at the port of shipment or destination; delays beyond Seller’s reasonable control in the supply of Products or
Product components by third party suppliers; or any other condition or occurrence whatsoever be and the reasonable control of such Party. If the performance of this Agreement is delayed, prevented, restricted or interfered with by reason of any
such event, (a) the Party whose performance is delayed, prevented, restricted or interfered with shall give prompt written notice to the other Party of the event and shall be excused from performance to the extent delayed or prevented;
provided, however, that the Party whose performance is prevented or delayed shall take reasonable steps to avoid or remove such causes of nonperformance and shall continue performance whenever and to the extent such causes are removed; and
(b) if it appears that a time for delivery or performance scheduled pursuant to this Agreement will be extended for more than six (6) months, the Party receiving notice under subsection (a) above shall have the right to
terminate, by written notice to the other Party, any portion of this Agreement covering the delayed performance and the obligations and liabilities of both Parties with respect to such portion of the Agreement shall thereupon lapse and terminate,
except to the extent such obligations or rights are intended to survive pursuant to this Agreement. 
  

	15.	SOFTWARE LICENSE 

 For any Software delivered
pursuant to this Agreement, Seller shall provide Purchaser with the then-current version of the Software, and shall grant a nonexclusive, fully paid-up license to use and execute the Software on the appropriate Product in the Designated Countries to
which the Product and Software are supplied provided Purchaser accepts and executes the Software License. 
  

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	16.	REQUEST FOR CHANGES 

  

	16.1	Purchaser-Initiated Changes. Should Purchaser desire Seller to change the Products or Services to be provided under this Agreement or the Prices, Delivery Schedule or
Payment Schedule with respect thereto, Purchaser shall submit to Seller a written request for change relating to the Products, Services, Prices, Delivery Schedule or Payment Schedule affected in the form of a purchase order signed by Purchaser
(hereinafter referred to as a “Request For Change” or RFC”). Seller shall evaluate each such RFC at no additional cost to Purchaser and submit to Purchaser a written response thereto as soon as practical following
Seller’s receipt of the RFC. Seller’s failure to respond shall be deemed a rejection of the RFC. Seller’s response shall be considered a firm quote only for twenty (20) days after it is issued. Within twenty (20) days after
Seller issues its response, Purchaser shall notify Seller whether it wishes to proceed with the proposed RFC on the basis of Seller’s response. 

  

	16.2	Seller-Initiated Changes. Should Seller desire to change the Products or Services to be provided under this Agreement or the Prices, Delivery Schedule or Payment
Schedule with respect thereto, Seller shall submit to Purchaser a written quote relating to the Products, Services, Prices, Delivery Schedule or Payment Schedule affected. Seller’s RFC shall be considered a firm quote only for twenty
(20) days after it is issued. Within twenty (20) days after Seller issues its quote, Purchaser shall notify Seller whether it wishes to proceed with the proposed quote. A new quote shall not be required for any Seller-initiated changes
which do not materially and adversely affect the operation of a Product, including without limitation, a change in one or more vendors or contractors of components of the Products (provided, however, that a change in the primary, thermostat vendor
shall require prior notice to and approval from, Purchaser, which approval shall be unconditional and shall not be unreasonably withheld or delayed). 

  

	16.3	Changes Restricted to Single Orders. Any changes with respect to the terms and conditions of this Contract effected by means; of a purchase order or a quote, whether
initiated by Seller or Purchaser, shall be restricted to the Products and Services to be provided and/or sold pursuant to such purchase order or quote, as applicable. 

  

	17.	TERMINATION 

  

	17.1	Termination of Agreement. This Agreement may be terminated upon any of the following events after written notice: 

  

	 	a.	By mutual agreement of the Parties; 

  

	 	b.	By either Party in the event that the other Party makes a general assignment for the benefit of creditors; 

  

	 	c.	By either Party in the event that the other Party becomes insolvent, or voluntary or involuntary proceedings are instituted by or against such Party 

  

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	 	  	under any federal, state, or other bankruptcy or insolvency laws and such proceedings are not terminated within ninety (90) days, or a receiver is appointed for such Party;

  

	 	d.	By either Party in the event that the other Party ceases to function as a going concern; 

  

	 	e.	By either Party in the event that the other Party fails to perform any material provision of this Agreement and does not cure such failure within a period of sixty
(60) days after receipt of written notice from the other Party specifying such failure and stating its intention to terminate this Agreement if such failure is not cured; 

  

	 	f.	By either Party in accordance with the provisions of Section 14 hereof, or 

  

	 	g.	At any time on or after May 31, 1999, by Purchaser upon one hundred eighty (180) days advance notice where such notice is accompanied by the payment of the applicable
“Termination Fee” (as provided below), together with the payment of all outstanding Product invoices, as well as Purchaser’s commitment to pay for all Product invoices up to and including the date of termination. In order to be
entitled to terminate this Agreement pursuant to this Section, Purchaser shall pay to, Seller the “Termination Fee” as calculated below, which the parties acknowledge and agree is reasonable in light of the difficulty in establishing the
harm and loss to Seller from Purchaser’s termination of this Agreement prior to its scheduled expiration. For purposes of this Agreement, the “Termination Fee” shall be equal to ***. The Termination Fee shall be calculated by
Seller after consultation with Purchaser. 

  

	18.	NOTICES 

  

	18.1	Written Notification. A Party shall give any notice required or permitted to be given to the other Party under this Agreement in writing: 

  

			
	If to Seller, to:	 	with a copy to:
	Scientific-Atlanta, Inc.	 	 Scientific-Atlanta, Inc.

	Control Systems Division	 	Office of General Counsel
	4311 Communications Drive	 	One Technology Parkway, South

  

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	Norcross, Georgia 30093	  	Norcross, Georgia 30092
	Attn: President	  	
		
	If to Purchaser, to:	  	with a copy to:
	Gulf Power Company, Inc.	  	Beggs & Lane
	500 Bayfront Parkway	  	700 Blount Building
	Pensacola, FL 32520-0231	  	Pensacola, FL 32576
	Attn: Patrick Daley	  	Attn: Jeffrey A. Stone, Esquire
	Telephone: 904/444-6631	  	Telephone: 904/432-2451
	Facsimile: 904/444-6006	  	Facsimile: 904/469-3331
		
		  	                and
		
		  	Gulf Power Company, Inc.
		  	500 Bayfront Parkway
		  	Pensacola, FL 32520-0231
		  	Attn: David Eggart
		  	Telephone: 904/444-6022
		  	Facsimile: 904/444-6237

 Such notice shall be deemed to be duly given on the earlier of: (i) actual receipt,
irrespective of whether sent by telex, cable, facsimile transmission (followed by mailing of a hard copy), overnight courier or other method, or (ii) on the tenth day after mailing by registered or certified airmail from the country in which
the notice originated, return receipt requested and postage prepaid. 
  

	18.2	Change of Address. A Party may change its address for notification purposes by giving at least thirty (30) days prior written notice of the new address and the date upon
which the change will become effective. 

  

	19.	COORDINATION OF MEDIA RELEASES 

 All media releases,
public announcements or public disclosures (including but not limited to promotional or marketing material) by Seller or Purchaser which identify the other Party in the context of this Agreement shall be coordinated with and approved in writing by
the other Party prior to the release thereof. This Section shall not affect or prohibit any disclosure which either Party believes, in good faith, to be required by law or regulation. 
  

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	20.	GENERAL 

  

	20.1	*** 

  

	20.2	Binding Effect. This Agreement shall be binding on and inure to the benefit of the Parties and their respective successors and assigns, but no Party shall have the power to
assign this Agreement or any rights or obligations hereunder without the prior written consent of the other Party, which consent shall be unconditional and shall not be unreasonably withheld or delayed. 

  

	20.3	Severability. Any provision of this Agreement which is prohibited or unenforceable in any jurisdiction shall be ineffective to the extent of such prohibition or
unenforceability without invalidating the remaining provisions hereof in that jurisdiction or affecting the validity or enforceability of such provisions in any other jurisdiction. If a portion of this Agreement is deemed ineffective and the
remainder of this Agreement is capable of substantial performance without working a substantial injustice upon one Party, it is the Parties’ intent that the remainder of this Agreement be enforced. 

  

	20.4	Waiver. No delay or omission by either Party to exercise any right or power shall impair any such right or power or be construed to be a waiver thereof. A waiver by any Party
of any of the covenants, conditions or contracts to be performed by the other or any breach thereof shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or contract herein contained. No
change, waiver or discharge hereof shall be valid unless in writing and signed by an authorized representative of the Party’ against which such change, waiver, or discharge is sought to be enforced. 

  

	20.5	Cumulative Remedies. The rights and remedies provided, in this Agreement or otherwise under applicable laws shall be cumulative and the exercise of any particular right or
remedy shall not preclude the exercise of any other rights or remedies in addition to, or as an alternative of, such right or remedy, except as expressly provided otherwise in this Agreement. 

  

	20.6	Number and Gender. As used herein, the singular shall include the plural and the plural may refer to only the singular. The use of any gender shall be applicable to all
genders. The captions contained herein are for purposes of convenience only and are not a part of this Agreement. 

  

	20.7	No Third Party Benefit. Nothing in this Agreement, expressed or implied, is intended or shall be construed to confer upon or give any rights, benefits or

  

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	  	obligations to any person, firm, or corporation, other than: (a) the Parties hereto and their respective successors and assigns; and (b) any Approved Purchasers
who have submitted a purchase order to Seller and have agreed to be bound by the terms of this Agreement as provided herein. Any remedy or claim by reason of this Agreement or any term, covenant or condition hereof, shall be for the sole
and exclusive benefit of the Parties hereto. 

  

	20.8	Relationships of the Parties. It is expressly understood that Seller and Purchaser intend by this Agreement to establish the relationship of independent contractors, and
do not intend to undertake the relationship of principal and agent or to create a joint venture or partnership between them or their respective successors in interest. Neither Seller nor Purchaser shall have any authority to create or assume, in the
name or on behalf of the other Party, any obligation, expressed or implied, nor act or purport to act as the agent or the legally empowered representative of the other Party hereto for any purpose whatsoever. 

  

	20.9	Applicable Law. This Agreement shall be interpreted; construed and governed by the laws, other than choice of law rules, of the State of Georgia. 

  

	20.10	Entire Agreement. This Agreement, including ail exhibits hereto, represents the entire understanding and agreement between the Parties hereto with respect to the subject
matter hereof, supersedes all prior agreements, negotiations, proposals, responses to proposals and quotations, including, without limitation, Seller’s proposal response dated November 29, 1996, and all supplementary proposals and
responses, and can be modified, amended, supplemented or changed only by an agreement in writing which makes specific reference to this Agreement and which is signed by both Purchaser and Seller. 

  

	20.11	Survival of Provisions. The obligations of both the Seller and the Purchaser under this Agreement, which by their nature would continue beyond the termination,
cancellation or expiration of this Agreement shall survive termination, cancellation or expiration of this Agreement. 

 IN
WITNESS WHEREOF, the Parties hereto have caused this Agreement to be executed as of the date first written above. 
  

							
	 PURCHASER:
 GULF POWER COMPANY,
INC.
	 	 SELLER:
 SCIENTIFIC-ATLANTA,
INC.

				
	By:	 	 /s/ John E. Hodges Jr
	 	By:	 	 /s/ Conrad Wesbaerg

	Name:	 	John E. Hodges Jr	 	Name:	 	Conrad Wesbaerg
	Title:	 	VP	 	Title:	 	Sr V.P.

  

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 LIST OF EXHIBITS 
  

			
	Exhibit	 	 Description

	A	 	ADVANCED ENERGY MANAGEMENT
		
	B	 	PRODUCT AND SERVICES DESCRIPTION
		
	C	 	DELIVERY SCHEDULE
		
	D	 	PRICES AND PAYMENT SCHEDULE
		
	E	 	WARRANTY REPAIR/REPLACEMENT PROCEDURE
		
	F	 	PURCHASER’S PRE-INSTALLATION OBLIGATIONS
		
	G	 	FORM OF SOFTWARE LICENSE
		
	H	 	AGREEMENT TO BE BOUND AS AN “APPROVED PURCHASER”
		
	I	 	ADKNOWLEDGMENT OF CONFIDENTIALITY OBLIGATIONS
		
	J	 	***
		
	K	 	INTERACTIVE VIDEO DATA SERVICES

 Scientific-Atlanta 
 Proprietary Information 

 EXHIBIT A 
 Advanced Energy Management (AEM): System Description 
 A key element of the AEM system is the variable spot pricing concept, which
varies the price of electric energy during the day and seasons in relation to the cost of producing energy (e.g., Gulf Power’s RSVP Rate). Although the equipment may provide the capability for direct load control or other functionality,
primary emphasis is placed on the AEM system’s ability to automatically respond to price signals as the means for effecting load shape changes. Thus, there must be a high degree of integration between the pricing and control components of the
AEM system. 
 The AEM system will connect the utility and the customer through communications links to the customer’s home. As a
result, the customer’s system is able to communicate with the utility and, as price levels change, the customer’s pre-programmed instructions regarding their desired comfort levels will adjust electricity use for heating, cooling, water
heating and another selected appliance automatically. Therefore, the customer’s control of the electric bill is accomplished by allowing him to choose different comfort levels at different price levels in accordance with his individual
lifestyles. 
 The AEM systems shall be customer-programmable and shall have the ability to automatically respond to a fixed schedule of
seasonally differentiated time of use prices and also receive and respond to critical price signals communicated to participating households on a real-time basis. 
 A basic AEM system would allow the customer to control more precisely the amount of electricity purchased for heating, cooling, water heating, and another selected load through customer-programmed automated responses
by their HVAC systems, water heaters, and all other major electricity consuming device or appliance. These systems, devices, ;and appliances are programmed by the customer to automatically respond to changes in electricity prices and to changes in
day-type, time-of-day, and season. 
 The various components of the AEM system installed in the customer’s home, as well as the
components installed at Gulf Power and, in between, provide communication capability between the customer and the utility. The combination of the AEM system and Gulf’s innovative variable rate concept, will provide consumers with the
opportunity to modify their usage of electricity in order to purchase energy at prices that are somewhat lower to significantly lower than standard rates, most of the time. Further, the communication capabilities of the AEM system will allow Gulf
Power to send a critical price signal to the customer’s premises during extreme peak load conditions. The result is a demand reduction attributable to pre-determined thermostat and relay settings, chosen by the participating customer,
which are automatically activated upon receipt of the critical price signal. 
  

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 A basic AEM system will also enable Gulf Power Company to automate certain manual functions (e.g., meter
reading, outage notification, load research, and tamper detection) thus improving operational efficiencies and further increasing customer satisfaction. 
 The basis AEM system will be available and marketed to all residential customers within Gulf Power’s service area. This program will provide participating customers with the information needed to program their
AEM systems to respond to pricing signals embodied in Gulf’s RSVP rate and those generated by the utility during peak load conditions on a near real-time basis. Gulf’s full scale implementation of this program will begin as soon as
possible. 
 An upgraded version of the basis AEM system described above will be offered to customers as an added-cost option. This upgraded
version will require a more elaborate user interface and controller within the residence and will offer customers added functionality. These value-added features include: 
 multiple HVAC zone programmable control 
 capability to display: 
 electricity consumption by tier and total since last bill

 the electricity cost to date since last bill 
 estimated electric bill for current month 
 electric bill comparison (current month vs. same month last 
 year) 
 electric bill comparison (RSVP vs. RS) 
 messaging of various kinds 
 capability to support an optional home security system and other

 home automation products and services 
 Gulf Power intends to offer its residential customers choices of home automation, home security and home energy management options. These options will be offered as they become marketable and cost-beneficial to Gulf
Power, its stockholders and its customers. 
  

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 EXHIBIT B 
 PRODUCT AND SERVICES DESCRIPTION 
 The Gulf Power Company Advanced Energy Management (AEM) Program will be implemented using
the Scientific-Atlanta MainGateTM system. This exhibit describes the five distinct components that form the Gulf
Power Company AEM Program. 
  

	 	•	 	MainGate Utility Host consisting of a Network Controller, Shared Database Server and Applications Server; 

  

	 	•	 	MainGate VHF Paging/Telephony Media Access Controller for Wide-Area Network (WAN) communications; 

  

	 	•	 	MainGate Gateway and Home Local Area Network Interface; 

  

	 	•	 	MainGate In-Home Interface and Load Control Relays; 

  

	 	•	 	MainGate Project Management and Implementation. 

 The principal components of the AEM System are illustrated below. 
 

 
  

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 B.1. UTILITY HOST 
 The Utility Host, also called the Head-End, portion of the MainGate system consists of all hardware, software applications, and Head-End processes located at Gulf Power Company’s premise. The Head-End processes encompass all the
functionality necessary to perform utility applications and to provide a database for Gulf Power Company’s existing, and future, systems (such as Billing and Customer Information). The individual components that make up the Utility
Host are the Network Controller, Shared Database Server, and Application Processors (Optional RAID, Redundant Array of Inexpensive Disks, backup is available). The Media Access Controller (MAC), which can be local or remote to the Head-End
is discussed in Section B.2. These devices are linked together over an Ethernet TCP/IP LAN based on a client/server architecture. The specified equipment for the Utility Host architecture will be capable of serving a customer base of up to ***
and is scaleable to a larger customer base with additional hardware and software. Full application programming interface (API) draft specifications to the Utility Host System applications will be supplied as soon as available with the
final implementation versions due no later than the final Head-End system delivery date. Below is a representation of this architecture: 
 Advanced Energy Management Application 
 Architecture 
 

 
 B.1.1 Network Controller 
 The Network Controller is the resident database that routes information to and from the Gateway. Based around a Microsoft SQL ServerTM database engine running on Microsoft Windows NTTM and an Intel
Pentium, the Network Controller facilitates integration of multiple WAN media such as paging/telephony, broadband, LLEO and radio frequency (RF). An Ethernet link using a TCP/IP protocol connects the Network Controller to the application
servers. 
 B.1.2. Shared Database Server 
 The MainGate
system will include a Shared Database Server so that applications will be capable of sharing information with each other and with other systems. This server will be based on the Microsoft SQL Server database engine which will run on the

  

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 Microsoft Windows NT operating system. The database will serve multiple applications, and will be designed to share data
such as customer name, address, telephone number and program settings, The shared database server will be the central storage location and the Gulf Power Company’s system interface for utility application processes. As Gulf Power
Company’s system interface, this server is the repository for transferring information to and from existing Gulf Power Company systems such as customer information or billing. Scientific-Atlanta will provide draft versions of the table. schema
for all applications as soon as available with the final version due no later than the final Head-End system delivery date. 
 B.1.3 Most Application
Server 
 The Host Application Server is responsible for running the MainGate utility applications. These applications will be implemented in the
Microsoft Windows NTTM environment and will be based on an Intel PentiumTM class client/server architecture. Each application can have local as well as shared database capabilities, Shared databases will be implemented on
the Shared Database Server. 
 B.1.4 .Application Software 
 The MainGate Host system will be based on an open application architecture that will allow Gulf Power Company to reuse and develop enhanced program offerings. API specifications will be provided so that Gulf Power Company or any third party
developers can implement additional applications. Scientific-Atlanta will provide applications to support Gulf Power Company’s AEM initiatives and full documentation of the software APIs and methodology. These applications include.

