Document:

Amendment No. 2 to Agreement for Services

 Exhibit 10.6(b) 
 AMENDMENT NO. 2 
 TO 
 AGREEMENT FOR SERVICES 
 This Amendment No. 2 (the “Amendment”) to the Agreement for Services is made an entered into as of this 18th day of
December, 2008, by and between Atlas America, Inc. (“AAI”) and Richard Weber. 
 RECITALS 
 WHEREAS, AAI and Mr. Weber (the “Parties”) entered into an Agreement for Services dated April 5, 2006 (the “Agreement”);
and 
 WHEREAS, the Parties wish to amend certain provisions of the Agreement. 
 NOW, THEREFORE, in consideration of the premises contained herein and other good and valuable consideration, the receipt and sufficiency of which are
hereby acknowledged, the Parties hereto agree as follows: 
 FIRST: Section 4(d)(ii) of the Agreement is hereby replaced in its entirety
with the following: 
 (ii) Expenses. The Company shall reimburse you for all reasonable and necessary expenses incurred by you in
carrying out your duties under this Agreement. You shall present to the Company, from time to time, an itemized account of such expenses in such form as may be required by the Company. All expenses shall be reimbursed no later than the 15th day of
the third month following the end of the year in which the expense is incurred. 
 SECOND: Section 5(d) of the Agreement is hereby
replaced in its entirety with the following: 
 (d) You become disabled by reason of
physical or mental disability for more than one hundred eighty (180) days in the aggregate or a period of ninety (90) consecutive days during any 365-day period, and it is expected that the physical or mental disability will last at least
12 consecutive months, and the Board determines, in good faith based upon medical evidence, that you, by reason of such physical or mental disability, are rendered unable to perform your duties and services hereunder (a “Disability”). You
agree to provide your medical records and to submit to a medical examination so that the Board may make its determination. A termination of your employment by the Company for Disability shall be communicated to you by written notice and shall be
effective on the 30th day after your receipt of such notice (the “Disability Effective Date”) unless you return to full time performance
of your duties before the Disability Effective Date. 
 THIRD: Section 5(f) of the Agreement is hereby replaced in its entirety with the
following: 

 (f) A voluntary Separation from Service for “Good Reason” upon thirty (30) days’
prior written notice to the Company. A “Separation from Service” shall mean your termination of employment with the Company beginning on your Date of Termination (as defined in Section (i) below). “Good Reason” shall mean:
(i) any material breach of this Agreement by the Company that is not remedied by the Company promptly after receipt of written notice from you; (ii) a reduction of your Base Salary; (iii) a material diminution in your authority,
duties, or responsibilities. For purposes of this Agreement, a material diminution shall include a demotion from President and Chief Operating Officer of the Company, provided, however, that Termination by you for Good Reason shall be effective only
if such failure has not been cured within thirty (30) days after notice of such failure has been given to the Company. A termination of your employment for Good Reason shall be effectuated by giving the Company written notice (“Notice of
Termination for Good Reason”) of the termination within three (3) months of the event constituting Good Reason, setting forth in reasonable detail the specific conduct of the Company that constitutes Good Reason and the specific
provision(s) of this Agreement on which you rely; 
 FOURTH: Section 6(c) of the Agreement is hereby replaced in its entirety with the
following: 
 (c) By the Company Other than for Cause or Death; by you for Good Reason. If, during the Contract Period, the Company
terminates your employment, other than for Cause or Death, or you terminate employment for Good Reason, the Company shall pay to you, amounts equal to compensation and benefits set forth in Sections 4 and 6 as if you had remained employed by the
Company pursuant to this Agreement, all such sums to be payable beginning on the day following your Date of Termination at the time when the same would have become due and payable if Termination had not occurred; provided, that the Bonus portion
shall be equal to the prorated Bonus paid to you in the fiscal year ending prior to Termination. The payments provided pursuant to this Section 6(c) are intended to meet the short-term deferred exception as set forth in Treasury Regulation
1.409(A)-1(b)(4)(ii). Any portion of the payments required pursuant to this Section 6(c) which is paid after the 15th day of the third month following the end of the year of your Date of Termination, subject to the limitation set forth in
Treasury Regulations 1.409A-1(b)(4)(iii)(A) shall be classified as severance payments. In no event shall such payments be made to you later than the end of the second year following your Date of Termination. You shall continue to receive for the
period described above benefits described in Section 4(d) and, to the extent any benefits described in Section 4(d) cannot be provided pursuant to a plan or program maintained by the Company for its executives, the Company shall provide
either such benefits outside such plan or program at no additional cost (including without limitation tax cost) to you and your family or a cash payment equivalent to the premium cost for such benefits; and provided, finally, that during any period
when the you are eligible to receive benefits of the type described in clause (i) of Section 4(d) under another employer-provided plan, the benefits provided by the Company under this Section 6(c) may be made secondary to those
provided under such other plan. With respect to those benefits required pursuant to Section 4(d) which are covered under the Consolidated Omnibus Budget Reconciliation Act (“COBRA”), the period for continuation of those benefits shall
offset any period of continuation of coverage required by COBRA. The Company shall pay the cost of your COBRA premium for the period described above, but in no event to exceed 18 months provided you timely elect COBRA coverage. Any COBRA benefit
required to be provided by 