  

	 	•	Automatic Meter Reading (AMR) 

  

	 	•	Time of Use (TOU) & Critical tier Pricing (CTP) for Customer-Controlled Load Management (CCLM) 

  

	 	•	Tamper Detection (Optional) 

  

	 	•	Outage Notification (Optional) 

  

	 	•	Remote Service Reconnect/Disconnect (SRD) (Optional) 

  

	 	•	Surge Suppression Monitoring (Optional); 

 The following is a description of application software provided by Scientific-Atlanta: 
 B.1.4.1 Automatic Meter Reading 
 For meter reading purposes, Scientific-Atlanta’s MainGate system will support CEBus powerline carrier (PLC) meters and/or dial encoders with a hardwired interface.
Scientific-Atlanta will provide the application software to support both of these options. The system will be capable of storing meter readings for multiple-tier levels to support TOU and CTP. The application/database will be capable of:

  

	 	•	Reading a single meter on demand from Gulf Power Company; 

  

	 	•	Reading a group of meters on demand from Gulf Power Company; 

  

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	 	•	 	Scheduled meter readings; 

  

	 	•	 	Storing meter data for a large population of meters, in an ANSI Table format as scecified by Gulf power Companv; 

  

	 	•	 	Storing load profile data in MV90-compatible, format (with CEBu,s meters): 

  

	 	•	 	Providing networking support for data transfer to authorized users, both inside and outside the utility, to facilitate billing and other CIS functions; 

  

	 	•	 	Storing Last Reading, Current Reading, and their difference for up to 12 tiers; and 

  

	 	•	 	Storing the ‘set’ (off meter) reading to reference actual dial settings. 

 B.1.4.2 Customer-Controlled Load Management (CCLM) 
 Scientific-Atlanta will supply software that supports two-way
CCLM, TOU and CTP applications. End-use devices, defined as two-way load control relays (LCRs) and/or home user interface (SuperStat and/or other such devices), will be located at the customer site and will respond to commands generated by
the two-way load management and CTP applications. The application software will enable: 
  

	 	•	 	two-way communication of the configuration between the in-home devices and the Head-End; 

  

	 	•	 	CTP by automatically transmitting critical pricing signals through the Gateway to the SuperStat; 

  

	 	•	 	TOU pricing based on clocks and calendars that incorporate weekends and holidays; 

  

	 	•	 	provisioning TOU devices (HVAC, LCRs, etc.) for price tiers; 

  

	 	•	 	time and date synchronization of the Gateway via periodic real-time WAN communication; 

  

	 	•	 	the CTP application to allow utility controlled water heater override during critical price tier. 

  

	 	•	 	the accounting for the number of hours in the critical tier for each customer and the disallowance of critical tier implementation above a designated number of critical tier
hours; 

  

	 	•	 	a minimum of *** (variable) warning before critical tier initiation; 

  

	 	•	 	the disallowance of critical tier implementation if the minimum *** (variable) warning is not received at the Gateway; and 

  

	 	•	 	• the uploading of the number of times a critical tier was implemented since last communication. 

 B1.4.3 Outage Notification (optional) 
 The Gateway paging/telephony WAN card allows for power outage monitoring. When
voltage drops below a pre-defined level, the Gateway will report the drop using the WAN return path, similar to Scientific-Atlanta’s LOCATE device. The Media Access 
  

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 Controller (MAC) will flag outages when the Gateway reports to the Head-End. This failure may be caused by power or
equipment failures. Upon an outage or upon a restoration, a message will be sent to the network diagnostics platform. The network diagnostics platform displays the message and logs the transaction. 
 B.1.4.4 Tamper Detection (Optional) 
 Tampering with the meter or the
Gateway can be sensed by a removal or disconnection of the electric meter or Gateway. This will set a flag in the Gateway memory that the event occurred and send the message to the network diagnostics platform for display and logging. The
network diagnostics application will also be responsible for notifying Gulf Power Company that a breach has occurred and it will store the date/time of the event. 
 B.1.4.5 Remote Service Reconnect i Disconnect (SRD) (Optional) 
 The Scientific-Atlanta SRO whole-house disconnect device can be incorporates
into the Gateway as an option. A *** amp load relay with a hardwired link to the Gateway will facilitate power reconnect/disconnect. Upon receiving a signal from the SRD application, a contactor will reconnect or disconnect power to the
customer. A confirmation message that the operation was successful will be returned to the Head-End. IIf the meter is equipped with an AMR module, the meter will be read after power has been disconnected and the reading reported
to the AMR application. At power restoration, the meter will be read before the contactor allows power to flow to the customer. 
 B,1.4.6
Surge Suppression Monitoring (Optional) 
 Scientific-Atlanta will offer an optional Gateway surge suppressing Metal Oxide Varistor (MOV) device with
failure sensory circuits. This surge suppression can provide whole-house transient resistance for electric motors. The Gateway will notify the Head-End network diagnostics program if the surge suppression has been expended so that the Gateway surge
suppressor can be repaired. 
 8.1.4.7 Network Diagnostics Program 
 Several network and application alarms will be provided as part of the MainGate system. These alarms will be controlled by one central program that displays and logs activity. The types of alarms that will be
provided are, for example: 
  

	 	•	 	Network Errors an the WAN and the Home LAN; 

  

	 	•	 	Application Errors; 

  

	 	•	 	Outage Notification (Optional); 

  

	 	•	 	Tamper Detection (Optional); 

  

	 	•	 	Remote Service Reconnect / Disconnect (Optional): and 

  

	 	•	 	Surge Suppression Monitoring (Optional). 

  

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 B.1.5 System Integration 
 Scientific-Atlanta’s role will be to support the installation and implementation of Gulf Power Company’s MainGate system. Scientific-Atlanta will work with Gulf Power Company for 40 man-working days on -site to insure the proper
operation of the MainGate system. Gulf Power Company, or a third-party, will install the Customer Premise Equipment (CPE). Additional on-site service by Scientific-Atlanta will be quoted as requested. Gulf Power Company, or a third-party system
integrator, will be responsible for developing the software interfaces to their customer information, billing and other systems. 
  

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 B.2 MEDIA ACCESS CONTROLLER 
 The Media Access Controller (MAC) will provide the main communication link between the Utility Host and the Customer Premise Equipment (CPE). The MAC is implemented on Microsoft Windows NT running on an Intel Pentium-class
workstation. For Gulf Power Company, the main communication media will be outbound VHF paging through a paging service provider and an inbound, twenty-four (24) channel, telephony link through a T1 circuit from the telephone
services provider. 
 The Pagina/Telephony (PT) MAC is connected directly to the Network Controller via TCP/IP on:

  

	 	•	 	10Base-T Ethernet; 

	 	•	 	100Base-T Ethernet; 

	 	•	 	Point-to-Point Protocol (PPP) over dial-up telephone; 

	 	•	 	PPP over ISDN, or 

	 	•	 	PPP over T1. 

 The PT MAC connects to the paging service provider via
modern over a dedicated leased or dial-up telephone line. The paging protocol is SA-206 using global, group and individual address methodology in a variable length message. The SA-206 protocol will also support other customer services
such as direct load control, local/wide spread storm warning notification, etc. 
 Messages returned from the CPE will be via telephony link using a
Scientific-Atlanta UNM type communications protocol. A T1 circuit will provide twenty-four (24) inbound channels from the telephone service provider. The FT MAC can handle all 2-A. channels contiguously. 
 Additional MACS can be used locally and remotely to provide additional paging and/or telephone throughput or to communicate through other media such as broadband,
LLEO, and two-way radio frequency (RF). 
  

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 B.3 GATEWAY AND LOCAL AREA NETWORK INTERFACE 
 The MainGate Gateway consists of one WAN and up to three LAN cards (along with their associated firmware) contained in a secure, weather-proof enclosure designed for mounting between the electrical meter and the
meter base. Power to the Gateway is supplied by the line side of the meter base. Communications from the Head-End is via paging signals to an antenna built into the Gateway. Communications from the Gateway to the Head-End is done via the
customer’s telephone line (normally during low-use, night-time hours). Communications between the Gateway and the SuperStat is via two-way RE transport using CEBus protocol. Communication between the Gateway and the load control
relays is via CEBus PLC. The Gulf Power Company meter interface is a CEBus PLC or a sophisticated dial encoding device. The Gateway will meet or exceed the IEEE C3790a-1974 specification on transient protection at the power supply and
modem interfaces. 
 Gateway WAN options will also include, among others, broadband, low earth orbit (LLECO), and RS-232 two-way RF (as defined in Exhibit
K). 
 The various functions of the MainGate Gateway will be listed and defined individually. 
 B.3.1 Gateway WAN Communications 
 B.3.1.1 Commands Received by
the Gateway VHF Paging Interface 
 Commands received by the VHF paging interface are; 
 1) Global responses 
 2) Group responses

 3) Individual responses 
 All Include: 
 a) Initiate CTP tier 1 
 b) Initiate CTP tier 2 
 c) Initiate CTP tier 3 
 d) Call home immediately 
 e) Call home random 
 f) Cancel CTP 
 g) Initiate Direct Load Control @ 100% 
 1) Cancel All Pending Calls 
 The VHF paging interface will
deliver control commands to the hardwire application using the standard Gateway bus protocol. The hardwired interface will then interpret the commands and execute the proper controls. The VHF paging interface wili follow all rules for
outdoor equipment and will have sensitivity at least equal to 20 uVm, 
  

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 B.3.1.2 Commands Transmitted by the Gateway Telephony Interface 
 The telephony interface will provide telephony WAN services to the Gateway. A Scientific-Atlanta UNM-type communications protocol, with 16-bit CRC error detection, will
be used. This-protocol will provide the main communications between the Head- End and the Gateway. 
 The following commands will be supported by the
telephony interface, and will be communicated to the hardwired interface via the standard bus protocol: 
  

	 	•	 	AMR reading of 12 accumulators; 

  

	 	•	 	Clearing of intermediate accumulators (after data is verified 

  

	 	•	 	Set Clock; 

  

	 	•	 	Set Calendar, 

  

	 	•	 	Download TOU schedules (Time / Day / Accumulator #) to the Gateway; 

  

	 	•	 	Download meter reading (call in) time to application; and 

  

	 	•	 	Perform all CEBus functions via the powerline carrier (PLC) and RF interfaces.

 The telephony interface must have a serial number for unique identification of the Gateway. It is required that the telephony and paging interfaces share the same ID (serial) number. This will readily identify the device in both media.

 The telephony interface will be an outgoing call only device in that it will not detect ringing voltage nor will it answer the phone.
When a call is queued, the telephony Interface will check for off-hook via a voltage measurement. When the line is determined to be available, the device will place the call using dial tone detection or pulse dialing. In home off-hook
detection (line in-use) will be required. If the customer picks-up the telephone during data transmission, the customer will hear a data tone and the data session will end. The customer must then hang-up and pick-up the telephone again to get a dial
tone. A dynamic circuit to detect the difference between single and double termination. 
 The telephony interface will be parallel and will not be polarity
sensitive. Hardwired telephony inputs telephony will be in the form of screw terminations. It is understood that the transient suppression circuitry operates in a hostile environment and very high transients may be generated in a fault
condition. Transient suppression will be incorporated into the telephony WAN card in such a way as to isolate the power system from the telephony system, will meet or exceed the IEEE 03790-1989 standard for transient protection and will adhere to
FCC Part 68 regulations. 
 8.3.2 Meter Dial Encoder interface 
 The meter dial encoder interface will read pulses from standard watt hour meters (or VAR meters), and will store the pulses in a set of accumulators. There will be 12 accumulators available, and each will be responsive to TOU
and/or critical tier price signaling. Each accumulator will be a constant type in that it will never be reset but will be allowed to roll over in normal operation. The following are specifications for the dial encoder interface: 
  

	 	•	 	Accumulator value will be 16 bits. 

  

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	 	•	 	Compatible with hard contacts or optical interface. 

	 	•	 	Accumulators will be held in non-volatile memory, protected so as to preserve data integrity even during power loss. 

	 	•	 	Accumulators are responsive to a schedule table which is downloaded to the Gateway. 

 The dial encoder interface will provide a full function time and date calendar. The calendar can allow weekends and holidays to be processed differently or excluded from TOU control altogether. It will also allow
weekends and holidays to be moved to a weekend or holiday schedule while allowing CTP to commence at.any time. CTP can be initiated by the Head-End at any time, and will direct the pulses to CTP accumulators (included in the 12 total
accumulators). The purpose of the calendar function is to allow at least six TOU rates to be downloaded into the calendar along with pointers to accumulators. The calendar will also allow rates to be switched automatically among
four schedules at predetermined times and dates. For example, Summer and Winter TOU prices could be different and the schedules could change at pre-determined times and dates. The following information applies to the way accumulators
in the dial encoder interface work: 
  

	 	•	 	Schedule tables direct the accumulators in the Gateway; 

  

	 	•	 	A single accumulator can respond to more than one time; 

  

	 	•	 	An accumulator is the equivalent of a price; 

  

	 	•	 	Time is kept in 24 hour increments; 

  

	 	•	 	A maximum of 24 holidays can be programmed; and 

  

	 	•	 	Days are recorded in such a way that permit weekends and holidays to be distinguished from work days. The weekend exemptions can be waived making weekends just another schedule.

 An illustration of the time/date function is shown for the purpose of clarity. 
  

																											
	 Schedule
	  	 TIme
	  	 1
	  	 2
	  	 3
	  	 4
	  	 5
	  	 6
	  	 7
	  	 8
	  	 9
	  	 10
	  	 11
	  	 12

	A	  	0800-1200	  		  	X	  		  		  		  		  		  		  		  		  		  	
	A	  	1200-1500	  		  		  	X	  		  		  		  		  		  		  		  		  	
	A	  	1500-1800	  		  	X	  		  		  		  		  		  		  		  		  		  	
	B	  	1000-1400	  		  		  		  		  		  		  	X	  		  		  		  		  	
	B	  	1400-1600	  		  		  		  		  		  		  		  	X	  		  		  		  	
	B	  	1600-1800	  		  		  		  		  		  		  	X	  		  		  		  		  	
	C	  	0800-1100	  		  	X	  		  		  		  		  		  		  		  		  		  	
	C	  	1100-1300	  		  		  	X	  		  		  		  		  		  		  		  		  	
	C	  	1300-1500	  		  		  		  	X	  		  		  		  		  		  		  		  	
	C	  	1500-1800	  		  		  	X	  		  		  		  		  		  		  		  		  	
	C	  	1800-2000	  		  	X	  		  		  		  		  		  		  		  		  		  	
	D	  	0000-0700	  		  		  		  		  	X	  		  		  		  		  		  		  	
	D	  	0700-2000	  		  		  		  		  		  	X	  		  		  		  		  		  	
	D	  	2000-2400	  		  		  		  		  	X	  		  		  		  		  		  		  	

  

 B-10 
  

 Scientific-Atlanta 
 Proprietary Information 

			
	Schedule	  	Active
	A	  	DAYS 001-224
	B	  	WEEKENDS
	C	  	DAYS 225-365
	D	  	HOLIDAYS
	WEEKENDS	  	003
		  	004
	HOLIDAYS	  	101
		  	123
		  	227
		  	228
		  	300
		  	301
		  	302
		  	307

 This, or a similar arrangement, will allow Gulf Power Company to use TOU rates and allow seasonal changes
without the need for real-time communications. 
 CTP will coordinate with the Head-End CCLM application to direct the accumulator pointers to unused
accumulators so that CTP will override any current or pending schedule. Changes in schedule will not override or cancel the CTP signaling. CTP signals will include the start time and the end time. A cancel command will be available
so that CTP can be canceled. If CTP is canceled, the regular TOU schedule will apply. 
 Open time periods (that is, not specified periods in the
schedule) will result in data being directed to a default accumulator. In the above example accumulator #1 was left vacant for that purpose. A default accumulator will be defined so that there is never any ambiguity about where data are to
be stored. The following information defines accumulator parameters: 
 ***. 
 CTP is a critical feature that is of high value to the utility. A record will be kept of CTP activity and communicated when a scheduled (or unscheduled) meter read takes
place. There will be sufficient memory to store *** occurrences of CTP per ***. ***. 
  

 B-11 
  

 Scientific-Atlanta 
 Proprietary Information 

 CCLM (Customer Controlled Load Management) is a function that Gulf Power Company desires to use at the customer
site. This requires the addition of a two-way SuperStat and provides for the addition of multiple load control devices. In an CTP event, the Gateway will send signals to the thermostat and load control modules for the purpose of reducing the
power consumption and thus the cost to the customer. if communication to the thermostat is not available, CTP may be disallowed. A table of necessary communications will be provided to a local application to determine if CTP is to be invoked or
aborted. 
 A table will be provided with the following functions: 
 CTP Table 
  

			
	 Device Number
	  	Communications Required
to the SuperStat?
	AAAAAAAAAA	  	Yes
	BBBBBBBBBBB	  	Yes
	CCCCCCCCCCC	  	No
	DDDDDDDDDD	  	No

 For TOU, a table will also be provided. This table may allow TOU to occur regardless of the availability of
communications. 
 TOU Table 
  

			
	 Device Number
	  	Communications Required
to the SuperStat?
	AAAAAAAAAA	  	Yes
	BBBBBBBBBBB	  	No
	CCCCCCCCCCC	  	No
	DDDDDDDDDD	  	No

 If CTP is exempted for lack of communications, the event will be recorded as a failed CTP event with a code
for the reason for failure and the specific device number (or numbers) that failed. 
 If the TOU option requires
communications, a similar log will be kept for TOU failures. 
 The application will make several attempts to communicate the CTP or TOU event to
the load devices and the SuperStat. These attempts will be in concert with the CEBus methodology and may be invoked more than one time. What is meant is that the CEBus transport will automatically make N attempts to communicate but if
communications fail, the application may restart the process M times, 
 In the event that either TOU or CTP is exempted due to failed communications,
the Gateway will control any available devices as if TOU was in effect, and will maintain the error log. 
  

 B-12 
  

 Scientific-Atlanta 
 Proprietary Information 

 B.3.3 The TOU / CTP Application 
 The following is an overall summary of the TOU/CTP application operation: 
  

	 	•	 	Clock and Calendar functions will be non-volatile and operable in a power outage condition; 

  

	 	•	 	Time will be broadcast upon restoration of power following an outage and on a periodic basis, 

  

	 	•	 	12 accumulators will be provided, each corresponding to a price/time; 

  

	 	•	 	Time, day, and Weekend or Holiday exemptions will drive the accumulator pointers; 

  

	 	•	 	Time is in 24 hour quantities to eliminate AM / PM issues; 

  

	 	•	 	Daylight savings time is handled by schedule changes (A to B to A); 

  

	 	•	 	Weekends are identified for differentiation; 

  

	 	•	 	Holidays are listed for differentiation (Up to 24); 

  

	 	•	 	CTP will override TOU in one hour increments; 

  

	 	•	 	CTP is cancelable; 

  

	 	•	 	CTP can be exempted by device failures; 

  

	 	•	 	Communications tables define CTP exemptions; 

  

	 	•	 	Error logs are maintained for exemptions; 

  

	 	•	 	Clock and calendar are synchronized during all telephony communications; 

  

	 	•	 	Accumulators are non resetable; 

  

	 	•	 	Reference accumulators (for local reads) are reset to zero after a successful billing read; 

  

	 	•	 	Next read date is set for the telephony to call in at a predetermined time; 

  

	 	•	 	The Gateway will control devices per CTP or TOU; 

  

	 	•	 	The Gateway will transmit load control data on a periodic basis; 

  

	 	•	 	Ability to read and write programs in the SuperStat. 

 The TOU/CTP
application will be capable of checking for the errors defined in the preceding tables and will queue error report calls. The calls can be scheduled to be immediate (random over an N minute period) or they can be delayed to the next
available call window, or they may be logged until the next meter read. The data will be presented to the host application at communication and will not be cleared as a result of the communication. The error log will be at least *** entries
deep and will recirculate showing the last *** errors in the buffer regardless of the interval in which they occurred. 
 The TOU/CTP application will
interact closely with the SuperStat in the execution of TOU. The referenced time-of-use does not refer to different billing prices lout to time of customer preference only. 
  

 B-13 
  

 Scientific-Atlanta 
 Proprietary Information 

 B.3.4 The Meter Reading Application 
 As previously discussed, the Gateway will check for communication with the SuperStat and make decisions as to whether to implement CTP or TOU per schedules, or per command. All schedule information is to be downloaded
to the Gateway by telephony during the initialization session. The clock and calendar will be refreshed (synchronized) during subsequent communication sessions, such as scheduled meter reads. 
 Meter reads will be made at intervals determined by Gulf Power Company. For example, Gulf Power Company may wish a population of meters to be read on certain days.
The Head-End will download to the Gateway the time and date of the next meter read. At that time, the Gateway will begin a process to make a call to the Head-End for the purpose of data transfer. The line will be monitored for “in-use”
condition. If the line is in use, the call will be delayed until it is clear. If the line is available, the call will be placed immediately and communications will commence. The application will make a request to the telephony WAN
interface for a session and the telephony WAN will deal with the request until such time as the communication is established. The Gateway will continue to request a session until such time as the condition is satisfied
by a successful communication to the Head-End. The telephony WAN application may have some rules that limit the number or tries or the time period when communications are allowed. 
 When telephone communications are established, the accumulator data will be sent to the Head-End and the Head-End will acknowledge receipt of the data and send the
following data to the Gateway: set the clock, calendar, and the call back time. The new meter read data will be stored in non-volatile memory. 
 A local PC,
as an option, can have access to the Gateway via PLC communications and will have software for the purpose of reading the meter. A method of supplying meaningful data would be for the application to store accumulators with kWh since last
“Billing Read”. This set of accumulators is for reference only and is reset by the Head-End after it performs a “Billing Read”. 
 When a successful “Billing Read” is accomplished, the resetable accumulators will be reset signifying the beginning of a new billing period. Intermediate meter reads for reference may be made at any time and do not affect the
working accumulators or other fields. During any accumulator read, the clock, calendar, TOU schedules, or other parameters may be redefined or set by the Head-End. 
 The local PC will have access to data on a read only basis. It may inquire about any piece of data but may not reset or reconfigure any parameters. All accumulators are available as are the schedules and read dates. Very specific
commands will be issued by the PC to acquire data via PLC. Care must be taken to limit access to read only so that data security is preserved. Similarly, data security must be provided on the telephony interface so that hackers cannot
gain access to the data or schedules. Please note that the working accumulators are not resetable under any type of software control. 
 It is important
to note that this interface is being designed specifically for the purpose of providing TOU in low bandwidth networks. As a result, the clock will normally be set 
  

 B-14 
  

 Scientific-Atlanta 
 Proprietary Information 

 during meter reads and will be fully backed up and operational during power outage conditions. A period of three days is
supplied for standby operation. Other services in the Gateway LAN will not be operational under this power outage condition. 
 B.3.5 RF and PLC
Applications 
 The LAN capabilities include a Hardwire interface for AMR, two-way CEBus PLC communications to appliances/load control relays and two-way
CEBus protocol through a RF transport to the SuperStat. The Hardwired AMR is to collect data and to maintain schedules for a variety of events. The PLC is provided to allow communications to devices for the purpose of Customer Controlled
Load Management either from the Gateway or the SuperStat. It is necessary for the telephony or other WAN to have access to the SuperStat programs under centralized control. This will allow the reading and writing of the program by the Head-End
application. 
 The SuperStat and Gateway support the full range of CEBus communications. All messages will be sent via RF transport. Unsolicited data may be
present in the form of alarms and will be accommodated. The Gateway must recognize critical data such as alarms. This will require an alarm list or other means to identify the message as one that needs to be immediately forwarded over the
telephony interface. 
 B.3.6 Outage Monitoring Application 
 The Outage Monitoring Application will be an option. The following terms and definitions will apply: 
  

	 	•	 	Outage is defined as a power loss greater than XX seconds; 

  

	 	•	 	Power restore is defined as power restoration of greater than XX seconds; 

  

	 	•	 	Momentary outage detection is not part of this offering; 

  

	 	•	 	Power Quality Measurement is not part of this offering; 

  

	 	•	 	Status will be communicated via ANI (automatic number identifier) in the same fashion as the Scientific-Atlanta Locate device; 

  

	 	•	 	Dial tone detection is required with a *** second time out; 

  

	 	•	 	Off hook detection is required for call delay purposes; 

  

	 	•	 	ACK (acknowledge) tone detection is required to acknowledge completed call; 

  

	 	•	 	The Gateway telephony WAN card will make up to Q random attempts to reach the Head-End; 

  

	 	•	 	Standby power of at least *** minutes will be provided. 

 B.3.7 Gateway
Surge Suppression 
 The surge suppression function suppresses transients in both the ‘differential’ and ‘common’ modes. Typical
clamping voltages will be approximately 600 volts at several hundred amperes. After a finite number of transients, the suppressors will reduce their blocking voltage until at some point the devices will support follow-on current from the normal
circuit voltage. When this happens, the devices will thermally fail. A fuse will be provided so that a failed suppressor will cause the fuse to open before going into a total self destruct mode. (Total self destruct is defined as burning the leads
off to create an open condition.) The optics will detect the open fuse link and cause a call to the Head-End requesting service. 
  

 B-15 
  

 Scientific-Atlanta 
 Proprietary Information 

 B.4 IN-HOME INTERFACE AND LOAD CONTROL RELAYS 
 The SuperStatTM system will be the base offering for a customer interface device and in-home controller. SuperStat is a multi-function programmable thermostat that combines the capabilities of a high grade
programmable thermostat with a TOU/CTP scheme. Two versions of the SuperStat are available, one for controlling conventional (gas/electric/oil) HVAC systems and the other for controlling heat pumps. Communications between the SuperStat and
the Gateway will use CEBus protocol with a two-way RF transport. 
 B.4.1 Summary of SuperStat Functionality 
 B.4.1.1 SuperStat Display 
  

	 	1.	Red LED flush on front of unit. 

  

	 	2.	Indication of device being programmed (i.e. HVAC, water heater, other appliance). 

  

	 	3.	Day of week. 

  

	 	4.	Time with large AM and PM. 

  

	 	5.	Time periods labeled “Morning”, “Day”, “Evening”, “Night”. 

  

	 	6.	Temperature (actual) and setpoint in degrees Fahrenheit. 

  

	 	7.	Plus (+) and minus (-) signs for temperature offset setting. 

  

	 	8.	Indication of “hold” for HVAC setpoint hold, water heater (on/off) hold, and appliance on/off hold. 

  

	 	9.	Display of price tiers “Low”, “Medium”, “High”, “Critical”. 

  

	 	10.	Vertical bar graph to provide visual indication of relative cost of energy in each tier. 

  

	 	11.	Display of “on”, “off”, and “enabled” for water heater and appliance time programming and price response programming. 

  

	 	12.	“Heat/Cool” mode indicator. 

  

	 	13.	“Fan on/Auto” indicator. 

  

	 	14.	“AUX” display for auxiliary heat in heat pump applications. 

  

	 	15.	Warmer/Cooler adjustment available without opening door. 

  

 B-16 
  

 Scientific-Atlanta 
 Proprietary Information 

	 	e.	Override operation during a critical tier will be no different than during any other tier (i.e., a customer will have full temporary and permanent override capability after
the onset of a critical price tier). 

  

	 	8.	SuperStat will use heat pump intelligent recovery in order to minimize the use of auxiliary heat. 

  

	 	9.	The user will not be able to change date, day, or time on the SuperStat.. This information will be kept in the Gateway and updated periodically from the Head-End.

  

	 	10.	SuperStat will display total HVAC runtime since last cleared and HVAC runtime by price tier since last cleared. 

  

	 	11.	SuperStat will have battery backup that will retain all programming information in the event of power loss. Maintenance of this battery is the responsibility of the end-use
customer. 

  

	 	12.	SuperStat will delay *** minutes before restarting a compressor after shutting it off or after a power outage. 

  

	 	13.	SuperStat will have a default set of programmed values permanently stored in memory. 

 On a change in state resulting from either a price tier change or a time period change, SuperStat will signal, via the Gateway, the water heater and appliance load control relays to turn on or off based on the
customer’s programmed instructions. SuperStat will also command the HVAC on or off, via existing thermostat wiring, to change measured temperature according to the customer’s programmed instructions. All programs and settings can
be entered either by the customer at the SuperStat touchpad or by remote commands from Gulf Power Company’s System Manager through the Gateway. 
 Price tiers, the correct time, and day of the week will be communicated to the SuperStat from the Gateway. 
 In the event communications with the Gateway are lost and SuperStat loses its settings, SuperStat will revert to internally stored default settings and will prompt the
customer to call for service by displaying Gulf Power Company’s Customer Service Center telephone number. 
 At all times during which the
SuperStat is not being programmed from the touchpad, it will display the current price tier in effect, price bar graph, day, time, program period, temperature, system mode (heat/cool), fan mode (on/auto), and any “holds” currently in
effect. 
 Upon command from the Gateway, the SuperStat will warn the customer of an impending Critical price tier by flashing the display and the red
LED until the critical tier takes effect. When the Critical tier becomes effective, the display and red LED will be on without flashing until the Critical tier has ended. When the Critical tier ends the red LED will turn off. 
  

 B-17 
  

 Scientific-Atlanta 
 Proprietary Information 

 B.4.2 Summary of Load Control Relay (LCR) Functionality 
  

	 	1.	The LCRs shall be 30 amp 120/240Vac with indoor/outdoor case. 

  

	 	2.	The LCRs shall be normally closed (fail closed). 

  

	 	3.	The LCRs shall provide verification of communication (acknowledgement) to the unit sending a signal to the LCR (the Gateway). 

  

	 	4.	the LCRs shall be CEBus PLC capable for communicating with the Gateway. 

  

	 	5.	LCRs shall be individually and group addressable. 

  

 B-18 
  

 Scientific-Atlanta 
 Proprietary Information 

 B.5 PROJECT MANAGEMENT AND IMPLEMENTATION 
 In addition to hardware and software, Scientific-Atlanta will be responsible for project management with Gulf Power Company, Head-End system implementation (installation, testing and training), and CPE installation
training. Listed below is a description of the services Scientific-Atlanta will provide 40 on-site man-workdays to cover the following: 
  

	 	1.	Project management and implementation including Customer Premise Equipment (CPE) installation training. 

  

	 	2.	Hardware, software, startup and training services: 

  

	 	a.	Network Controller 

  

	 	b.	Paging/Telephony Media Access Controller 

  

	 	c.	Paging/Telephony communications interface 

  

	 	d.	Host applications: 

  

	 	i)	Automatic Meter Reading 

  

	 	ii)	Customer Controlled Load Control: 

  

	 	(A)	Time of Use 

  

	 	(B)	Critical Tier Pricing 

  

	 	iii)	Network Diagnostics: 

  

	 	(A)	Outage Notification 

  

	 	(B)	Tamper Detection 

  

	 	(C)	Application Error 

  

	 	iv)	Surge Suppression Monitoring 

 All work shall be done in a good and
workman-like manner. Any subcontractors shall comply with the National Electric Code and all other laws and regulations applicable to the work to be performed. 
 Microsoft® Windows NT and Microsoft® SQL Server are registered trademarks of Microsoft Corporation. 
 Pentium® is
a registered trademark of Intel Corporation. 
 SuperStatTM is a registered trademark of Scientific-Atlanta, Inc. 
  

 B-19 
  

 Scientific-Atlanta 
 Proprietary Information 

 EXHIBIT C 
 DELIVERY SCHEDULE AND FORECASTS 
 C.1 DELIVERY SCHEDULE* 
  

			
	 No later than March 1, 1997
	  	 •      Deliver and Install Beta Network Controller

		  	 •      Deliver and Install Beta Shared Database Server

		  	 •      Deliver and Install Beta P/T MAC

		  	 •      Deliver and Install Beta Application Software:

		  	 •      AMR

		  	 •      2-way Load Management, TOU/CTP

		  	 •      Outage Notification

		  	 •      Tamper Detection

		  	 •      Application Error

		  	 •      Surge Suppression Monitoring

		  	 •      Deliver *** Beta Gateways with:

		  	 •      P/T WAN card

		  	 •      Hardwire card

		  	 •      CEBus PLC/RF LAN card

		  	 •      Deliver *** Dial Encoders

		  	 •      Deliver *** Beta SuperStatTM controllers (Use Interfaces)

		  	 •      Deliver *** Load Control Relays

		  	 •      Project Implementation

		
	 May 1, 1997
	  	 •      Deliver and Install Final Network Controller S/W

		  	 •      Deliver and Install Final Shared Database Server S/W

		  	 •      Deliver and Install Final P/T MAC S/W

		  	 •      Deliver and Install Final Application Software:

		  	 •      AMR

		  	 •      2-way Load Management, TOU/CTP

		  	 •      Outage Notification

		  	 •      Tamper Detection

		  	 •      Application Error

		  	 •      Surge Suppression Monitoring

		  	 •      Deliver *** Gateways with:

		  	 •      P/T WAN card

		  	 •      Hardwire card

		  	 •      CEBus PLC/RF LAN card

		  	 •      Deliver *** User Interfaces

		  	 •      Deliver *** Load Control Relays

		  	 •      Project Implementation

  

 C-1 
  

 Scientific-Atlanta 
 Proprietary Information 

			
	        Monthly:	  	 •      Deliver *** Gateways with:

	June 1, 1997	  	 •      P/T WAN card

	        through	  	 •      Hardwire card

	November 1, 2003	  	 •      CEBus PLC LAN card

		  	 •      Deliver *** User Interfaces

		  	 •      Deliver *** Load Control Relays

		
	December 1, 2003	  	 •      Deliver *** Gateways with:

		  	 •      P/T WAN card

		  	 •      Hardwire card

		  	 •      CEBus PLC LAN card

		  	 •      Deliver *** User Interfaces

		  	 •      Deliver *** Load Control Relays

	*	Delivery Schedule dates assume order received by August 31, 1998. 

  

			
	Note:	    	As new technologies are developed over the life of the contract, Scientific-Atlanta guarantees backward compatibility to previously delivered products. However, these previously delivered
products will not be upgraded to the new technology at Scientific-Atlanta’s expense. Substitutions agreed to by both parties may be made without reducing the cumulative purchased quantity of that CPE type. Other Scientific-Atlanta and Gulf
approved in-home user interfaces may be substituted for the SuperStat as agreed by both parties.

 C.2 FORECASTS 
 Not later than the fifteenth (15th) day of each month, beginning February, 1997, Gulf Power Company shall submit to Scientific-Atlanta a rolling, non-binding six-month forecast (“Forecast”) commencing the month after
such forecast is submitted with respect to the levels of “Product” Gulf Power Company expects to buy over such period. Gulf Power Company shall ensure that any forecast submitted hereunder is complete, accurate and not misleading.

  

 C-2 

			
	        Monthly:	  	 •      Deliver *** Gateways with:

	June 1, 1997	  	 •      P/T WAN card

	        through	  	 •      Hardwire card

	November 1, 2003	  	 •      CEBus PLC LAN card

		  	 •      Deliver *** User Interfaces

		  	 •      Deliver *** Load Control Relays

		
	December 1, 2003	  	 •      Deliver *** Gateways with:

		  	 •      P/T WAN card

		  	 •      Hardwire card

		  	 •      CEBus PLC LAN card

		  	 •      Deliver *** User Interfaces

		  	 •      Deliver *** Load Control Relays

	*	Delivery Schedule dates assume order received by August 31, 1998. 

  

			
	Note:	    	As new technologies are developed over the life of the contract, Scientific-Atlanta guarantees backward compatibility to previously delivered products. However, these previously delivered
products will not be upgraded to the new technology at Scientific-Atlanta’s expense. Substitutions agreed to by both parties may be made without reducing the cumulative purchased quantity of that CPE type. Other Scientific-Atlanta and Gulf
approved in-home user interfaces may be substituted for the SuperStat as agreed by both parties.

 C.2 FORECASTS 
 Not later than the fifteenth (15th) day of each month, beginning February, 1997, Gulf Power Company shall submit to Scientific-Atlanta a rolling, non-binding six-month forecast (“Forecast”) commencing the month after
such forecast is submitted with respect to the levels of “Product” Gulf Power Company expects to buy over such period. Gulf Power Company shall ensure that any forecast submitted hereunder is complete, accurate and not misleading.

  

 C-2 
  

 Scientific-Atlanta 
 Proprietary Information 

 EXHIBIT D 
 D.1 PRICING SCHEDULE 
  

							
	 Quantity
	  	 Description
	  	$/Unit	 	$ Total
	 Utility Host System
	  		 	
				
	 ***
	  	 MainGate Network Controller
	  	$***	 	$***
		  	 •      (2) Pentium Computers
	  		 	
		  	 •      Microsoft Windows NT
	  		 	
		  	 •      Microsoft SQL Server
	  		 	
		  	 •      Network Control software
	  		 	
		  	 •      Shared Database Server Software
	  		 	
	Applications	  		 	
				
	 ***
	  	 Customer Controlled Load Management
	  	$***	 	$***
		  	 •      Pentium Computer
	  		 	
		  	 •      Microsoft Windows NT
	  		 	
		  	 •      Time of Use (TOU)
	  		 	
		  	 •      Critical Tier Pricing (CTP)
	  		 	
				
	 ***
	  	 Outage Notification
	  	$***	 	$***
				
	 ***
	  	 Tamper Detection
	  	$***	 	$***
				
	 ***
	  	 Surge Suppression Monitoring
	  	$***	 	$***
		  	 •      
	  		 	
		  	 •      
	  		 	
	Media Access	  		 	
				
	 ***
	  	 VHF Paging/Telephony Media Access Controller
	  	$***	 	$***
		  	 •      Pentium Computer
	  		 	
		  	 •      VHF Paging Interface Software
	  		 	
		  	 •      Telephony Interface Software
	  		 	
		  	 •      Remote Transmission Monitor (RTM
	  		 	

  

 D-1 

							
	    Customer Premise Equipment	  		 	
				
	 ***
	  	 MainGate Utility Gateway
	  	$***	 	$***
		  	 Media Access Controller
	  		 	
		  	 VHF Paging/Telephony WAN Interface
	  		 	
		  	 Hardwire Interface with clock/calendar function
	  		 	
		  	 CEBus PLC and RF Transports
	  		 	
		  	 Remote Transmission Monitor (RTM
	  		 	
	 ***
	  	 Load Control Relay
	  	$***	 	$***
			
	        SuperStat User Interface	  		 	
				
	 ***
	  	 SuperStat
	  	$***	 	$***
		  	 Heatpump
	  		 	
		  	 2-way CEBus protocol, RF Transport
	  		 	
				
	 ***
	  	 SuperStat
	  	$***	 	$***
		  	 Conventional
	  		 	
		  	 2-way CEBus protocol, RF Transport
	  		 	
				
	 ***
	  	 One-time cost associated with timely development
 of SuperStat to meet Gulf Power Company requirements
	  		 	

$***
				
	 ***
	  	 Project Implementation
	  	$***	 	$***
		  	 40 man-workdays
	  		 	
		  	 Project Management Installation, Training, On-Site Expenses
	  		 	
	 Total
	  		  		 	$***
		  		  		 	 

  

 D-2 

					
	D.2 Options	  		  	
			
	Each	  	Back-up Network Controller Hardware	  	$***
	Each	  	Back-up Shared Database Server Hardware	  	$***
	Each	  	Backup Application Node Hardware	  	$***
	Each	  	 Media Access Controller
 VHF Paging/Telephony, Broadbank, LLEO, or RF/Telephony
	  	

$***
	Each	  	Back-up MAC Hardward	  	$***
	Each	  	Remote Transmission Monitor (RTM)	  	$***
	Each	  	Gateway Diagnostic WAN Card	  	$***
	Each	  	Field Strength Unit (FSU)	  	$***
	Each	  	Meter Dial Encoder	  	$***
	Each	  	Whole-house Surge Suppression	  	$***
	Per Hour	  	On-site Support Beyond Quote	  	$***
	Per Hour	  	Telephone Support for Non-Warranty Item	  	$***
	Per Hour	  	RMA Service for Non-Warranty Item	  	$***
			
	Lot	  	Deduct (4) Microsoft Windows NT Licenses and	  	
			
		  	 (1) Microsoft SQL Server License
	  	$***
			
		  	 (Note:    For Network Controller, Shared Database Server, Application Server, and Media
Accessess
      Controller. Gulf Power Company will be responsible for Item F.7 in EXHIBIT
F, PURCHASER’S
      PRE-INSTALLATION OBLIGATIONS.)
	  	