  

 - 2 - 

 
the Company pursuant to Section 6 after the maximum 18 month COBRA period shall be in the nature of a lump sum cash payment equal to the amount
necessary to cover the cost of your insurance premiums for the required period. With the exception of your COBRA benefit, with respect to benefits provided to you pursuant to Section 4(d), all such benefits or payments in lieu of benefits shall
be paid to you no later than the 15th day of the third month following the end of the year of your Date of Termination. 
 In addition to the foregoing, the
Restrictions on any Atlas Energy units or AAI stock outstanding on the Date of Termination shall terminate as of the Date of Termination and all options to acquire Atlas Energy units or AAI stock outstanding on the Date of Termination shall be fully
vested and exercisable and shall remain in effect and exercisable through the end of their respective terms, without regard to the Termination of your employment. The payments and benefits provided pursuant to this Section 6(c) are intended to
compensate you for a Termination by the Company other than for Cause or for the actions of the Company leading to a Termination by you for Good Reason, and shall be the sole and exclusive remedy therefor. If you are terminated by reason of
Disability, you shall assign to Company any benefits received on account of Company provided disability insurance for the period on which this severance payment is based. You shall not be required to mitigate the amount of any payment provided for
in this Section 6(c) by seeking other employment or otherwise, nor shall the amount of any payment or benefit provided for herein be reduced by any compensation or any retirement benefit heretofore or hereafter earned by you as the result of
employment by any other person, firm or corporation. 
 FIFTH: Section 12(a) is hereby replaced in its entirety with the following:

 Notwithstanding any provision in the Agreement to the contrary, in the event that it shall be determined that any payment or distribution
by the Company to or for the benefit of you, whether paid or payable or distributed or distributable pursuant to the terms of this Agreement or otherwise (a “Payment”), would constitute an “excess parachute payment” within the
meaning of Section 280G of the Code, the Company shall pay you an additional amount (the “Gross-Up Payment”) such that the net amount retained by you after deduction of any excise tax imposed under Section 4999 of the Code, and
any federal, state and local income tax, FICA and Medicare withholding taxes and excise tax imposed upon the Gross-Up Payment, but before any federal, state or local income tax FICA and Medicare withholding taxes on the Payment itself, shall be
equal to the Payment. The Gross-Up Payment shall be paid no later than the end of the year following the year in which the Company remits the related taxes. For purposes of determining the amount of the Gross-Up Payment, unless you specify that
other rates apply, you shall be deemed to pay federal income tax and employment taxes at the highest marginal rate of federal income and employment taxation in the calendar year in which the Gross-Up Payment is to be made and state and local income
taxes at the highest marginal rate of taxation in the state and locality of your residence on your Date of Termination, net of the reduction in federal income taxes that may be obtained from the deduction of such state and local taxes (calculated by
assuming that any reduction under Section 68 of the Code in the amount of itemized deductions allocable to you applies first to reduce that amount of such state and local income taxes that would otherwise be deductible by you). 
  

 - 3 - 

 SIXTH: Governing Law. This Amendment shall be governed by and construed in accordance with
the internal laws of the Commonwealth of Pennsylvania, without giving affect to the principles of conflicts of laws. 
 IN WITNESS WHEREOF,
the Parties have caused this Amendment No. 2 to be executed as of the date first above written. 
  

			
	ATLAS AMERICA, INC.
		
	By:	 	/s/ Edward E. Cohen
		 	Edward E. Cohen
		 	Chief Executive Officer and President
	
	RICHARD WEBER
	
	 /s/ Richard Weber

  

 - 4 -Stock Incentive Plan

 Exhibit 10.10 
 Effective October 28, 2008 
 ATLAS AMERICA, INC. 
 STOCK INCENTIVE PLAN 
 Amended and
Restated as of October 28, 2008 
 SECTION 1 BACKGROUND AND PURPOSE 
 1.1 Background. The Plan permits the grant of Nonqualified Stock Options, Incentive Stock Options, SARs, Restricted Stock and Deferred Units.

 1.2 Purpose of the Plan. The Plan is intended to attract, motivate, and retain (a) employees of the Company and its
Affiliates, (b) consultants who provide significant services to the Company and its Affiliates, and (c) directors of the Company who are employees of neither the Company nor any Affiliate. The Plan also is designed to encourage stock
ownership by Participants, thereby aligning their interests with those of the Company’s stockholders. 
 SECTION 2 DEFINITIONS

 The following words and phrases shall have the following meanings unless a different meaning is plainly required by the context:

 2.1 “1933 Act” means the Securities Act of 1933, as amended. Reference to a specific section of the 1933 Act or regulation
thereunder shall include such section or regulation, any valid regulation promulgated under such section, and any comparable provision of any future legislation or regulation amending, supplementing or superseding such section or regulation.

 2.2 “1934 Act” means the Securities Exchange Act of 1934, as amended. Reference to a specific section of the 1934 Act or
regulation thereunder shall include such section or regulation, any valid regulation promulgated under such section, and any comparable provision of any future legislation or regulation amending, supplementing or superseding such section or
regulation. 
 2.3 “Affiliate” means any corporation or any other entity (including, but not limited to, partnerships and
joint ventures) controlling, controlled by, or under common control with the Company. 
 2.4 “Affiliated SAR” means an SAR
that is granted in connection with a related Option, and which automatically will be deemed to be exercised at the same time that the related Option is exercised. 
 2.5 “Award” means, individually or collectively, a grant under the Plan of Nonqualified Stock Options, Incentive Stock Options, SARs or Restricted Stock. 
 2.6 “Award Agreement” means the written agreement setting forth the terms and provisions applicable to each Award granted under the
Plan. 

 2.7 “Board” or “Board of Directors” means the Board of Directors of the
Company. 
 2.8 “Change in Control” means the occurrence of any of the following events: 
 (i) any “person” as defined in Section 3(a)(9) of the Securities 1934 Act and as used in Sections 13(d) and 14(d) thereof, including a
“group” as defined in Section 13(d) of the 1934 Act but excluding the Company and any Subsidiary thereof and any employee benefit plan sponsored or maintained by the Company or any Subsidiary (including any trustee of such plan acting
as trustee), directly or indirectly, becomes the “beneficial owner” (as defined in Rule 13d-3 under the 1934 Act), of securities of the Company representing 20 percent or more of the combined voting power of the Company’s then
outstanding securities; 
 (ii) during any period of 24 consecutive months the individuals who, at the beginning of such period, constitute
the Board (the “Incumbent Directors”) cease for any reason other than death to constitute at least a majority thereof, provided that a Director who was not a Director at the beginning of such 24-month period shall be deemed to have
satisfied such 24-month requirement (and be an Incumbent Director) if such Director was selected by, or on the recommendation of or with the approval of, at least two-thirds of the Directors who then qualified as Incumbent Directors either actually
(because they were directors at the beginning of such 24-month period) or by prior operation of this clause (ii); or 
 (iii) a transaction
requiring stockholder approval for the acquisition of the Company by an entity other than the Company or a Subsidiary through purchase of assets, by merger, or otherwise; 
 provided, however, that neither the Company’s initial public offering nor the proposed spin-off by Parent of the Company’s stock shall constitute a change of control. Notwithstanding the foregoing, the
Committee may specify a more limited definition of Change in Control for a particular Award, as the Committee deems appropriate. 
 2.9
“Code” means the Internal Revenue Code of 1986, as amended. Reference to a specific section of the Code or regulation thereunder shall include such section or regulation, any valid regulation promulgated under such section, and any
comparable provision of any future legislation or regulation amending, supplementing or superseding such section or regulation. 
 2.10
“Committee” means the committee appointed by the Board (pursuant to Section 3.1) to administer the Plan. 
 2.11
“Company” means Atlas America, Inc., a Delaware corporation, or any successor thereto. 
  