  

 D-3 

 D.3 Volume Discount 
 Scientific-Atlanta will provide Gulf Power Company with a discount for volume purchases, in the following quantities, of each of the individual Customer Premise Equipment (CPE) described in EXHIBIT B of this contract: 
  

					
	 Level
	  	 Cumulative CPE Purchase
Quantity
	  	 Discount on CPE
PRice

	1)	  	*** units	  	***%
	2)	  	*** units	  	***%
	3)	  	*** units	  	***%
	4)	  	*** units	  	***%

 The discounts apply to the prices set forth on the schedule in Section D.1 of this EXHIBIT D or such other
prices as may have been agreed to under the terms of this Agreement. These price discounts will be based on cumulative purchases of the above Individual CPE quantities through this Agreement and are for each unit of each type of
CPE purchased above the associated threshold level. As technology changes over the life of this agreement, substitutions agreed to by both parties may be made without reducing the cumulative purchased quantity of that CPE type.
For example, a different user interface is still a user interface. 
 The cumulative Level 2 discount shall be effective upon the sale of the *** unit.
The discount shall increase to the cumulative level 3 amount upon the sale of the *** unit provided that sales beyond that volume are maintained at *** units annually. The discount shall increase to the cumulative Level 4 amount upon
the sale of the *** unit provided that sales beyond that volume are maintained at *** units annually. Billing for the cumulative level 3 and 4 volumes shall initially be at the cumulative Level 2 price. If the
annual sales levels are met to provide the Level 3 and level 4 discounts, then Scientific-Atlanta will refund or credit to Gulf Power Company annually the difference between the price paid and the applicable
discount price. Gulf Power Company and Scientific-Atlanta agree to negotiate quantity discounts above *** units as required but those discounts will not fall below those granted for level 4 purchases. 
 D.4 PAYMENT SCHEDULE 
 Scientific-Atlanta shall invoice Gulf Power
Company for expenses associated with equipment deliveries and for services rendered as described in Sections D.1 and D.2 above, but no more often than monthly as set forth in Sections 5.2 and 5.3 of the main body of this contract.

  

 D-4 

 EXHIBIT E 
 WARRANTY REPAIR / REPLACEMENT PROCEDURE 
  

	E.1	Procedure for Warranty Repair of MainGate Head-end Equipment 

  

	1)	Gulf Power Company calls a toll-free telephone number provided by Scientific- Atlanta for the purpose of reporting a MainGate Head-end Equipment anomaly.

  

	2)	Scientific-Atlanta will provide telephone support to determine the cause of the equipment anomaly. 

  

	3)	If the equipment anomaly is not repairable via telephone support, an on-site repair technician will be dispatched within 24 hours to the MainGate Head-end
Equipment location to effect repairs or replace the defective part(s). 

  

	E.2	Procedure for Warranty Repair of MainGate Customer Premise Equipment (CPE) 

  

	1)	Gulf Power Company calls a toll-free telephone number provided by Scientific- Atlanta for the purpose of reporting a MainGate CPE anomaly. 

  

	2)	Scientific-Atlanta will provide telephone support to determine the cause of the equipment anomaly. 

  

	3)	If the equipment anomaly is not repairable via telephone support, the Scientific-Atlanta service center will provide Gulf Power Company with a Return Material Authorization (RMA)
number. A RMA number provides Scientific-Atlanta the means to track an equipment problem from report through repair. 

  

	4)	Gulf Power Company returns the defective CPE to Scientific-Atlanta for repair/ replacement. Scientific-Atlanta will return ship the repaired/replaced unit within twenty
(20) business days of receipt. 

  

	5)	Added in Amendment No. 2. 

  

	E.3	Procedure for Non-Warranty Repair of MainGate Head-end Equipment 

  

	1)	Gulf Power Company calls a toll-free telephone number provided by Scientific- Atlanta for the purpose of obtaining a quote for MainGate Head-end Equipment service.

  

	2)	Scientific-Atlanta will query the caller via telephone to determine the cause of the equipment anomaly. 

  

	3)	Scientific-Atlanta, either by fax or by telephone, will provide Gulf Power Company with a quote to perform services. 

  

	4)	Gulf Power Company can then choose between on-site service, RMA service, telephone assistance, or replacement at the rates quoted in via fax or telephone as noted in Item 3 of
this section. 

  

 E-1 

	E.4	Procedure for Non-Warranty Repair of MainGate Customer Premise Equipment 

  

	1)	Gulf Power Company calls a toll-free telephone number provided by Scientific- Atlanta for the purpose of obtaining a quote for MainGate CPE service. 

 

	2)	Scientific-Atlanta will query the caller via telephone to determine the cause of the equipment anomaly. 

  

	3)	Scientific-Atlanta, either by fax or by telephone, will provide Gulf Power Company with a cost/time quote to perform services. 

  

	4)	Gulf Power Company can then choose between on-site service, RMA service, telephone assistance or replacement at the rates quoted in Line 3. 

 Gulf Power Company shall pay all shipping on all equipment returned to Scientific- Atlanta under RMA. Scientific-Atlanta’s standard shipping practice is to
return equipment via the same method as sent to Scientific-Atlanta (i.e., overnight, second day, etc.). Gulf Power will submit a quarterly report on shipping costs for warranty returns, and Scientific-Atlanta will issue credits towards
future purchases on these invoices or reimburse Gulf Power Company for such costs in the event no future purchases are expected. 
 If any Product
returned by Gulf Power Company for repair or replacement contains a defect or non-conformance caused by factor outside the scope of Scientific-Atlanta’s warranty, or if the returned Product is not defective or non-conforming (i.e.,
“no fault found” (“NFF”)), then Scientific-Atlanta shall bill Gulf Power Company at Scientific- Atlanta’s standard rates for service performed with respect to such defective returned unit. 
 For separately licensed Software, the terms of the END USER SOFTWARE LICENSE AGREEMENT FOR USE WITH DESIGNATED EQUIPMENT, ‘EXHIBIT G’, shall govern
the warranty provisions. 
  

 E-2 

 EXHIBIT F 
 PURCHASER’S PRE-INSTALLATION OBLIGATIONS 
  

	F.1	Gulf Power Company shall provide dedicated Project Manager as liaison between Gulf Power Company and Scientific-Atlanta no later than January 15 1997.

  

	F.2	Gulf Power Company shall provide and prepare location, environment, power and security for head-end computer equipment as specified by Scientific-Atlanta no later than
April 15, 1997. Scientific-Atlanta will provide site requirements to Gulf Power Company no later than February 1, 1997. 

  

	F.3	Gulf Power Company shall, prior to installation, obtain all contracts, permits and licenses necessary for installation and operation of Scientific-Atlanta provided equipment and the
communications between this equipment. 

  

	F.4	Gulf Power Company shall provide reasonable access to Gulf Power Company (including communications providers) premises for the purpose of planning, installation, testing and repair
of head-end computer equipment. 

  

	F.5	Gulf Power Company shall provide reasonable access and secure office space for up to two Scientific-Atlanta personnel to include desks, chairs, printer and telephones
(including direct-dial analog phone connection). 

  

	F.6	Gulf Power Company shall provide mechanism for long-term tracking of Customer Premise Equipment. 

  

	F.7	If Gulf Power Company chooses to provide, through Southern Company’s Corporate License, the Microsoft® software for the Head-End computer hardware, Scientific-Atlanta will specify the necessary computer software no later than
September 15, 1996. Gulf Power Company will deliver to Scientific-Atlanta the necessary computer software no later than November 1, 1996, for system configuration and testing. 

  

 F-1 

 EXHIBIT G 
 SCIENTIFIC-ATLANTA 
 END USER SOFTWARE LICENSE AGREEMENT FOR USE WITH DESIGNATED EQUIPMENT

  

			
	Customer:	  	Gulf Power Company, Inc.
	Address:	  	500 Bayfront Parkway, Pensacola, FL 32520-0231

 Scientific-Atlanta. (“S.A.”) by its acceptance agrees to grant to Customer, and Customer accepts on the
following terms and conditions a license to the identified Licensed Software for use only with the Designated Equipment set out below. 
  

			
	 Designated Equipment
	  	 Licensed Software

	  	  	 
	  	  	 

 1. LICENSED GRANT 
 1.1 “Licensed Software” means a computer program, including any modifications, updates or additions which may be supplied by S-A to Consumer, in object code or executable form in any medium, such as magnetic tape, disks, or
optical media; and related materials such as flow charts, logic diagrams, manuals, and other documentation which are provided to customer by S.A with or for use in Designated Equipment. Licensed Software may reside within Designated Equipment at the
time of delivery to Customer in which case identification of such equipment shall also constitute identification of the corresponding software; or it may be provided separately for installation on Designated Equipment. 
 1.2 Subject to the payment of fees elsewhere specified and these terms and conditions, S-A grants to Customer a personal, nonexecutive, non-transferable license to
use Licensed Software in and for the Designated Equipment and not otherwise. This license may be assigned to any bona fide successor in interest to Designated Equipment who first agrees in writing to be bound by the terms of this Agreement.
Should the Licensed Software include a unique implementation of a security algorithm, Customer shall have the exclusive right to use such unique Customer security algorithm implementation in and for use with Designated Equipment and
not otherwise. 
 1.3 Customer may make one (1) copy of Licensed Software (but not including read-only memories or similar devices) for archival
purposes only and shall reproduce and attach all copyright and proprietary notices, Customer shall not otherwise copy or allow to be copied Licensed Software except to install Licensed Software on the Designated Equipment. Customer agrees that S-A
shall have the right to have an independent accounting, firm conduct an audit at Customer’s premises during normal business hours to verify the number of copies of Licensed Software in sue by Consumer. 
 1.4 Customer shall not make any modifications to Licensed Software or remove any proprietary, regulatory or safety notices of S-A or third parties found in or on
the Licensed Software. Customer agrees not to reverse engineer, decompile, or reverse assemble Licensed Software except to the extent that such prohibition may be unenforceable under applicable law. 
 1.5 Licensed Software is and shall remain the exclusive property of S-A. No license other than that specifically stated herein is granted to Customer, and Customer shall
have no right to sublicense Licensed Software nor any right under any patent, trademark, copyright, trade secret or other intellectual property of S-A other than that granted by this Agreement. 
 2. PROTECTION AND SECURITY 
 2.1 Customer agrees not to disclose, release, or
make available in any form any portion of Licensed Software to any person other than customer’s own employees or contractors. Customer represents that its employees and contractors having access to Licensed Software are or shall be party to
written agreements acknowledging a duty to protect S-A’s confidential materials, including the Licensed Software. 
 2.2 Customer shall keep Licensed
Software (including archival copies, if any), in a secure environment and shall take all steps reasonably necessary to protect Licensed Software or any part thereof from unauthorized disclosure or release. Customer may not export or reexport the
Licensed Software in any form except in compliance with all applicable laws and regulations. 
 2.3 Customer expressly agrees that a breach of this
Agreement will cause irreparable harm to S-A and that S-A shall have the right to obtain injunctive relief against any unauthorized use, disclosure, copying or transfer of any part of Licensed Software. Licensed Software may contain software
from third parties who are intended to be third party beneficiaries of this Agreement. 
 3. WARRANTY AND LIABILITY 
 3.1 S-A warrants that Licensed Software, as provided, shall conform to the published specifications of S-A. During the *** after the date of delivery of Licensed
Software, S-A shall use reasonable commercial efforts to correct errors detected in Licensed Software after receiving notification of such errors from Customer. 
 3.2 S-A MAKES NO OTHER WARRANTIES, WHETHER EXPRESS OR IMPLIED, WITH RESPECT TO ANY PRODUCTS OR SERVICES PROVIDED UNDER THIS AGREEMENT INCLUDING BUT NOT LIMITED TO ANY WARRANTIES OF MERCHANTABILITY OR FITNESS
FOR A PARTICULAR PURPOSE. S-A DOES NOT WARRANT THAT THE FUNCTIONS CONTAINED IN LICENSED SOFTWARE WILL MEET THE CUSTOMER’S REQUIREMENTS, OR THAT THE OPERATION OF LICENSED SOFTWARE WILL BE UNINTERRUPTED OR ERROR-FREE. S-A
MAKES NO WARRANTY OF NONINFRINGEMENT, EXPRESS OR IMPLIED. ANY THIRD PARTY SOFTWARE SUPPLIED WITH OR INCORPORATED IN LICENSED SOFTWARE IS PROVIDED “AS IS” WITHOUT WARRANTIES OF ANY KIND. IF ANY ADDITIONAL WARRANTS ARE SUPPLIED BY
A THIRD PARTY, SUCH WARRANTIES WILL BE OFFERED DIRECTLY BY SUCH THIRD PARTY TO CUSTOMER. 
  

 G-1 

 3.3 Customer acknowledges its responsibility to use all reasonable methods to prove out and thoroughly test the operation
of and output from Licensed Software prior to its use in Customer’s operations. 
 3.4 Unless otherwise provided in a separate writing, and subject only
to the warranty of this Section 3, S-A is under no obligation to provide Customer with any modifications, updates, additions or revisions to Licensed Software, nor to maintain Licensed Software in any manner. 
 3.5 In the event that any modifications are made to Licensed Software which have not been authorized by S-A, any and all warranty and other obligations of S-A shall
immediately cease with respect to such software. 
 4. INDEMNIFICATION 
 4.1 S-A shall pay all costs and damages finally awarded against Customer or its employees to the extent based upon a claim that Licensed Software, as supplied, infringes the intellectual property right of a third
party (except infringement occurring as a direct result of incorporating features, operations or algorithms, which are specifically required by Customer), provided that S-A is notified promptly in writing of any allegation of such infringement and
given full cooperation, information, and authority to settle such claim and to defend or control the defense of any suit based upon such claims. 
 4.2 In
the event that Licensed Software is likely to or does become the subject of a claim of infringement, or is held to infringe, S-A shall, at its option and expense, procure for Customer the right to continue using Licensed Software; or, modify
Licensed Software to make it non-infringing but functionally equivalent, or, substitute other software of similar capabilities; or, remove Licensed Software and refund the license fees less depreciation. This section 4 sets forth the entire
liability of S-A to Customer with respect to infringement. 
 5. LIMITATION OF LIABILITY 
 THIS AGREEMENT SETS FORTH THE ENTIRE OBLIGATION OF S-A WITH RESPECT TO LICENSED SOFTWARE, IN NO EVENT SHALL S-A BE LIABLE TO CUSTOMER FOR LOSS
OF PROFITS, INDIRECT, SPECIAL, INCIDENTAL CONSEQUENTIAL, PUNITIVE OR EXEMPLARY DAMAGES ARISING OUT OF OR IN CONNECTION WITH THIS AGREEMENT OR ANY ACTS OR OMISSIONS ASSOCIATED THEREWITH OR RELATING TO THE USE OF ANY
LICENSED SOFTWARE OR SERVICES FURNISHED, WHETHER SUCH CLAIM IS BASED ON BREACH OF WARRANTY. CONTRACT, TORT OR OTHER LEGAL THEORY AND REGARDLESS OF THE CAUSE OF SUCH LOSS OR DAMAGE OR WHETHER ANY OTHER REMEDY PROVIDED HEREIN
FAILS. 
 6. TERM AND TERMINATION 
 This
Agreement shall continue indefinitely unless terminated by one of the parties. This Agreement may be terminated by Customer upon thirty (30) days’ notice to S-A and by S-A upon breach by Customer of any term of this Agreement, which breach
is not cured within thirty (30) days after notice by S-A, or should Customer be adjusted a bankrupt or become a party to a similar proceeding for the benefit of its creditors. Immediately after such termination, Customer will deliver
to S.A. Licensed Software and any and all copies and modifications thereof (except copies which reside within the Designated Equipment and which shall be erased) and will, if requested, provide S-A its written certification that it has retained no
copies. 
 7. TAXES 
 Except for taxes
based on S-A’s income, S-A shall not be responsible for any federal, state or local taxes based upon Customer’s purchase, possession or use of Licensed Software or upon any charges payable or services performed hereunder. 

8. APPLICABLE LAW, INTEGRATION AND MODIFICATION 
 8.1 This
Agreement shall be construed and enforced in accordance with the laws of Georgia, not including any conflicts of laws provisions thereof. The UN Convention on Contracts for the International Sale of Goods shall not apply. 
 8.2 This Agreement comprises the full and final understanding between S-A and Customer, and merges and supersedes any and all other agreements, understandings or
representations, written or oral, with respect to the subject matter hereof. It may not be modified except by a writing signed by authorized representatives of both S-A and Customer, and referring specifically to this Agreement. 
 8.3 Any attempt by Customer to assign this Agreement shall be void unless the assignment is incidental to the sale of the Designated Equipment. 
 8.4 If any provision of this Agreement is found by a court or other jurisdictional body to be invalid or unenforceable, the remaining terms and conditions
shall continue in full force and effect. Waiver by any party of the breach of a provision of this Agreement by the other party shall not be construed as a continuing waiver of such provision or waiver of any other breach of any other provision
of this Agreement. 
  

							
	 AGREED:
 GULF POWER COMPANY,
INC.
	  	 ACCEPTED AND APPROVED:
 SCIENTIFIC-ATLANTA, INC.

				
	By	 	  
	  	By	 	  

	Printed Name	 	  
	  	Printed Name	 	  

	Title	 	  
	  	Title	 	  

	Date	 	  
	  	Date	 	  

  

 G-2 

 EXHIBIT H 
 AGREEMENT TO BE BOUND 
 AS AN “APPROVED PURCHASER” 
 UNDER ADVANCED ENERGY MANAGEMENT AGREEMENT 
 DATED SEPTEMBER     , 1996 (THE “AEM AGREEMENET”) 
 BETWEEN GULF POWER COMPANY AND
SCIENTIFIC-ATLANTA, INC. 
 This Agreement is to be attached to an Approved Purchaser’s purchase order for Products and/or Services under
the AEM Agreement. ANY TERMS AND CONDITIONS HEREIN OR IN THE APPROVED PURCHASER’S PURCHASE ORDER THAT ARE IN ADDITION TO, OR ARE INCONSISTENT WITH, THE TERMS AND CONDITIONS SET FORTH IN THE AEM AGREEMENT UNLESS SPECIFICALLY
AGREED TO IN WRITING BY SCIENTIFIC-ATLANTIC (WITH A SPECIFIC NOTATION AS TO THE VARIANCE FROM THE AEM AGREEMENT TERMS AND CONDITIONS), SHALL BE VOID AND OF NO EFFECT AND SHALL NOT CONSTITUTE A PART OF THE
AGREEMENT BETWEEN SCIENTIFIC-ATLANTA AND PURCHASER. 
 FOR AND IN CONSIDERATION of the agreement of Scientific-Atlanta, Inc.
(“S-A”) to sell products to the undersigned pursuant to the AEM Agreement, the undersigned hereby represents, warrants, covenants and agrees as follows: 
 1. The undersigned,                     , qualifies as an “Approved Purchaser” under the
Agreement.
 2. The undersigned is purchasing products and services from S-A. 
 3. The undersigned will comply with the requirements of the AEM Agreement as they apply to Approved Purchasers and shall be entitled to the rights and benefits of the AEM Agreement as provided therein, except as
otherwise specifically agreed in writing by the undersigned and S-A. 
 4. Capitalized term used in this Agreement and not otherwise defined shall have the
meanings ascribed thereto in the AEM Agreement. This Agreement shall be governed and construed in accordance with the laws of the State of Georgia, without regard to its conflict of laws principles. 
 IN WITNESS WHEREOF, the undersigned has caused this Agreement to be executed by its duly authorized representative this     
day of                     ,         . 
  

							
		 		  	  

				
		 		  	By:	 	  

		 		  	Title:	 	  

	 Accepted and acknowledged this
      day of                     ,         .
	  		 	
			
	SCIENTIFIC-ATLANTA, INC.	  		 	
				
	By:	 	  
	  		 	
	Title:	 	  
	  		 	

  

 - 1 - 

 EXHIBIT I 
 ACKNOWLEDGEMENT OF CONFIDENTIALITY OBLIGATIONS 
 I,
                            , an employee of 
              Gulf Power Company (“Gulf”) 
              Scientific-Atlanta, Inc. (“S-A”) 
 have been furnished with the attached copy of the provisions of Section 10 entitled “Confidentiality” of that certain Advanced Energy Management Agreement
(“Agreement”) dated September     , 1996 between Gulf and S-A and have read and understood such section. 
 In
consideration of S-A’s or Gulf’s disclosure to me of Proprietary Information and in consideration of my need to use such Proprietary Information for purposes of the Agreement, I agree to hold such information in trust and confidence
and to be bound by, and to fully comply with, the terms and conditions of Section 10 of such Agreement as attached hereto. 
  

			
	AGREED:
		
	By:	 	  

		 	Signature
		
	Name:	 	  

		 	Printed Name

 EXHIBIT J 
 *** 
  

 K-1 

 EXHIBIT K 
 INTERACTIVE VIDEO DATA SERVICES (IVDS) 
  

	K.1	In an-effort to promote the further development of a multifunctional gateway for Gulf Power Company’s Advanced Energy Management (AEM.) Program, Gulf Power Company is
interested in pursuing the possibility of utilizing Interactive Video Data Services (IVDS), a two-way wireless wide-area network (WAN) communication system; from the Head-End to the home; 

  

	K.2	Gulf Power Company will pursue the feasibility and development of a suitable deployment environment to take advantage of the IVDS technology within the Gulf Power Company
service territory. Scientific-Atlanta will explore the incorporation of IVDS WAN technology into their MainGate products. 

  

	K.3	Gulf Power Company, Scientific Atlanta and the IVDS provider will establish a deployment plan upon successful demonstration of the lVDS technology and its ability to reliably serve
as the WAN for the AEM Program. The incorporation of the IVDS two-way wireless technology into the AEM system will occur without a Request For Change (RFC). 

  

	K.4	Every effort shall be made by all parties to implement the IVDS WAN into the AEM project at a reasonable cost. High priority shall be given by all parties to share board
components and other hardware and software assets in order to reduce the overall cost of the system. Gulf Power Company and/or the IVDS provider shall furnish technical data (i.e., channel bandwidths, modulation techniques, data rates,
transmitter power levels, etc.) to Scientific Atlanta.. Scientific-Atlanta will provide a budgetary and: scheduling estimate to incorporate the IVDS WAN option into the MainGate products by November 1, 1996, or two weeks after the above
technical data is received, whichever is later. 

  

	K.5	Scientific Atlanta shall provide a general purpose RS232 interface into the appropriate MainGate products for the purpose of testing and/or deploying IVDS and/or other communication
technologies. 

  

	K.6	If details and conditions mentioned above are met and Gulf Power Company chooses to utilize the IVDS technology as the WAN, Scientific Atlanta will incorporate this technology into
their system (Head-End and Customer Premise Equipment) within a time period to be determined at a later date. 

  

	K.7	All parties in this contract shall keep confidential all information related to implementing IVDS wireless technology into the Gulf Power Company AE
Program.

  

 G-2 

 EXHIBIT L 
 MainGateJ 
 Feature Descriptions 
 Refer to: “LCMs shall be normally closed: 
 Specification for a time-out feature to be added to the
CEBus Load Control Module 
 A time-out feature will be added to the CEBus Load Control Module (LCM) such that the LCM will reconnect its shed loads
automatically after a time-out period has elapsed, when the load has been shed with a CEBus context 57 “off” command. Specifically the following functions will be implemented in the CEBus Load Control Module. 
  

	(1)	Two new instance variables(one for each relay-drive function), called time-outs, each containing configured values in the range of no less than *** to no more than ***. There should
be no value for which the relay would never time out. Gulf Power’s, preference is a *** timeout. 

  

	(2)	A means of configuring these instance variables over the CEBus network. 

  

	(3)	Operation should be as follows: 

  

	 	(a)	When a relay is commanded to shed load via CEBus context 57, the relay is activated and the time-out variable associated with that load is placed into a down-timer associated with
that relay. When that down-timer expires that load is reconnected, even in the absence of a command to reconnect. 

  

	 	(b)	If a load is already shed when another shed-command for that load is received, the load remains shed and the time-out instance variable is reloaded into the down-timer,
allowing another full time-out period until the load is automatically restored. 

  

	 	(c)	If a context 57 “restore” command is received for a load, that load is restored irrespective of the contents of its down-timer. Its down-timer is then cleared.

 The thermostat currently Set commands to the LCM, followed by Get commands. The thermostat will now be required to send
“Set CEBus context 57 on’ (shed) and ‘Set CEBus context 57 off’ (restore) commands to the LCM. These commands will be sent continuously and will reflect the required state (shed or restore) of the LCM at any given time.

 The Set commands from the thermostat to the CEBus Load Shed Relays will need to be routed via the ‘virtual’ LCM’s in the
Gateway LAN Card. 
  

 1 
  

 Scientific-Atlanta Confidential 

 Reference to: Thermostat operating in the program mode: 
 With the current implementation, if the user changes the temperature and raises it above the setpoint, then lowers it below the setpoint, and again raises
it over the setpoint, the heal pump will run when the setpoint is raised, it will shut off when it is towered, but it will not run again when the setpoint is raised again or when leaving the programming mode. This occurs because there is a five
minute period after turning on the heat pump, during which it will not turn back on. This is to protect the heat pump from damage. 
 It has
been suggested that instead of immediately controlling to the new user settings while in the programming mode, the control algorithm should instead use the old setpoint settings until the user leaves programming mode. This could be achieved in
a couple of ways: 
  

	 	•	 	The thermostat could wait for a fixed time-out after the last keypress. 

  

	 	•	 	The user could be required to press “Present Settings” key (or time-out) before the new settings would take effect. 

  

	 	•	 	Or, when the use leaves one programming period to go to another programming screen, could trigger the new setpoints to take effect. 

 Gulf Power would prefer the functionality provided in the first two bullets. Therefore, user settings would take effect either when immediately when
the ‘Present Settings’ key is pressed or *** after the last keypress in the Program mode. 
 S-A Response: 
 The thermostat function will be changed to comply with the following: 
 Any changes made when in the programming mode, will not take effect until the thermostat exits the programming mode. 
  

 2 
  

 Scientific-Atlanta Confidential 

 Reference to: Bar-coding the communications module: 
 S-A will print a block of labels (as per example label received from Gulf Power) with incrementing numbers. 
 To minimize handling costs, and serial number tracking in S-A manufacturing: 
 Units shipped may not be in sequential serial number order. 
 Serial numbers affixed to non-useable units e.g
‘fall-out’ units due to production yield will not be tracked or reused. 
 Headend Software: 
 An additional field is required in the SQL Database table for the new serial number. 
 An additional field is required in the Application GUI screen for the new serial number. 
 Gulf Power would prefer the SOCO meter numbering to be sequential if possible. When this is not possible, an Exception Report should be included with the shipment showing which SOCO meter numbers have been
omitted. 
  

 3 
  

 Scientific-Atlanta Confidential 

 Refer to: IR Port: 
 Field Service Utility Application 
 System Requirements 
  

	 	•	 	Field Computer: Windows 95 based computer (Laptop or Handheld), 166 MHz + Pentium, 32M memory, 100mb disk space for application and work files (one computer required per
installation team). 

  

	 	•	 	S-A Infra-red adapter module for Gateway interface port (via Serial port on Field Computer) 

  

	 	•	 	Optional bar-code scanner for device ID entry (interface TBD) 

  

	 	•	 	MFC 4.2 DLL’s installed (S-A to provide per David Rooney) 

 The Field Service Application consists of two major functional modules: 
  

	 	•	 	Basic Installation/Commissioning Functions 

  

	 	•	 	Maintenance and Diagnostics Functions 

 Basic
Installation/Commissioning Functions 
 Overview 
 Basic implementation would allow the installer to perform the first-time install of in-home devices, provide device ID’s and customer ID’s
for storage at the head-end, and place devices in their initial configuration. The goal is to handle installation of the in-home CEBus devices and Gateway (including multiple thermostats) and verify that all these devices communicate with
each other. The installation and verification can be performed without requiring any additional personnel at the head-end during the installation. Customer information such as customer name, address and customer ID will still need to be entered
at the Headend via the User Interface or import/export facility. It should also be possible to complete the installation process without requiring the field computer to connect to the head-end in any way. 
 It is presumed the installer has a work-sheet that indicates customer address, customer ID, and what devices are to be installed. To reduce the likelihood
of confusion between devices, it might be necessary to assign device names such as: “Upstairs Thermostat”, “Pool Pump LCM” etc., particularly in the case where multiple thermostats or control devices are being installed. The
installer should be able to select from his on-hand inventory, the appropriate devices. Any first-time data, such as initial dial reading, can be entered for forwarding to the head-end. When the in-home installation is complete, the installer then
initiates a call-in from the Gateway to the Headend. The Headend Application uploads the data captured at the Gateway, processes this data and updates the database. The results of this processing are then downloaded to the Gateway. After hang-up,
the Headend initiates a Gateway summons via the Pager system. The Gateway will subsequently call-in and the Headend will download the TOU schedule, thermostat schedule, offsets etc. The installer can access the PASS/FAIL results data, via
the IR interface using the Field Application, prior to departing the installation site. (Gulf Power would like a detailed description and flow chart of this process as soon as available.) 
  

 4 
  

 Scientific-Atlanta Confidential 

 The basic installation has limited troubleshooting functions, and does not accommodate the additional
processes required for in-home device or Gateway replacement, removal, or addition (these processes are included as part of the Maintenance and Diagnostic Functions module, described later). 
 MainGate Access (the following functions are part of the In-Field Application software). 
  

	 	•	 	Replace NoAccess layer with the IrAccess interface. 

  

	 	•	 	Implementation of IrAccess interface and porting of the IR protocol from GwCom. 

  

	 	•	 	MainGate Access configuration options and setup utility to select com port and settings. 

  

	 	•	 	New MGA functions to retrieve the serial port status (for showing IR activity) 

  

	 	•	 	New MGA and LAN PT functions to access store-and-forward buffer (SFB) in Gateway 

  

	 	•	 	Use event flag to signal information available in the store-and-forward buffer. 

  

	 	•	 	Modify commissioning process to implement authentication key assignments 

  

	 	•	 	New functions implemented in DevProbe for unit testing 

 Head-End Software 
  

	 	•	 	Call Handler: Detect flag indicating SFB data available, invoke BgInstall process 

  

	 	•	 	BgInstall: Read SFB data for processing 

  

	 	•	 	Commission gateway to customer for first-time install and update database for actual device ID’s (device records already in database) 

  

	 	•	 	Set initial dial reading, initial pulse count 

  

	 	•	 	BgInstall: Write results back to SFB for future reference. 

  

	 	•	 	Disconnect from gateway, initiate summons. (Will be flagged as no-show if fails to respond to page) 

  

	 	•	 	Subsequent call-in, completes the installation transferring head-end data to the gateway (Thermostat schedule, offsets, load actions, TOU schedule, event rules, WAN broadcast
addresses, LCM CLP assignment) 

  

	 	•	 	Additional event log transactions indicate field-service activity. 

 In-Field Software - First-Time Installation 
  

	 	•	 	Uses MGA in IrAccess mode 

  

	 	•	 	Indicates IR port activity to verify connection status 

  

	 	•	 	Accepts First-time install device parameters: Customer ID, WAN ID (read), LAN ID (read), Tstats ID (entered), LCMs ID (entered). Optional bar-code entry device can be used
(Interface TBD) 

  

	 	•	 	Accepts telephony parameters, dial prefix, tone/pulse dialing 

  

	 	•	 	Accepts customer time zone selection 

  

	 	•	 	Accepts initial meter dial reading value. 

  

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	 	•	 	Accepts name for device (“such as Upstairs” or “pool Pump”) 

  

	 	•	 	Initiates first-time device install: Commission all devices, commission LCM’s to thermostats, commission LAN to thermostats, set configured state of devices, assign
authentication keys, set LAN with resulting device addresses and authentication keys, set default thermostat profile (Schedule, load action, offsets), set default WAN profile (dial parameters, dial-in numbers, cap code, group-address (non-configured
group or commissioning group since the operational groups have not yet been assigned in the installation process of the gateway)), set default LAN profile (Clock, initial TOU, initial call-in schedule, initial configuration &
rules)

  

	 	•	 	Clears tamper latches, clears com-error flags, clears event log. 

  

	 	•	 	Should get display of the configuration process progress, and information about any failure (which device, failure cause). 

  

	 	•	 	Stores device & customer data in SFB, sets the SFB available flag. 

  

	 	•	 	Initiates a phone-line recalibrate, and sets the call-in flag 

  

	 	•	 	Read SFB state to receive confirmation from head-end (can be done on a return visit). 

  

	 	•	 	Store (or print) audit log of activities performed, results, and errors. 

 In-Field Software - Troubleshooting 
  

	 	•	 	Retrieve and display current LAN card device configuration (how many, which addresses, current state) 

  

	 	•	 	Retrieve and display current LAN card event flags (tamper, com-error, time) 

  

	 	•	 	Retrieve and display current WAN card flags (tamper, pager reception stats, modern connect state) 

  

	 	•	 	Echo test to CEBus devices and display results (good, bad, no response) 

  

	 	•	 	Query & display LCM relay state. 

 Maintenance and
Diagnostics Functions 
 Overview 
 In a complete implementation, additional service functions would be included to accommodate device replacement, removal, or addition. This module would provide an additional notification service by sending a result
message, via ‘human’ digital pager, to the Field Service Engineer when the Headend software has completed the installation. The field Service Engineer need not be on-site when the Headend completes the installation. 
 Also included in the design is a Network Diagnostics head-end UI that queries the database for all gateways (or customers) pending installation, completed
installation, or are in some installation failure state. 
 Additional troubleshooting features include the ability to initiate a live
connection with the head end to verify telephony operation, or imitate head-end pages and test sequences. There would also be a more detailed system report, and additional test functions to assist in testing and diagnosing problems. 
  

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 Additional Head-end Software Implementation 
  

	 	•	 	Add/Delete/Modify database records to reflect device changes unknown meter table - to store the dial reading and meter id belonging to the meter being removed

  

	 	•	 	Resynchronize pulse counter data in database on LAN card reinstall 

  

	 	•	 	Device re-install updates serial number data, clears “valid” flags to insure device is resynchronized with DB. 

  

	 	•	 	Device removal deletes associated device records 

  

	 	•	 	Device addition adds & initializes associated device records 

  

	 	•	 	Reset YTD-CTP accumulator in LAN card from database info when LAN card must be reinstalled. 

  

	 	•	 	Success/Failure message sent to field-service engineers DTMF based pager (BgMonitor function). 

  

	 	•	 	Installation status monitor - reports on the status of pending, failed, or complete installations in the database. 

  

	 	•	 	Live-connect head-end proxy to field computer (for generating pager messages, human alerts, selected DB queries). 

 In-Field Software - Device replacement / Removal / Addition 
  

	 	•	 	Accept entry of which device is being replaced, and new device ID 

  

	 	•	 	Thermostat/LCM replacement invokes subset of commissioning and authentication assignments for that device, recommissions to LAN card, loads default profile, flags new data in SFB,
sets SFB-available flag, initiates call-in. 

  

	 	•	 	LAN card replacement (or pulse encoder type change) requires re-commissioning all devices, and head-end awareness of change in pulse counters and carry-over of YTD-CTP. Very similar
to first-time install process. 

  

	 	•	 	WAN card replacement requires in-field reassignment of dial-prefix, tone/pulse, capcode, dial-in number, line recalibration, (perhaps setting GW-ID in EEPROM to previous value?)

 Additional In-Field Troubleshooting Functions 
  

	 	•	 	Detailed report of LAN, WAN, and Tstate/LCM device status (essentially all data that can be read) including firmware version, device model information, configuration data, etc.

  

	 	•	 	Live connect to head-end for testing telephony link, generating pager messages, alerting humans, query customer data, invoking summons sequence, or head-end initiated test process.

  

	 	•	 	Ability to mute thermostat control of LCMs and provide manual on/off switch operation for testing. 

  

	 	•	 	Ability to load test TOU schedules for thermostat testing (tier changes, CP indication, while LAN uses accumulator zero). 

  

	 	•	 	Ability to query serial number of unknown CEBus devices (presuming ‘promiscuous’ (all-message pass-through) mode available on IR) 

  

	 	•	 	WAN card EEProm access for modifying the Gateway ID 

  

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 Refer to: Gateway must communicate and interface with a minimum of two thermostats:

 Constraints: 
 1) Each
thermostat will control one, and only one, dedicated HVAC system. HVAC assignment is made during the CPE commissioning and cannot dynamically change or failover between thermostats. 
 2) Each thermostat can control up to two CEBus devices designated as ‘Water’ and Appl’. CEBus device assignment is made during the CPE
commissioning and cannot dynamically change between thermostats. CEBus devices are individually addressable and cannot be controlled by more than one thermostat. 
 3) There are no master/slave or peer-to-peer associations or communications between the thermostats. All thermostats work independently and autonomously. The thermostats work as equal but separate CEBus devices
relative to the gateway. 
 4) The thermostats should be individually addressable and should not require common configuration information
except for the house code. There should be no dependencies between thermostats for programmed times, temperatures or tier offsets. 
 Additional for clarification (per home): 
 Only one TOU schedule 
 Only one set of accumulators 
 Both
thermostats cannot control the same LCM/Appliance. 
 Changes required to Support Multiple Thermostats: 
 Headend Software: 
 MainGateAccess

  

	 	•	 	Modify commissioning process to be aware of the second thermostat and LCM’s for node address assignment. 

  

	 	•	 	Extra commissioning steps to commission second thermostat to LAN card and it’s slaved LCMs. 

  

	 	•	 	Additional CEBus addresses and authentication information programmed in LAN card. 

  

	 	•	 	Management of second protocol translator to provide original PT to be compatible with old firmware and a new PT to support the extended functions. 

  

	 	•	 	Above changes cause modifications to the LAN PT, and to DevProve for unit testing. 

  

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 Load Control Application 
  

	 	•	 	Additional target node ID’s for head-end initiated DLC function (extra broadcast for second thermostats) 

 BgInstall Process 
  

	 	•	 	BgInstall/BgDiagnostic manage the upload and download of thermostat schedules. When the customer changes a schedule in the thermostat (not including temporary or permanent holds),
it is uploaded to the database during the next call-in. (This call-in is selectable and can be instantaneous, first available night or during the monthly meter read). If head-end activity modifies a schedule (or re-assigns the default) the schedule
is downloaded to the thermostat on the next call-in. This process has to be aware of two thermostats, and two database entries. 

  

	 	•	 	BgInstall also needs to be aware of multiple LCM’s when it comes to configuring the CLP and address values. 