 2 

 2.12 “Consultant” means any consultant, independent contractor, joint venture partner or
other person who provides significant services to the Company or its Affiliates, but who is neither an Employee nor a Director. 
 2.13
“Deferred Unit” means a contractual obligation of the Company to deliver a Share pursuant to Section 8, subject to availability pursuant to Section 4.1. 
 2.14 “Director” means any individual who is a member of the Board of Directors. 
 2.15 “Disability” means a permanent and total disability within the meaning of Section 22(e)(3) of the Code, provided that in the
case of Awards other than Incentive Stock Options, the Committee in its discretion may determine whether a permanent and total disability exists in accordance with uniform and non-discriminatory standards adopted by the Committee from time to time.

 2.16 “Employee” means any employee of the Company or of an Affiliate, whether such employee is so employed at the time
the Plan is adopted or becomes so employed subsequent to the adoption of the Plan. 
 2.17 “Exercise Price” means the price
at which a Share may be purchased by a Participant pursuant to the exercise of an Option. 
 2.18 “Fair Market Value” means
the closing sales price of a Share on the applicable date (or if there is no trading in the Shares on such date, the closing sales price on the last date Shares were traded). In the event Shares are not publicly traded at the time a determination of
fair market value is required to be made hereunder, the determination of fair market value shall be made in good faith by the Committee. 
 2.19 “First Permissible Vesting Date” means the date the distribution, as defined in the Company’s registration statement on Form S-1 (File No. 333-112653), is completed or the date the Company receives written
notice from Resource America, Inc. that Resource America, Inc. has determined not to complete the distribution. 
 2.20 “Freestanding
SAR” means a SAR that is granted independently of any Option. 
 2.21 “Grant Date” means, with respect to an Award,
the date that the Award was granted. 
 2.22 “Incentive Stock Option” means an Option to purchase Shares which is designated
as an Incentive Stock Option and is intended to meet the requirements of Section 422 of the Code. 
 2.23 “Nonemployee
Director” means a Director who is an employee of neither the Company nor of any Affiliate. 
  

 3 

 2.24 “Nonqualified Stock Option” means an option to purchase Shares which is not
intended to be an Incentive Stock Option. 
 2.25 “Option” means an Incentive Stock Option or a Nonqualified Stock Option.

 2.26 “Parent” means any corporation (other than the Company) in an unbroken chain of corporations ending with the Company
if each of the corporations other than the Company owns stock possessing 50 percent or more of the total combined voting power of all classes of stock in one of the other corporations in such chain. 
 2.27 “Participant” means an Employee, Consultant, or Nonemployee Director who has an outstanding Award. 
 2.28 “Period of Restriction” means the period during which the transfer of Shares of Restricted Stock are subject to restrictions and,
therefore, the Shares are subject to a substantial risk of forfeiture. 
 2.29 “Plan” means the Atlas America, Inc. Stock
Incentive Plan, as set forth in this instrument and as hereafter amended from time to time. 
 2.30 “Restricted Stock” means
an Award granted to a Participant pursuant to Section 7. 
 2.31 “Rule 16b-3” means Rule 16b-3 promulgated under the
1934 Act, and any future regulation amending, supplementing or superseding such regulation. 
 2.32 “Section 16 Person”
means a person who, with respect to the Shares, is subject to Section 16 of the 1934 Act. 
 2.33 “Shares” means the
shares of common stock of the Company. 
 2.34 “Stock Appreciation Right” or “SAR” means an Award, granted
alone or in connection with a related Option, that pursuant to Section 6 is designated as an SAR. 
 2.35 “Subsidiary”
means any corporation (other than the Company) in an unbroken chain of corporations beginning with the Company if each of the corporations other than the last corporation in the unbroken chain then owns stock possessing fifty percent (50%) or
more of the total combined voting power of all classes of stock in one of the other corporations in such chain. 
 2.36 “Tandem
SAR” means an SAR that is granted in connection with a related Option, the exercise of which shall require forfeiture of the right to purchase an equal number of Shares under the related Option (and when a Share is purchased under the
Option, the SAR shall be canceled to the same extent). 
  