  

	 	•	 	BgDiagnostic also has to recognize the presence of additional devices when reporting errors such as com-failure. 

 Database and UI 
 It will be important to include a device description
field (such as “upstairs” or “downstairs”) to identify the devices. These values can be assigned by the field-installation application when the device is actually installed. 
 LAN Firmware 
 The LAN firmware will need to maintain communications
with each thermostat individually. It will need to manage configuration parameters for all thermostats associated with a given Gateway. Similarly, event logging, error logging, communication required rules etc. will need to
be maintained for each thermostat. 
  

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 AMENDMENT NO. 2 
 TO 
 ADVANCED ENERGY MANAGEMENT AGREEMENT 
 (Contract No. C96-410251) 
 This
Amendment No. 2 to Advanced Energy Management Agreement (this “Amendment”) is effect as of September 3, 1998, by and between GULF POWER COMPANY, INC., a Maine corporation (“Purchaser”), and SCIENTIFIC-ATLANTA,
INC., a Georgia corporation (“Seller”). 
 WHEREAS, Purchaser and Seller are parties to that certain Advanced Energy
Management Agreement dated as of September 16, 1996, as amended by Amendment No. 1 dated as of September 20, 1996 (as so amended, the “Original Agreement”); 
 WHEREAS, Purchaser and Seller wish to further amend the Original Agreement on the terms and subject to the conditions set forth in this Amendment;

 NOW, THEREFORE, for and in consideration of the promises and covenants contained herein, the premises, and other good and valuable
consideration, the parties hereto, intending to be legally bound, hereby agree as follows: 
  

	 	1.	The third paragraph of Exhibit B2 (“Media Access Controller”) is hereby deleted in its entirety and the following substituted therefor: 

 The P/T MAC connects to the paging service provider via modem over a dial-up telephone line. The paging protocol is POCSAG *** to provide
global, group and individual address methodology in a variable length message. The POCSAG *** protocol will also support other customer services such as direct load control, local/wide-spread storm warning notification, etc. 
  

	 	2.	Various exhibits are amended as follows: 

  

	 	(a)	Exhibit B.1.4 is hereby amended by deleting the first sentence of such Exhibit and inserting the following: “The MainGate Host System (including the MainGate telephony
protocol) will be based on an open and standard application architecture that will allow Gulf Power Company to reuse and develop enhanced program offerings.” Seller shall deliver this protocol to Purchaser on or before
November 30, 1998. The price for this protocol shall be ***, which Purchaser shall pay within thirty (30) days of delivery of the protocol. 

 Scientific-Atlanta 
 Proprietary Information 

	 	(b)	Exhibit C.1 (“Delivery Schedule”) is hereby amended by deleting such Exhibit C.1 in its entirety and inserting new Exhibit C.1 attached hereto.

  

	 	(c)	Exhibit C.3 (Testing Plan and Procedure) is hereby inserted as attached hereto. 

  

	 	(d)	Exhibit D.1 (“Pricing Schedule”) is hereby amended by deleting such Exhibit D.1 in its entirety and inserting new Exhibit D.1 attached hereto.

  

	 	(e)	Exhibit F (“Purchaser’s Pre-Installation Obligations”) is hereby amended to delete the reference to “Pre-Installation” in the heading of such Exhibit
and is further amended to insert new items F.8 and F.9 as follows: 

  

	 	F.8	Gulf Power Company shall provide the following equipment: 

  

	 	1  -	Dell OptiPlex Gxi 5166M computer with 64Mb RAM, 3GbHDD and monitor to serve as the Network Controller;

  

	 	1  -	Dell OptiPlex Gxi 5166M computer with 64Mb RAM, 3GbHDD and monitor to serve as the Media Access Controller 

  

	 	1  -	Dell OptiPlex GX pro 2000 computer with 64Mb RAM, 3Gb HDD and monitor to serve as the Application Workstation; 

  

	 	1  -	DEC Prioris HX 6200 computer with at least 128Mb RAM, at least 4Gb HDD and monitor to serve as the Database Server. 

 Scientific-Atlanta shall have the right to approve in advance any changes to the equipment provided by Gulf Power Company for the MainGate
System Master; provided, however, that such approval shall not be unreasonably withheld.
  

	 	F.9	Gulf Power Company shall obtain, at its cost and expense, all necessary Microsoft Windows NT and Microsoft SQL Server licenses. Gulf Power Company shall provide all software
licenses and software media to Scientific-Atlanta at or before hardware delivery (and at any subsequent time upon request) for system configuration and testing and for any other purposes reasonably requested by Scientific-Atlanta.

  

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 Proprietary Information 

	 	(f)	Exhibit L, “Functionality Clarifications”, attached hereto is hereby appended to the Agreement and Seller hereby agrees to provide the product and systems functionality as
described in said Exhibit. 

  

	 	3.	Seller acknowledges that Purchaser may be required to make certain commitments based on Seller’s anticipated October 1, 1998 delivery schedule and that, in the event
Seller is unable to meet such delivery schedule, Purchaser may incur costs and other expenses as a result. Subject to the terms and conditions of this Section, Seller agrees to compensate Purchaser for certain late deliveries provided that,
with respect to any such delivery: (i) the delinquency in delivery is not caused, directly or indirectly by actions of Purchaser, other than an exercise in good faith of its rights provided for in this Agreement; (ii) the
delinquency in delivery is not attributable to any exercise in good faith of the Seller’s rights under this Agreement in connection with or in response to a breach of this Agreement by Purchaser; (iii) the delinquency is not
attributable to any event listed or described in Section 14 of the Original Agreement; and (iv) Purchaser takes reasonable action to minimize any costs incurred. The compensation for late delivery specified in this section shall be
Purchaser’s sole and exclusive remedy for late delivery and shall be in lieu of all other rights and remedies to which Purchaser may be entitled under this Agreement, at law or in equity, provided, however, that nothing in this
provision is intended to alter or amend the parties termination rights provided for in Section 17 of the Original Agreement, which rights shall remain in full force and effect. 

  

	 	(a)	If Seller fails to make deliveries per the dates and qualities specified in Exhibit C.1, Seller shall be liable to the Purchaser for (i) the lesser of (x) $*** for each
whole month of delay or prorated portion thereof, or (y) Purchaser’s installation preparation costs, actually and reasonably incurred during the period of delay, plus (ii) the lesser of (x) $*** for each whole month of delay
or prorated portion thereof, or (y) Purchaser’s internal project management costs, including appropriate overheads, actually and reasonably incurred during the period of delay. 

  

	 	(b)	In addition to the liabilities incurred by Seller under 3.(a) above, with respect to the first six monthly shipments, for all full or partial shipments not delivered by their
respective due dates, Seller shall be liable to the Purchaser for $*** per unit delayed for each whole month of delay or prorated portion thereof, up to a maximum of $*** in the aggregate under this provision. 

  

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 Proprietary Information 

 Any monetary liability of Seller to Purchaser set forth in this Section shall be satisfied in the form
of a credit issued to Purchaser by Seller against future equipment purchases. Notwithstanding this provision, should the Agreement be terminated consistent with provisions for termination, any liabilities due either party by the other shall be
settled by immediate payment of funds due. 
  

	 	4.	Notwithstanding anything in the Original Agreement to the contrary, Purchaser shall use power line carrier (PLC) thermostat/gateway communications as an interim step to radio
frequency (RF) thermostat/gateway communications. Seller will actively pursue, and, within eight (8) months of the production availability of the necessary radio frequency (RF) integrated circuit chip (otherwise known as “R915
IC” or its equivalent), shall begin providing RF thermostat/gateway communications. Seller will work diligently to make such technologies available on an expedited basis. During this time, if Purchaser can show the PLC feature is
the cause of having to acquire a permit for installation, Seller agrees to pay ***% of the permit cost (maximum of $***/site). Purchaser shall use its best efforts to reduce and eliminate the need for permits. 

  

	 	5.	In exchange for Seller’s agreements contained in paragraphs (a) - (c) below, Purchaser agrees to waive, release and forever discharge any and all claims which it has, may
have or has had relating to Purchaser’s Advance Payment (or Thermostat Developmental fee or Honeywell Developmental fee), the delivery schedule (as set out in the Original Agreement or as modified prior to the date of this Amendment)
for the SuperStatTM thermostat and any delays or delinquency in Seller’s or any third party’s performance relating thereto and for any and all claims of any nature whatsoever arising out of the Original Agreement prior to the
execution of this Amendment provided that nothing contained herein shall be deemed to release Honeywell Corporation from any liability to Seller or Purchaser, and provided further that nothing contained herein shall be deemed to
waive or release Seller from liability for any claims of Purchaser which may arise from actions or events after the date of this Amendment relating to any breach by, or nonperformance of, Seller under the Original Agreement as amended
by this Amendment. 

  

	 	(a)	Exhibit D.2 (“Options”) is hereby amended by lowering the price of the Whole-house Surge Suppression Option from $*** per unit to $*** per unit. Purchaser shall
select and purchase the Whole-house Surge Suppression Option for all gateway units. Seller shall provide an additional $***/unit discount to Purchaser for surge suppression with each PLC-only gateway/thermostat pair (i.e., $*** per PLC-only unit) to
cover additional installation cost. 

  

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 Scientific-Atlanta 
 Proprietary Information 

	 	(b)	Seller will fund the design and construction of a new gateway enclosure designed to meet Purchaser’s field requirements relating to power panel access. Purchaser shall provide
a representative to participate on the design team and provide customer input to the team. Seller shall retain all intellectual property rights in and to the design created and the new enclosure itself, and Purchaser agrees that it shall assist
Seller, at Seller’s expense, in establishing, perfecting and maintaining Seller’s intellectual property rights in whatever jurisdiction chosen by Seller. Nothing herein is intended to affect or alter in any way Seller’s obligations to
Purchaser as set forth in the proprietary rights indemnification contained in Section 11 of the Original Agreement. 

  

	 	(c)	Should Purchaser terminate the Original Agreement as amended, pursuant to Section 17.1(e) of the Original Agreement, for Seller’s failure to perform, then, within thirty
(30) days following such termination, Seller shall pay or otherwise make available to Purchaser the amount of *** dollars ($***); provided, however, that nothing in this sentence is intended to limit or exclude damages otherwise
recoverable under the Original Amendment as amended that are sustained by Purchaser after the date of this Amendment. The amounts to be paid under this paragraph (c) shall be reduced by an amount equal to *** dollars ($***) for each
gateway purchased under the terms of the Original Agreement as amended. 

  

	 	6.	Section 9.3 (Warranty Replacement or Repair) of the Original Agreement is hereby amended by appending the following sentence to the end of that section:

 “For purposes of tracking equipment replacements and repairs covered by the warranty provisions herein, Products
shall be classified according to specific dates of the applicable Warranty Period, with the classes denoted as “Warranty Class [month/year of installation]”. Should the repair or replacement of Products under this warranty provision
require the removal and/or reinstallation of *** percent (***%) or more of the Products in a particular Warranty Class which have been installed in in-home installations, the Seller shall be liable to the Purchaser for *** percent (***%)
of the costs of such removal and/or reinstallation of Produces in that Warranty Class. 
  

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 Exhibit E (Warranty Repair/Replacement Procedure) is hereby amended to add the following
subsection: 
  

	 	E.2  5)	Gulf Power Company documents at the end of each month removal and/or reinstallation cots incurred which were related to the repair/replacement of defective CPE Products in each
particular Warranty Class. If *** percent (***%) or more of the installed CPE Products in any Warranty Class had to be removed and/or reinstalled for warranty repairs or replacement, Gulf Power invoices the
documented removal/reinstallation costs for that Warranty Class to Scientific-Atlanta, with reference to the RMA. Gulf Power may submit said invoices to Scientific-Atlanta at any time after reach the *** (***%) threshold for a particular
Warranty Class and said invoices may cover costs incurred in more than one month and more than one Warranty Class. Following Gulf Power’s submission of an invoice, Scientific-Atlanta provides to Gulf Power a credit on the next
equipment invoice for *** percent (***%) of the documented removal/reinstallation costs which have been invoiced or, upon mutual agreement of the parties, otherwise settles its liability to Gulf Power Company for these costs.

  

	 	7.	Section 17.1 (Termination of Agreement), is hereby amended by deleting subsection “g.” in its entirety and replacing it as follows: 

  

	 	(g)	At any time on or after December 31, 1999, by Purchaser upon one hundred eighty (180) days advance notice. In order to be entitled to terminate this Agreement pursuant to
this Section, Purchaser shall pay to Seller the “Termination Fee” as calculated below, which the parties acknowledge and agree is reasonable in light of the difficulty in establishing the harm and loss to Seller from Purchaser’s
termination of this Agreement prior to its scheduled expiration. Such termination will not excuse any liability of Purchaser to Seller for outstanding Product invoices or any future invoices up to and including the date of termination. For purposes
of this Agreement, the “Termination Fee” shall be equal to ***. The Termination Fee shall be calculated by Seller after consultation with Purchaser. 

  

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 Scientific-Atlanta 
 Proprietary Information 

	 	8	Except as expressly modified hereby, the Original Agreement shall continue in full force and effect. This Amendment may be executed in counterparts and each of the
counterparts shall, when taken together, constitute one and the same Agreement. 

 IN WITNESS WHEREOF, the parties have
executed this Amendment as of the day and year first set forth above. 
  

			
	GULF POWER COMPANY, INC.
		
	By:	 	 /s/ John E. Hodges Jr

	Title:	 	Vice President
	Date:	 	
	
	SCIENTIFIC-ATLANTA, INC.
		
	By:	 	 /s/ Theodore R. Wieber, Jr.

	Title:	 	PRESIDENT Satellite Networks
	Date:	 	

  

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 Proprietary Information 

 Amendment No. 3 - 
 Execution Copy 
 ASSIGNMENT AND ASSUMPTION AGREEMENT 
 THIS ASSIGNMENT AND ASSUMPTION AGREEMENT (the “Assignment and Assumption Agreement”), dated as of this 19th day of August, 1999, by and among
SCIENTIFIC-ATLANTA, INC., a Georgia corporation (“Scientific-Atlanta”), COMVERGE TECHNOLOGIES, INC., a Delaware corporation (“Comverge”), DATA SYSTEMS & SOFTWARE INC., a Delaware corporation (“DSSI”), and GULF
POWER COMPANY, INC., a Maine corporation (“Gulf”); 
 WITNESSETH: 
 WHEREAS, Scientific-Atlanta and Comverge are parties to that certain Asset Purchase Agreement dated as of June 11, 1999 (the “Purchase
Agreement”), pursuant to which Scientific-Atlanta has agreed to sell substantially all of the assets of its Control Systems Business (the “Business”) to Comverge and to transfer all of the contracts of the Business to Comverge;

 WHEREAS, pursuant to the Purchase Agreement, Comverge has agreed to purchase such assets and to assume all of the liabilities and
obligations under the contracts of the Business; 
 WHEREAS, Scientific-Atlanta and Gulf are parties to that certain Advanced Energy
Management Agreement, dated as of September 16, 1996 (as amended to date, the “AEM Agreement”); 
 WHEREAS, in connection with
the closing of the transactions contemplated by the Agreement, Scientific-Atlanta wishes to transfer to Comverge, and Comverge wishes to assume, all of the rights, benefits, liabilities and obligations of Scientific-Atlanta under the AEM Agreement;

 WHEREAS, DSSI is willing to guarantee Comverge’s full and faithful performance under the AEM Agreement; and 
 WHEREAS, Gulf is willing to consent to such assignment on the terms and subject to the conditions set forth herein; and 
 WHEREAS, Gulf and Comverge desire, in connection with this assignment, to modify and amend the AEM Agreement as set forth herein; 
 NOW, THEREFORE, in consideration of the premises, the agreements of the parties contained herein, and other good and valuable consideration, the receipt
and sufficiency of which are hereby acknowledged, the parties hereto, intending to be legally bound, hereby agree as follows:
 I.
ASSIGNMENT AND ASSUMPTION 
 1. Attached hereto as Exhibit A is a true and complete copy of the AEM Agreement, including Amendments
No. 1 and 2, the correspondence from Gulf dated August 19, 1999 (the “gulf Letter”) containing an exclusive list of the critical items remaining to be resolved 
  

 1 

 Amendment No. 3 - 
 Execution Copy 
 prior to commencement of deliveries as per the Delivery Schedule, and the executed Status of Gulf Power
MainGate Contract dated June 28, 1999 reference in the Gulf Letter. Scientific-Atlanta and Gulf acknowledge and represent that Exhibit A reflects the full and complete understanding of Gulf, Scientific-Atlanta and Comverge with respect to the
subject matter of the AEM Agreement, and there are no other agreements, side letters or other arrangements relating thereto, except as set forth herein. 
 2. Scientific-Atlanta hereby assigns, effective as of the “Closing” (as defined in the Purchase Agreement) all of Scientific-Atlanta’s right, title and interest in and to the AEM Agreement, and Comverge
does hereby assume, effective as of the Closing, all liabilities and obligations of the Seller under the AEM Agreement. Gulf shall be entitled to insist upon the performance by Comverge of all obligations of Seller (including, without limitation,
satisfaction of functionality requirements and timely deliveries) under the AEM Agreement as amended hereby. 
 3. DSSI acknowledges that as
the parent corporation of Comverge, it will benefit from the Closing and Gulf’s consent to the assignment of the AEM Agreement. In consideration of such benefit, which DSSI acknowledges as sufficient, DSSI hereby unconditionally and irrevocably
guarantees the full and timely performance by Comverge of all of Comverge’s obligations under the AEM Agreement as so assigned. 
 4.
For the first *** gateways purchased by Gulf under the AEty Agreement, verge and Gulf agree that the price to Gulf shall be reduced by $*** per gateway to.reflect an agreed-upon resolution of certain credits for late deliveries called for under
Section 3 of Amendment No. 2 to the AEM Agreement, and to address the change in schedule to permit phased deliveries of Products as provided herein. Should the AEM Agreement be terminated consistent with provisions for termination prior to
Gulf realizing the total cumulative price reductions of $*** provided for in this paragraph, any portion of this amount not yet realized will constitute a liability due Gulf as provided for in Section 3 of Amendment No. 2 to the AEM
Agreement. 
 5. Gulf hereby irrevocably consents to the assignment of the AEM Agreement by Scientific-Atlanta to Comverge, effective as of
the Closing. Gulf confirms that it waives any and all past defaults by Scientific-Atlanta under the AEM Agreement. Gulf agrees that on and after the Closing it shall look solely to Comverge and DSSI with respect to the obligations of
Scientific-Atlanta under the AEM Agreement. 
 II. AMENDMENT TO AEM AGREEMENT 
 Comverge and Gulf agree that from and after the Closing, the AEM Agreemeni; is hereby modified and amended as follows: 
 1. Section 3 of the Agreement is hereby amended by adding the following sentence: “Notwithstanding anything in this agreement to the contrary,
the Purchaser shall purchase not fewer than *** units during the term of the Agreement; subject to termination pursuant to Section 1 7.” 
 2. Section 14 is hereby amended by adding the following sere to the end of the section: ”Any delays in performance or any non-performance resulting from assignment of the AEM 
  