 4 

 2.37 “Termination of Service” means (a) in the case of an Employee, a cessation of
the employee-employer relationship between the Employee and the Company or an Affiliate for any reason; (b) in the case of a Consultant, a cessation of the service relationship between the Consultant and the Company or an Affiliate for any
reason, but excluding any such termination where there is a simultaneous re-engagement of the consultant by the Company or an Affiliate; and (c) in the case of a Nonemployee Director, a cessation of the Director’s service on the Board for
any reason. 
 SECTION 3 ADMINISTRATION 
 3.1 The Committee. The Plan shall be administered by the Committee. The Committee shall consist of not less than two (2) Directors who shall be appointed from time to time by the Board of Directors. The Committee shall be
comprised solely of Directors who both are (a) “non-employee directors” under Rule 16b-3, and (b) “outside directors” under Section 162(m) of the Code. 
 3.2 Authority of the Committee. It shall be the duty of the Committee to administer the Plan in accordance with the Plan’s provisions.
Subject to the terms of the Plan and applicable law, and in addition to other express powers and authorizations conferred on the Committee by the Plan, the Committee shall have full power and authority to: (i) designate Participants;
(ii) determine the type or types of Awards to be granted to Participants; (iii) determine the terms and conditions of any Award; provided, however, that no Option shall be exerciseable, nor any Restricted Stock awarded, nor any
Share issued upon exercise of an SAR or vesting of a Deferred Unit before the First Permissible Vesting Date; (iv) determine whether, to what extent, and under what circumstances Awards may be settled, exercised, canceled, or forfeited;
(v) interpret and administer the Plan and any instrument or agreement relating to an Award made under the Plan; (vi) establish, amend, suspend, or waive such rules and regulations and appoint such agents as it shall deem appropriate for
the proper administration of the Plan; and (vii) make any other determination and take any other action that the Committee deems necessary or desirable for the administration of the Plan. 
 3.3 Delegation by the Committee. The Committee, in its sole discretion and on such terms and conditions as it may provide, may delegate all or any
part of its authority and powers under the Plan to one or more Directors or officers of the Company; provided, however, that the Committee may not delegate its authority and powers (a) with respect to Section 16 Persons, or (b) in any
way which would jeopardize the Plan’s qualification under Section 162(m) of the Code or Rule 16b-3. 
 3.4 Decisions
Binding. All determinations and decisions made by the Committee, the Board, and any delegate of the Committee pursuant to the provisions of the Plan shall be final, conclusive, and binding on all persons, and shall be given the maximum deference
permitted by law. 
  

 5 

 SECTION 4 SHARES SUBJECT TO THE PLAN 
 4.1 Number of Shares. Subject to adjustment as provided in Section 4.3, the total number of Shares available for Award under the Plan shall
not exceed 1,333,333. The maximum number of Shares for which Awards may be granted to any single individual under the Plan shall be 333,333. Shares granted under the Plan may be either authorized but unissued Shares or treasury Shares. 

4.2 Lapsed Awards. If an Award is settled in cash, or is cancelled, terminates, expires, or lapses for any reason (with the exception of the
termination of a Tandem SAR upon exercise of the related Option, or the termination of a related Option upon exercise of the corresponding Tandem SAR), any Shares subject to such Award again shall be available to be the subject of an Award.

 4.3 Adjustments in Awards and Authorized Shares. In the event of any merger, reorganization, consolidation, recapitalization,
separation, liquidation, stock dividend, split-up, Share combination, or other change in the corporate structure of the Company affecting the Shares, the Committee shall adjust the number and class of Shares which may be delivered under the Plan and
the number, class, and price of Shares subject to outstanding Awards in such manner as the Committee (in its sole discretion) shall determine to be appropriate to prevent the dilution or diminution of such Awards. Notwithstanding the preceding, the
number of Shares subject to any Award always shall be a whole number. 
 SECTION 5 STOCK OPTIONS 
 5.1 Grant of Options. Subject to the terms and provisions of the Plan, Options may be granted to Employees and Consultants at any time and from
time to time as determined by the Committee in its sole discretion. The Committee, in its sole discretion, shall determine the number of Shares subject to each Option. The Committee may grant Incentive Stock Options, Nonqualified Stock Options, or a
combination thereof. 
 5.2 Award Agreement. Each Option shall be evidenced by an Award Agreement that shall specify the Exercise
Price, the expiration date of the Option, the number of Shares to which the Option pertains, any conditions to exercise of the Option, and such other terms and conditions as the Committee, in its discretion, shall determine. The Award Agreement
shall also specify whether the Option is intended to be an Incentive Stock Option or a Nonqualified Stock Option. 
 5.3 Exercise
Price. Subject to the provisions of this Section 5.3, the Exercise Price for each Option shall be determined by the Committee in its sole discretion. 
 5.3.1 Nonqualified Stock Options. In the case of a Nonqualified Stock Option, the Exercise Price shall be not less than one hundred
percent (100%) of the Fair Market Value of a Share on the Grant Date. 
  