 2 

 Amendment No. 3 - 
 Execution Copy 
 Agreement or from any breach of the Asset Purchase Agreement will not constitute “Excusable
Delays” under the provisions of Section 14 of the AEM Agreement or Section 3 of Amendment No. 2 to the AEM Agreement.” 
 3. Section 17.1(e) is. hereby deleted and replaced with the following: “After December 31, 1999, by either Party in the event that the other Party fails to perform any material provision of this Agreement and does not cure
such failure within a period of sixty (60) days after receipt of written notice from the other Party specifying such failure and stating its intention to terminate this Agreement if such failure is not cured.” 
 4. Section 18.1 is hereby amended by deleting Scientific-Atlanta’s addresses and replacing them with the following, 
 Comverge Technologies, Inc. 
 23 Vreeland
Road, Suite 160 
 Florham Park, New Jersey 07932 
 Ehrenreich Eilenberg Krause & Zivian LLP 
 11 East 44th Street, 17th Floor 
 New York, NY 10017 
 5. Exhibit C.1 is
hereby amended by replacing “August 31, 2004” with “August 31, 2007.” Section 4 is hereby amended by deleting the final sentence and replacing it with the following: “This Agreement shall be effective for
a period of ninety-eight (98) months following the commencement of volume shipments, terminating no later than October 31, 2007, unless earlier terminated as provided herein.” Initial deliveries shall be made in accordance with
the following schedule, which shall be deemed incorporated into Exhibit C.1 as amended: 
  

			
	 Delivery By
	  	Net No. of Units
to be Delivered
	 10/01/99
	  	***
	 11/01/99
	  	***
	 12/01/99
	  	***
	 01/01/00
	  	***

 For.the first two initial deliveries Comverge shall be entitled to satisfy, at its discretion: all or a portion of
such deliveries through the upgrade of components and/or firmware in an equivalent number of units delivered to Gulf prior to the date of this Assignment and Assumption Agreement. 
 On and after February 1, 2000, purchases shall be made and volume deliveries shall be made in accordance with the AEM Agreement. 
 6. Paragraph 3 of Amendment No. 2 to the AEM Agreement (“Amendment No. 2”) is hereby amended by replacing “October 1, 1998” with “October 1, 1999.” It is further
amended by replacing the phrase “ ...unable to meet such delivery schedule, Purchaser may...,” with the phrase “ ...unable to meet such delivery schedule due to its inability to successfully complete any critical items
referenced in the Gulf Letter or to manufacture or deliver system components, 
  

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 Amendment No. 3 - 
 Execution Copy 
 Purchaser may....” Notwithstanding the above, for deliveries scheduled from October 1, 1999
through January 1, 2000, a failure of the *** units to fully satisfy the critical items in the Gulf Letter shall not be deemed to constitute a failure to make required deliveries, it being the intention of the parties to use these initial
deliveries to assist in troubleshooting and resolving such critical items. For late deliveries in any of such months the maximum liability of Comverge pursuant to Sections 3(a) and (b) for any such month (which shall be in addition to
amounts calculated under 1.4 above) shall be equal to: ***. 
 7. A new Paragraph 3(c) is hereby added to Amendment No. 2 as follows:
“Seller and Purchaser agree that the liabilities of Seller to Purchaser incurred by Seller under Paragraphs 3.(a) and 3.(b) above represent a fair and reasonable estimate of a substantial portion of direct and immediate damages which would be
sustained by Purchaser in the event Seller fails to make timely shipments in accordance with the Delivery Schedule and do not constitute penalties.” 
 8. The last; unnumbered clause of Paragraph 3 of Amendment No. 2 is hereby numbered Paragraph 3(d), and the reference to “this Section” in such. paragraph shall be changed to “this
Section 3”. 
 9. This Assignment and Assumption Agreement shall constitute Amendment No. 3 to the AEM Agreement.

 10. The consent pursuant to Article I, Section 5 hereof is effective upon signing, This Amendment No. 3 and the assignment
and assumption hereunder shall take effect as of the Closing. 
 IN WITNESS WHEREOF, the parties have executed this Assignment and Assumption
Agreement as of the day and year first written above. 
  

							
	SCIENTIFIC-ATLANTA, INC.	 	GULF POWER COMPANY, INC.
				
	By:	 	 /s/ Theodore R. Wieber, Jr.
	 	By:	 	 /s/ John E. Hodges, Jr.

	Name:	 	Theodore R. Wieber, Jr.	 	Name:	 	John E. Hodges, Jr.
	Title:	 	President, Satellite Networks	 	Title:	 	Vice President

  

			
	COMVERGE TECHNOLOGIES, INC.
		
	By:	 	 /s/ Frank A. Magnotti

	Name:	 	Frank A. Magnotti
	Title:	 	President

 [SIGNATURE OF DSSI ON FOLLOWING PAGE] 
  

 4 

 Amendment No. 3 - 
 Execution Copy 
 DATA SYSTEMS & SOFTWARE INC. 
  

			
	By:	 	 /s/ George Morgenstern

	Name:	 	George Morgenstern
	Title:	 	CEO

  

 5 

 AMENDMENT NO. 4 
 TO 
 ADVANCED ENERGY MANAGEMENT AGREEMENT 
 This Amendment No. 4 to Advanced Energy Management Agreement (this “Amendment”) is effective as of July 1, 2003, by and between
GULF POWER COMPANY, INC., a Maine corporation (“Gulf” or “Purchaser”), and COMVERGE, INC., a Delaware corporation (“Comverge” or “Seller”); 
 WITNESSETH: 
 WHEREAS, Gulf and Comverge, by assignment, are parties to that certain Advanced Energy Management Agreement dated September 16, 1996, as amended by Amendment No. 1 dated September 20, 1996, Amendment No. 2 dated
September 3, 1998, and Amendment No. 3 dated August 19, 1999 (as so amended, the “Original Agreement”); 
 WHEREAS,
as of July 1, 2003, Gulf had purchased and taken delivery of *** Gateways from Comverge; 
 WHEREAS, Gulf and Comverge wish to
further amend the Original Agreement in accordance with the terms and conditions set forth in this Amendment; 
 NOW, THEREFORE, for and
in consideration of the promises and covenants contained herein, the premises, and other good and valuable consideration, the parties hereto, intending to be legally bound hereby agree as follows: 
  

	1.	Section 1 of the Original Agreement is hereby amended by deleting subsection 1.6 in its entirety and inserting a new subsection 1.6 to read as follows:

  

	 	1.6	“Customer Premise Equipment” or “CPE” means the Gateway which is located outside a Customer’s home or business, and any in-house or in-business
devices consisting of thermostats and load control modules. “CPE Unit” means all CPE equipment for one home or business location. 

 Section 1 of the Original Agreement is further amended by adding after 1.12 the following new sections 1.12a. and 1.12b.to read as follows: 
  

	 	1.12a.	“Gateway” means the equipment described in section B.3 of Exhibit B to the Original Agreement. 

  

	 	1.12b.	“MaingateTM Home System” means the Customer Premise Equipment, software, head-end, utility host equipment, and other Products, including ancillary equipment,
comprising the Advanced Energy Management System. 

	2.	Section 3 of the Original Agreement is amended by deleting in its entirety the following sentence; 

 “Notwithstanding anything in this Agreement to the contrary, the Purchaser shall purchase not fewer than *** units during the term of the Agreement;
subject to termination pursuant to Section 17.” 
 and inserting the following language: 
 “From the period commencing on July 1, 2003, and continuing thereafter as provided herein (and subject only to Purchasers right to terminate the
Original Agreement pursuant to Section 17), Purchaser commits to purchase and take delivery of a minimum quantity of (1) *** Gateway units, (ii) *** Thermostat units and (iii) *** Load Control Relay units ( “Minimum
Purchase Commitments”). 
  

	3.	Section 4 of the Original Agreement is hereby amended by deleting the last sentence and inserting in lieu thereof: “This Agreement shall terminate upon
delivery of the Minimum Purchase Commitments.” 

  

	4.	The heading of Section 5 is hereby amended by deleting ; “MOST FAVORED CUSTOMER”. 

  

	5.	Section 5.1 of the Original Agreement is hereby amended by deleting the last sentence of said section and inserting a new sentence at the end of said section to read as
follows: “Seller shall hold the Prices on Exhibit D firm for the duration of the AEM Agreement.” 

  

	6.	Section 5.4 of the Original Agreement is hereby amended by deleting said section in its entirety and inserting a new section 5.4 to read as follows:

 Section 5.4 Research & Development Contribution. 
 Comverge will customize and pilot a residential multi-dwelling version of its MaingateTM Home System and a commercial/residential version for
high amperage service locations, Comverge will also customize and pilot a new backlit, larger screen thermostat. In consideration of these efforts, Gulf shall pay Comverge a Research & Development Contribution of $*** payable in
three equal installments of $*** due on September 1, 2003, September 1, 2004 and September 1, 2005. 

	7,	Section 17.1 (Termination of Agreement), of the Original Agreement as amended by paragraph 7 of Amendment No. 2, is hereby amended by deleting subsection
“g” in its entirety and replacing it as follows: 

  

	 	(g)	At any time on or after December 31, 2006, by Purchaser upon one hundred eighty (180) days advance notice In order to be entitled to terminate this Agreement pursuant
to this section, Purchaser shall pay to Seller a Termination Fee which the parties acknowledge and agree is reasonable in light of the difficulty in establishing the harm and loss to Seller from Purchaser’s termination of this
Agreement prior to its scheduled termination. Such termination and the payment of a Termination Fee is in addition to any other amounts owed by Purchaser to Seller and will not excuse any liability of Purchaser to Seller for outstanding
Product invoices or any future invoices up to and including the Termination Date. For purposes of this Agreement, the “Termination Fee” shall be equal to the sum of ***. A Termination Fee Worksheet is incorporated herein as new
Exhibit L. 

  

	8.	Exhibit C (“Delivery Schedule”) is hereby amended by deleting such Exhibit C in its entirety and inserting the new Exhibit C attached hereto.

  

	9.	Exhibit D. I (“Pricing Schedule”) is hereby amended by deleting such Exhibit D.1 in its entirety and inserting the new Exhibit D.I attached hereto.

  

	10.	Except as expressly modified hereby, the Original Agreement shall continue in full force and effect. This Amendment may be executed in counterparts and each of the
counterparts shall, when taken together, constitute one and the same Agreement. 

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

							
	GULF POWER COMPANY, INC.	 	COMVERGE, INC.
				
	By:	 	 /s/ Francis M. Fisher
	 	By:	 	 /s/ Frank A. Magnotti

	Title:	 	Customer Operations V.P.	 	Title:	 	President, Global Sales and Marketing
	Date:	 	12/9/03	 	Date:	 	12/9/03

 EXHIBIT C 
 DELIVERY SCHEDULE 
  

	A.	MaingateTM Home System CPE Unit Deliveries. 

  

	 	1.	Commencing on July 1, 2003 and continuing through February 28, 2005, CPE Unit deliveries will be suspended except as provided in C.3 and C.4 below.

  

	 	2.	Commencing on March 1, 2005 and continuing until the Minimum Purchase Commitments are met (including previous deliveries made pursuant to CA below), Comverge will
manufacture and deliver to Gulf each month: 

 - *** Gateways 
 - *** Thermostats with RAM modules, an 
 - *** Load Control Relays 
  

	B.	Adjustments. On or before September 30, 2005 (and effective as of January 1, 2006), Comverge and Gulf will negotiate, in good faith, adjustments to:

  

	 	1.	The number of MaingateTm Home System CPE Units deliverable per month and the price of said CPE Units provided that ***. 

  

	 	2.	Substituting MaingateTM Home System CPE Unit deliveries for the delivery of new Maingate’rm Home System multi-family CPE Units and/or commercial CPE Units, provided that ***. 

 Gulf will keep Comverge advised as to fluctuations in the market during the term of the Agreement for consideration by the parties in negotiating
adjustments to the delivery schedule. 

	C.	Other. 

  

	 	1.	Product Evolution. Comverge product evolution will continue between July 1, 2003 and February 28, 2005, during which time the deliveries of CPE Units are suspended,
and thereafter. 

  

	 	2.	Previously Delivered Products. Gulf and Comverge will jointly review and evaluate new technologies over the life of the Agreement weighing the technical advantages
of the technologies against the estimated development cost and reach a mutual agreement in each case on how to proceed. Comverge will use reasonable commercial efforts to provide backward compatibility of previously delivered MaingateTM Home System equipment and supporting software with new
technologies; provided, however, that the Parties acknowledge the possibility that CEBus LAN technology may no longer be supported by the industry and that in its MaingateTM Home System evolution, Comverge may need to migrate to another technology which will be determined by mutual agreement
of the Parties. Other Comverge and Gulf approved in-home user interfaces may be substituted for the SuperStat as agreed by both parties. 

  

	 	3.	LookoutTM -Purchase Commitment. Gulf will purchase a minimum of *** Comverge LookoutsTM camera systems to be delivered and installed in accordance with a mutually agreeable schedule between July 1, 2003 and February 28,
2005. 

  

	 	4.	New Comverge Thermostat. Gulf will purchase a minimum of *** new Comverge thermostats, developed in accordance with Section 5.4 of the Agreement, to be delivered
and installed in accordance with a mutually agreeable schedule between July 1, 2003 and February 28, 2005. This quantity will count toward the total number of thermostats required to be purchased. 

 EXHIBIT D 
 D.I PRICING SCHEDULE 
  

									
	 A.
	  	NEW PRODUCT PRICING PER UNIT FROM JULY 1 2003 THROUGH FEBRUARY 28, 2005	  	
				
		  	-	  	Comverge LookouJm Camera Systems	  	$***
		  	-	  	*** New Comverge Thermostats	  	$***
			
	B.	  	PRICING FROM MARCH 1 2005 THROUGH DECEMBER 31, 2005	  	
					
		  	1.	  		  	MaingateTM Home System Unit Cost:	  	
					
		  		  	-	  	Gateways	  	$***
		  		  	-	  	Thermostats with RAM modules	  	$***
		  		  	-	  	Load Control Relays	  	$***
					
		  	2.	  		  	Manufacturing Start Up Fee:	  	
					
		  		  		  	Gulf will pay to Comverge a one time Manufacturing Start-Up Fee in the amount of $*** due on March 1, 2005 as consideration for the suspension of deliveries of Maingater” Home Systems
and to cover costs associated with the recommencement of manufacturing following the suspension of the deliveries.	  	
			
	C.	  	PRICING BEGINNING JANUARY 1 2006 AND CONTINUING THEREAFTER UNTIL TERMINATION	  	
					
		  		  		  	MaingateTM Home Systems Unit Cost:	  	
					
		  		  	-	  	Gateways	  	$***
		  		  	-	  	Thermostats with RAM Modules	  	$***
		  		  	-	  	Load Control Relays	  	  ***
			
	D.	  	RESEARCH AND DEVELOPMENT	  	
			
		  	For services set forth in Section 5.4, Gulf shall pay to Comverge by:	  	
					
		  		  	-	  	September 1, 2003	  	$***
		  		  	-	  	September 1, 2004	  	$***
		  		  	-	  	September 1, 2005	  	$***

 Exhibit L 
 Termination Fee Worksheet 
  

									
	  	  	 	  	 	  	 	 	Term. Fee
	I.	  	CALCULATION OF CONTRACT VALUE	  		 	
		  	A.	  	GATEWAYS	  		 	
		  		  	 1.      Minimum Purchase Commitment (Section 3)
	  	***	 	
		  		  	 Less: cumulative units purchased during the period
	  		 	
		  		  	 2.      commencing
	  		 	
		  		  	 on July 1, 2003 and ending on the effective date of the termination.
	  		 	
		  		  		  	 	 	
		  		  	 3.      Units subject to Termination Fee
	  		 	
		  		  	 4.      Unit Termination Price (1)
	  	$***	 	
		  		  		  	 	 	
		  		  	 5.      Gateway Contract Value (A.3. x A.4.)
	  		 	  —  
		  	B.	  	THERMOSTATS	  		 	
		  		  	 1.      Minimum Purchase Commitment (Section 3)
	  	***	 	
		  		  	 Less: cumulative units purchased during the period
	  		 	
		  		  	 2.      commencing
	  		 	
		  		  	 on July 1, 2003 and ending on the effective date of the termination.
	  		 	
		  		  		  	 	 	
		  		  	 3.      Units subject to Termination Fee
	  		 	
		  		  	 4.      Unit Termination Price (1)
	  	$***	 	
		  		  		  	 	 	
		  		  	 5.      Thermostat Contract Value (8.3, x B.4.)
	  		 	  —  
		  	C.	  	LOAD CONTROL RELAYS	  		 	
		  		  	 1.      Minimum Purchase Commitment (Section 3)
	  	***	 	
		  		  	 Less: cumulative units purchased during the period
	  		 	
		  		  	 2.      commencing
	  		 	
		  		  	 on July 1, 2003 and ending on the effective date of the termination.
	  		 	
		  		  		  	 	 	
		  		  	 3.      Units subject to Termination Fee
	  		 	
		  		  	 4.      Unit Termination Price (1)
	  	$***	 	
		  		  		  	 	 	
		  		  	 5.      Load Control Contract Value (C.3. x C.4.)
	  		 	  —  
		  		  	 D.     Total Contract Value (A.5.+B.5.+C.5.)
	  		 	  —  
		  		  	 Contract Value component of Termination Fee (11% of
	  		 	$
		  		  	 E.     Contract Value)
	  		 	  —  

  

									
	II.	  	FULLY LOADED COST OF INVENTORY AS OF THE TERMINATION DATE	  		  	
		  		  		  		  	 
		  		  	TERMINATION FEE	  		  	                    
		  		  		  		  	 

	(1)	Subject to annual adjustments based on increases in the Producers’ Price Index. 

 One Energy Place 
 Pensacola,
Florida 32520 
 Tel 850.444.6111 
 

 
 Amendment 4 to AEM Agreement 
 Gulf Power and Comverge agree to the following changes in the AEM Agreement: 
  

	 	•	 	Two year term 

  

	 	•	 	Gulf Power will receive ***% of all contracted Comverge Maingate revenue coinciding with receipt of payment 

  

	 	•	 	Fourth quarter, year 2000, Gulf.Power will receive a total of *** Gateways 

  

	 	•	 	$*** price per Gateway for the *** years 

  

	 	•	 	Gulf Power and Comverge enter into a monthly maintenance agreement of $*** per month 

  

	 	•	 	Gulf Power and Comverge enter into a monthly project support agreement of $*** per month 

  

	 	•	 	This amendment does not affect any terms and conditions of the existing AEM Agreement

  

	 	•	 	This agreement is pending Gulf Power executive approval to be received by close of business October 13, 2000. 

  

	 	•	 	New software features will be separately priced 

  

			
	 /s/ Toni A. Mallini
	    	 /s/ Frank A. Magnotti

	Toni Mallini	    	Frank Magnotti
	Marketing General Manager	    	
		
	 10/12/00
	    	
	Date	    	

 AMENDMENT NO.5 
 TO 
 ADVANCED ENERGY MANAGEMENT AGREEMENT 
 This Amendment No, 5 to Advanced Energy Management Agreement (this “Amendment”) is effective as of March 15, 2444, by and between
GULF POWER COMPANY, INC., a Maine corporation (“Gulf” or “Purchaser”), and COMVERGE, INC., a Delaware corporation (“Comverge” or “Seller”); 
 WITNESSETH: 
 WHEREAS, Gulf and Comverge, by assignment, are parties to that certain Advanced Energy Management Agreement dated September 16, 1996, as amended by Amendment No. 1 dated September 20, 1996, Amendment No. 2 dated
September 3, 1998, Amendment No. 3 dated August 19, 1999 and Amendment No. 4 dated July 1, 2003 (as so amended, the “Original Agreement”); 
 WHEREAS, as of March 15, 2044, Gulf had purchased and taken delivery of *** Gateway Units (as well as associated Thermostats and Load Control
Relays) from Comverge (together, “Delivered Units”); 
 WHEREAS, Gulf and Comverge wish to further amend the Original Agreement in
accordance with the terms and conditions set forth in this Amendment; 
 NOW, THEREFORE, for and in consideration of the promises and
covenants contained herein, the premises, and other good and valuable consideration, the patties hereto, intending to be legally bound hereby agree as follows: 
  

	1.	Section 9 of the Original Agreement is hereby amended by inserting new subsection 9.8 to read as follows: 

 9.8 Disposition of Certain Warranty Claims. 
  

	 	a.	Purchaser has made certain warranty claims of Seller relating to certain Delivered Units as further described in Exhibit A to this Amendment No. 5 (“Claims”).
Purchaser and Seller have agreed that the aggregate value of the Claims as set forth in Exhibit A is $***. 