 6 

 5.3.2 Incentive Stock Options. In the case of an Incentive Stock Option, the
Exercise Price shall be not less than one hundred percent (100%) of the Fair Market Value of a Share on the Grant Date; provided, however, that if on the Grant Date, the Employee (together with persons whose stock ownership is attributed to the
Employee pursuant to Section 424(d) of the Code) owns stock possessing more than 10% of the total combined voting power of all classes of stock of the Company or any of its Subsidiaries, the Exercise Price shall be not less than one hundred and
ten percent (110%) of the Fair Market Value of a Share on the Grant Date. 
 5.3.3 Substitute Options.
Notwithstanding the provisions of Sections 5.3.1 and 5.3.2, in the event that the Company or an Affiliate consummates a transaction described in Section 424(a) of the Code (e.g., the acquisition of property or stock from an unrelated
corporation), persons who become Employees or Consultants on account of such transaction may be granted Options in substitution for options granted by their former employer. If such substitute Options are granted, the Committee, in its sole
discretion and consistent with Section 424(a) of the Code, may determine that such substitute Options shall have an exercise price less than one hundred percent (100%) of the Fair Market Value of the Shares on the Grant Date. 

5.4 Expiration of Options. The Committee, in its sole discretion, (a) shall provide in each Award Agreement when each Option expires and
becomes unexercisable, and (b) may, after an Option is granted, extend the maximum term of the Option (subject to Section 5.8.4 regarding Incentive Stock Options); provided, however, no Award Agreement shall provide for the exercise of any
Option after the expiration of the ten (10) year period immediately following the Grant Date. 
 5.5 Exercisability of Options.
Subject to Section 3.2(iii), Options granted under the Plan shall be exercisable at such times and be subject to such restrictions and conditions as the Committee shall determine in its sole discretion. Subject to Section 3.2(iii), after
an Option is granted, the Committee, in its sole discretion, may accelerate the exercisability of the Option. 
 5.6 Payment. Options
shall be exercised by the Participant’s delivery of a written notice of exercise to the Secretary of the Company (or its designee), setting forth the number of Shares with respect to which the Option is to be exercised, accompanied by full
payment for the Shares. Upon the exercise of any Option, the Exercise Price shall be payable to the Company in full in cash or its equivalent. The Committee, in its sole discretion, also may permit exercise (a) by tendering previously acquired
Shares having an aggregate Fair Market Value at the time of exercise equal to the total Exercise Price, or (b) by any other means which the Committee, in its sole discretion, determines to both provide legal consideration for the Shares and to
be consistent with the purposes of the Plan. As soon as practicable after receipt of a written notification of exercise and full payment for the Shares purchased, the Company shall deliver to the Participant (or the Participant’s designated
broker), Share certificates (which may be in book entry form) representing such Shares. 
  