  

	 	b.	Purchaser and Seller have agreed to settle and fully and completely dispose of the Claims in the following manner, 

  

	 	1.	All Delivered Units returned to Seller and described in Exhibit B shall become the property of Seller. Seller shall execute appropriate documents at the request of Purchaser to
affect this transfer, 

	 	2.	Seller shall replace *** Gateway Units at an agreed value of $***. 

  

	 	3.	Seller shall retest (but shall not re-warranty) all Gateway Units currently in Purchaser’s inventory and shall install up to *** Surge Protectors and DSL Filters into Gateway
Units that pass such test prior to installation at an agreed value of $***. 

  

	 	4.	Seller shall provide Purchaser with an additional *** Surge Protectors and DSL Filters to be installed, at the cost of Purchaser, in Gateway field Units of Purchaser’s choice
at an agreed value of $***, 

  

	 	c.	Purchaser acknowledges and agrees that Seller is settling the Claims in the manner set forth in this Amendment No. 5 in full and complete satisfaction of and in lieu of any
further warranty claim under the Original Agreement for any known defect in respect of Delivered Units, except for the known battery problem. For the known battery problem both parties agree that purchaser will be responsible at its sole cost for
all labor associated with removal of the gateway, and re-installation of the gateway and the seller will be responsible at its sole cost to provide new battery materials. 

  

	2.	Except as expressly modified hereby, the Original Agreement shall continue in full force and effect. This Amendment may be executed in counterparts and each of the counterparts
shall, when taken together, constitute one and the same Agreement. 

 IN WITNESS WHEREOF, the parties have executed this Amendment to be
effective as of the clay and year first set forth above. 
  

							
	GULF POWER COMPANY, INC.	  	COMVERGE, INC.
				
	By:	 	 /s/ Francis M. Fisher
	  	By:	 	 /s/ Frank A. Magnotti

	Title:	 	Vice President	  	Title:	 	President Global Sales and Marketing
	Date:	 	March 25, 2004	  	Date:	 	March 15, 2004

 Exhibit A, to Amendment No. 5 
 Certain Warranty Claims 
 1. Alpha Relays 
 *** of these load control relays (“LCRs”) were returned in March of 2003. 
 Claim = $*** 
 2. Old Antenna Gateways

 *** of these gateways were returned in March of 2003. 
 Claim = $*** 
 3. Certain Bad out of Box Units. 
 Gateways - *** 
 Tstats -
      *** 
 LCRs -       *** 
 Claim = $*** 
 4. Other Replaced Equipment

 a. Gateways 
 Claim
= $*** 
 b. Thermostats 
 Claim = $*** 
 c. LCRs 
 Claim = $*** 
 5. Labor for Replaced Equipment 
 Claim = $*** 

 6. Other Issues. 
 a. *** 
 b. *** 
 c. *** 
 Total Claim = $***

 Agreed Value of Claims disallowed = ($***) 
 Agreed Value of Claims Allowed = $*** 

 Exhibit B to Amendment No. 5 
 Delivered Units Returned to Seller 
 To be Completed by purchaser within sixty days. 

 

 
  

 AMENDMENT NO. 7 
 TO 
 ADVANCED ENERGY MANAGEMENT AGREEMENT 
 This Amendment No. 7 to Advanced Energy Management Agreement (the “Amendment”) is effective as of January 1, 2006 (“Effective
Date”), by and between GULF POWER COMPANY, INC., a Florida corporation (“Gulf” or “Purchaser”), and COMVERGE, INC. (formerly Comverge Technologies, Inc.), a Delaware corporation (“Comverge” or
“Seller”).
 WITNESSETH: 
 WHEREAS, Gulf and Comverge, by assignment, are Parties to that certain Advanced Energy Management Agreement dated September 16, 1996, as amended by Amendment No. 1. dated September 20, 1996, Amendment
No. 2 dated September 3, 1998, Amendment No. 3 dated August 19, 1999, Amendment No. 4 dated July 1, 2003, Amendment No. 5 dated March 15, 2004 and Amendment No. 6 dated July 15, 2004, (as so amended,
the “Original Agreement”); 
 WHEREAS, Gulf and Comverge wish to further amend the Original Agreement in accordance with the terms
and conditions set forth in this Amendment; 
 NOW, THEREFORE, for and in consideration of the promises and covenants contained herein, the
premises, and other good and valuable consideration, the Parties hereto, intending to be legally bound hereby agree as follows: 
  

	 	1.	Capitalized terms not defined herein shall have the same meanings as assigned to them in the Original Agreement. 

  

	 	2.	Section 1 of the Original Agreement is hereby amended by adding after subsection 1.12b new subsection 1.12c to read as follows: 

 1.12c “Thermostat II” means the thermostat and integrated communications module jointly developed by Comverge and White
Rodgers, Inc. for use in the MainGateTM Home System, including the multi-dwelling and the high amperage commercial/residential version of the MainGateTM Home System. 
  

	 	3.	Section 3 of the Original Agreement, as amended by Amendment 4, is amended by deleting in its entirety the following sentence; 

 “From the period commencing on July 1, 2003, and continuing thereafter as provided herein (and subject only to Purchasers right to terminate the
Original Agreement pursuant to Section 17), purchaser commits to purchase and take delivery of a minimum quantity of (i) *** Gateway units, (ii) *** Thermostat units and (iii) *** Load Control 
  

					
		 	1	 	

 Relay units (“Minimum Purchase Commitments”).” and inserting the following language:

 “From the period commencing on July 1, 2006, and continuing thereafter as provided herein (and subject only to Purchasers right
to terminate the Original Agreement pursuant to Section 17), Purchaser commits to purchase and take delivery of a minimum quantity of (i) *** Gateway units, (ii) *** Thermostat units and (iii) *** Load Control Relay units
(“Minimum Purchase Commitment”).” 
  

	 	4.	Paragraph b(3) of subsection 9.8 of the Original Agreement is amended by deleting the clause in parenthesis reading “(but shall not re-warranty)” and replacing it with a
clause reading “(but shall not rewarrant except as provided in Subsection 9.9)”. 

  

	 	5.	Section 9 of the Original Agreement is amended by adding new subsection 9.9 to read as follows: 

 9.9 Testing and Out of Warranty Repair; Limited Rewarranty 
  

	 	A.	Testing of Thermostats and Load Control Relays. 

  

	 	1.	Comverge shall test (“Test(ing)”) those thermostats (“T-Stat”) and load control relays (“LCR”), that are as of the execution date of this
Amendment 7 both (1) in the physical custody of Gulf and are recorded in Gulf’s perpetual inventory records as of such date and (2) made accessible to Comverge. Testing shall be performed at Comverge’s Pensacola,
Florida office. Testing shall only reveal whether the T-stats or LCRs are in Workable Condition. The Parties shall agree upon the definition of “Workable Condition” and the procedures and protocols to be used for such Testing.
The Parties acknowledge and agree that T-Stat and LCRs cannot be repaired if they fail Testing. Comverge shall complete T-Stat and LCR Testing within *** of the signature date of this Amendment 7. 

  

	 	2.	Comverge shall test (“Test(ing)”) those thermostats (“T-Stat”) and load Control relays (“LCR”), that are removed from the field after the
Effective Date of this Amendment 7 (“Removed T-Stat” and “Removed LCR”). Testing shall be performed at Comverge’s Pensacola, Florida office. Testing shall only reveal whether the Removed T-stats or Removed
LCRs are in Workable Condition. The Parties shall agree upon the definition of “Workable Condition” and the procedures and protocols to be used for such Testing. The Parties acknowledge and agree that T-Stat and LCRs cannot be
repaired if they fail Testing. Comverge shall complete Removed T-Stat and Removed LCR Testing within *** of being removed from the field.

  

 2 

	 	3.	To the extent additional resources and capital are required for this Testing, Gulf shall compensate Comverge as provided under the Installation and Customer Services Agreement,
signed on May 19, 2004 (“Installation Agreement”). 

  

	 	4.	Reports on T-Stat and LCR Testing. Comverge shall provide to Gulf by the 15th of each month a report on all T-Stat and LCR’s tested in the preceding month. The report
shall include the serial number of each component Tested and the result of the Test. 

  

	 	B.	Testing Gateways. 

  

	 	1.	Screening of Removed Gateways. Comverge shall screen (“Screen(ing)”) any Gateway in its Pensacola, Florida office that is removed from the field after the Effective
Date of this Amendment 7 (“Removed Gateway”). The Parties shall agree upon a definition of “Screening.” Any Removed Gateway that does not pass Screening shall be retuned to Comverge’s Georgia facility for
comprehensive Testing and possible repair. The cost of shipping to Comverge’s Georgia facility will be the responsibility of ***. The Parties shall agree upon the procedures and protocols for such Testing. 

  

	 	2.	Testing of Warehouse Gateways. Comverge shall visually examine at its Pensacola, Florida office, any Gateway that has been removed from the field and is in Gulf’s
warehouse inventory (the “Warehouse” “Gateway”) as of the effective date of this Amendment 7. For all Warehouse Gateways currently in Gulfs warehouse inventory, Comverge shall conduct a visual examination solely for the
purpose of determining if the Warehouse Gateway is damaged and unavailable for Testing. If the Warehouse Gateway is available for Testing, it will be returned to Comverge’s Georgia facility for comprehensive Testing and possible repair.
The cost of shipping to Comverge’s Georgia facility will be the responsibility of ***. The Parties shall agree upon the procedures and protocols for such Testing. 

  

	 	3.	Out of Warranty Repair Fee. The Parties acknowledge that, to the extent Removed or Warehouse Gateways are “Repairable”, Comverge shall repair and rewarranty all
Removed or Warehouse Gateways (“Repaired Gateways”) for a fee of $*** per component, which fee shall not include the cost of shipping to Gulf. In addition to the $***, if additional capital is required for repairing the gateways, Gulf
shall reimburse Comverge at an agreed upon rate. The Parties shall agree upon the definition of “Repairable.” 

  

 3 

	 	4.	Additional Resources. To the extent additional resources and capital are required for this Screening of Removed Gateways or visual examination of Warehouse Gateways, in
Pensacola, Florida office, Gulf shall compensate Comverge as pre-Approved by Gulf and provided for under the Installation Agreement. 

  

	 	5.	Reports on Gateway Testing. Repair and Rewarranty. Comverge shall provide to Gulf by the 15th of each month a report on all Removed Gateways that are Screened and all Removed or
Warehouse Gateways repaired and rewarranted in the preceding month. The report shall include at a minimum the serial number of each gateway Tested or Screened, the result of the Test or Screen, a description of repairs made to any
Repaired Gateways, and the date on which the repairs were completed. 

  

	 	6.	Limited Rewarranty. Notwithstanding any Limited Warranty provision to the contrary provided by Section 9 of the Original Agreement, Comverge shall rewarrant
Repaired Gateways for a period of *** months from the date of installation of the Repaired Gateway (“Rewarranty Period”); provided, however, in no event shall the Rewarranty Period exceed *** months from the date repairs are
completed. 

  

	 	6.	Section 1.1 of the Original Agreement is hereby modified to add a new subsection and as follows: 

  

	 	11.5	Seller agrees and acknowledges that as of the effective date of Amendment 7, the design and modification of the Thermostat II as defined in section 1.12c. of Amendment 7 is not
subject to the terms of subsection 11.3b of this Agreement and that the indemnification provisions set forth in sections 11.1 and 11.2 of this Agreement apply to the Thermostat II. After the effective date of Amendment 7 the terms of section 11.3b
as set forth in this Agreement shall be in full force and effect if applicable to any future modification to the Thermostat II. 

  

	 	7.	Exhibit G (“Delivery Schedule”) to the Original Agreement is deleted in its entirety and replaced by the new Exhibit C attached hereto. 

  

	 	8.	Exhibit D to the Original Agreement is deleted in its entirety and replaced by the new Exhibit D attached hereto. 

  

	 	9.	The first sentence of the Original Agreement, as amended by Amendment 4, Subsection 17.1(g) that reads: “At any time on or after ***, by 

  

 4 

 Purchaser upon one hundred eighty (180) days advance notice.” is deleted in its
entirety and replaced by the following sentence: 
 “At any time on or after ***, by Purchaser upon one hundred eighty
(180) days advance notice.” 
  

	 	10.	Except as expressly modified hereby, the Original Agreement shall continue in full force and effect. This Amendment may be executed in counterparts and each of the counterparts
shall, when taken together, constitute one and the same Agreement. 

 IN WITNESS WHEREOF, the Parties have executed this
Amendment to be effective as of the day and year first set forth above. 
  

							
	GULF POWER COMPANY, INC.	  	COMVERGE, INC.
				
	By:	 	 /s/ Francis M. Fisher
	  	By:	  	 /s/ Ed Myszka

	Title:	 	VICE PRESIDENT	  	Title:	  	President Solutions Group
	Date:	 	12-07-05	  	Date:	  	Dec. 12, 2005
				
	Attest:	 	 /s/ Linda G. Malone
	  		  	
	Title:	 	Assistant Secretary	  		  	

  

 5 

 EXHIBIT C 
 DELIVERY SCHEDULE 
 Amendment 7 
  

	A.	MaingateTM System CPE Unit Deliveries. 

  

	 	1.	Commencing on July 1, 2003 and continuing until July 1, 2006 deliveries of CPE Units will be suspended. 

  

	 	2.	Subject to Comverge meeting the requirements of Section C of this Exhibit, commencing July 1, 2006, Comverge will manufacture and deliver to Gulf each month until
January 1, 2007: 

  

	 	-	-*** Gateways 

	 	-	-*** Thermostat IIs or future acceptable versions, and 

	 	-	-*** Load Control Relays 

  

	 	4.	Commencing on January 1, 2007, and until January 1, 2008, Comverge will manufacture and deliver to Gulf each month: 

  

	 	-	*** Gateways 

	 	-	*** Thermostat IIs or future acceptable versions, and 

	 	-	*** Load Control Relays 

  

	 	5.	Commencing on January 1, 2008, and until May 1, 2009, Comverge will manufacture and deliver to Gulf each month: 

  

	 	-	*** Gateways 

	 	-	*** Thermostat IIs or future acceptable versions, and 

	 	-	*** Load Control Relays 

  

	 	6.	Commencing on May 1, 2009 and continuing until the Minimum Purchase Commitments are met, Comverge will manufacture and deliver to Gulf each month:

  

	 	-	*** Gateways 

	 	-	*** Thermostat IIs or future acceptable versions, and 

	 	-	*** Load Control Relays 

  

	B.	Thermostat Milestones. The following payment incentive schedule applies for the development milestones of the Thermostat II: 

  

	 	1.	Gulf shall pay Comverge $*** within thirty (30) calendar days 

  

 6 

 of signature of Amendment 7 for the Thermostat II focus group meeting, which shall examine the
Thermostat II. The focus group shall be organized and run by Comverge and Gulf to determine the user friendliness of the Thermostat II. 
  

	 	2.	Gulf shall pay Comverge $*** within thirty (30) calendar days of Gulf’s written acceptance of a *** programming feature for the Honeywell T-Stat.

  

	 	3.	Gulf shall pay Comverge $*** within thirty (30) calendar days of Gulf’s written acceptance of a web-based programming feature for the Thermostat II.

  

	 	4.	Gulf shall pay Comverge *** within thirty (30) calendar days from the delivery of the *** prototype Thermostat II. 

  

	C.	Thermostat II Acceptance 

  

	 	1.	Field Test. Comverge shall provide Gulf with *** prototype Thermostat IIs (“Prototypes”) by the end of the first quarter of 2006. Gulf shall have a *** days
after delivery of the Prototypes in which to conduct field tests of the Prototypes, which shall, in Gulf’s scale good faith judgment, include such tests and procedures as it believes are necessary and reasonable under the
circumstances (“Field Tests”). On completion of the Field Tests, Gulf shall promptly notify Comverge in writing and in the manner required by the Original Agreement whether it accepts or rejects the Prototypes.
Gulf will consider customer acceptance and usability as part of the fieldtest if Gulf, in its good faith judgment reasonably exercised, rejects the Prototypes it shall specify in writing and in reasonable
detail the deficiency or deficiencies that resulted in the rejection. Comverge shall then have thirty (30) days to cure any deficiency and resubmit the Prototypes to Gulf for additional field testing. 

  

	 	2.	Customer Manual. Comverge shall provide Gulf with a final draft copy of the customer manual 45 days prior to deliver of the Prototypes. Gulf will provide
feedback on customer manual within fifteen (15) days of receiving final draft copy. Comverge will discuss such changes and provide Gulf with a final copy incorporating those armed upon changes five (5) days prior to delivery of
the Prototypes. 

  

	 	3.	Functionality. Gulf acknowledges and agrees that the Thermostat IIs and the Prototypes will utilize specific set points and will not utilize temperature offsets. Comverge
agrees that a web programming 

  

 7 

 application will be also be a fully-functioning feature of the Thermostat IIs and the
Prototypes to be tested simultaneously and in conjunction with the Thermostat IIs and the Prototypes. 
  

	 	4.	Acceptance. Acceptance by Gulf of the Prototypes is a condition precedent to Gulf’s obligation to accept deliveries pursuant to the provisions of section A above.

  

	D.	Adjustments. The Parties agree to negotiate, in good faith, adjustments to the number of MaingateTM Home System CPE units deliverable per month, the price of said CPE
units, and specifications as to the number of multi-family residential and/or high amperage commercial or residential components to be delivered per month after January 1, 2008, provided, however, the adjustments made hereunder shall ***.

 Gulf will keep Comverge advised as to fluctuations in the market during the term of the Original Agreement for
consideration by the Parties in testing adjustments to the delivery schedule. 
  

	E	Other: 

  

	 	1.	Product Evolution. Comverge product evolution will continue during the time the deliveries of CPE Units are suspended under A.1 above, and thereafter.

  

	 	2.	Previously Delivered Products. Gulf and Comverge will jointly review and evaluate new technologies over the life of the Original Agreement weighing the technical advantages
of the technologies against the estimated development cost and reach a mutual agreement in each case on how to proceed. Comverge will use reasonable commercial efforts to provide backward compatibility of previously delivered MaingateTM Home
System equipment and supporting software with new technologies, provided, however; that the Parties acknowledge the possibility that CEBus LAN technology may no longer be supported by the industry and that in its MaingateTM Home System
evolution, Comverge may need to migrate to another technology which will be determined by mutual agreement of the Parties. Other Comverge and Gulf approved in-house uses interfaces may be substituted for the SuperStat or Thermostat IIs as agreed by
both Parties. 

  

	 	3.	Maingate Multi-Home Pilot Program: 

 Gulf has
committed, through Gulf Purchase Order No. 5505330-0000, to purchase *** residential multi-dwelling Comverge MaingateTM Home Systems in 2005 at an aggregate amount of $***. Gulf’s commitment to purchase is evidenced by its
non-revocable purchase orders for product shipment before the end of 2005. 
  

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 EXHIBIT D 
 Amendment 7 
 D.1 PRICING SCHEDULE 
 *** 
 D.2 MANUFACTURING SUSPENSION AND START-UP FEE

 Gulf will pay Comverge a Manufacturing Suspension and Start-up Fee of $*** on January 10, 2006. 
 D.3 RESEARCH AND DEVELOPMENT FEES 
 In consideration
of the services set forth in section 5.4 of the Original Agreement, Gulf shall pay to Comverge on or before September first of the year indicated, the following amounts - 
 2003            $*** (Paid) 
 2004            $*** (Paid) 
 2005            $*** (Paid) 
  

 9

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