 7 

 5.7 Restrictions on Share Transferability. The Committee may impose such restrictions on any
Shares acquired pursuant to the exercise of an Option as it may deem advisable, including, but not limited to, restrictions related to applicable federal securities laws, the requirements of any national securities exchange or system upon which
Shares are then listed or traded, or any blue sky or state securities laws. 
 5.8 Certain Additional Provisions for Incentive Stock
Options. 
 5.8.1 Exercisability. The aggregate Fair Market Value (determined on the Grant Date(s)) of the Shares
with respect to which Incentive Stock Options are exercisable for the first time by any Employee during any calendar year (under all plans of the Company and its Affiliates) shall not exceed $100,000. 
 5.8.2 Termination of Service. No Incentive Stock Option may be exercised more than three (3) months after the
Participant’s Termination of Service for any reason other than Disability or death, unless (a) the Participant dies during such three-month period, and (b) the Award Agreement or the Committee permits later exercise. No Incentive
Stock Option may be exercised more than one (1) year after the Participant’s Termination of Service on account of Disability, unless (a) the Participant dies during such one-year period, and (b) the Award Agreement or the
Committee permit later exercise. 
 5.8.3 Company, Parent and Subsidiaries Only. Incentive Stock Options may be granted
only to persons who are employees of the Company or a Parent or Subsidiary on the Grant Date. 
 5.8.4 Expiration. No
Incentive Stock Option may be exercised after the expiration of ten (10) years from the Grant Date; provided, however, that if the Option is granted to an Employee who, together with persons whose stock ownership is attributed to the Employee
pursuant to Section 424(d) of the Code, owns stock possessing more than 10% of the total combined voting power of all classes of the stock of the Company or any of its Subsidiaries, the Option may not be exercised after the expiration of five
(5) years from the Grant Date. 
 SECTION 6 STOCK APPRECIATION RIGHTS 
 6.1 Grant of SARs. Subject to the terms and conditions of the Plan, an SAR may be granted to Employees and Consultants at any time and from time
to time as shall be determined by the Committee, in its sole discretion. The Committee may grant Affiliated SARs, Freestanding SARs, Tandem SARs, or any combination thereof. 
 6.1.1 Number of Shares. The Committee shall have complete discretion to determine the number of SARs granted to any Participant.

  

 8 

 6.1.2 Exercise Price and Other Terms. The Committee, subject to the provisions of
the Plan, shall have complete discretion to determine the terms and conditions of SARs granted under the Plan. However, the exercise price of a Freestanding SAR shall be not less than one hundred percent (100%) of the Fair Market Value of a
Share on the Grant Date. The exercise price of Tandem or Affiliated SARs shall equal the Exercise Price of the related Option. 
 6.2
Exercise of Tandem SARs. Tandem SARs may be exercised for all or part of the Shares subject to the related Option upon the surrender of the right to exercise the equivalent portion of the related Option. A Tandem SAR may be exercised only
with respect to the Shares for which its related Option is then exercisable. With respect to a Tandem SAR granted in connection with an Incentive Stock Option: (a) the Tandem SAR shall expire no later than the expiration of the underlying
Incentive Stock Option; (b) the value of the payout with respect to the Tandem SAR shall be for no more than one hundred percent (100%) of the difference between the Exercise Price of the underlying Incentive Stock Option and the Fair
Market Value of the Shares subject to the underlying Incentive Stock Option at the time the Tandem SAR is exercised; and (c) the Tandem SAR shall be exercisable only when the Fair Market Value of the Shares subject to the Incentive Stock Option
exceeds the Exercise Price of the Incentive Stock Option. 
 6.3 Exercise of Affiliated SARs. An Affiliated SAR shall be deemed to be
exercised upon the exercise of the related Option. The deemed exercise of an Affiliated SAR shall not necessitate a reduction in the number of Shares subject to the related Option. 
 6.4 Exercise of Freestanding SARs. Freestanding SARs shall be exercisable on such terms and conditions as the Committee, in its sole discretion,
shall determine. 
 6.5 SAR Agreement. Each SAR grant shall be evidenced by an Award Agreement that shall specify the exercise price,
the term of the SAR, the conditions of exercise, and such other terms and conditions as the Committee, in its sole discretion, shall determine. 
 6.6 Expiration of SARs. An SAR granted under the Plan shall expire upon the date determined by the Committee, in its sole discretion, and set forth in the Award Agreement. 
 6.7 Payment of SAR Amount. Upon exercise of an SAR, a Participant shall be entitled to receive payment from the Company in an amount determined by
multiplying (a) the difference between the Fair Market Value of a Share on the date of exercise over the exercise price; times (b) the number of Shares with respect to which the SAR is exercised. At the discretion of the Committee, the
payment upon SAR exercise may be in cash, in Shares of equivalent value, or in some combination thereof; provided, however, that no Shares may be issued before the First Permissible Vesting Date. 
  

 9 

 SECTION 7 RESTRICTED STOCK 
 7.1 Grant of Restricted Stock. Subject to the terms and provisions of the Plan, the Committee, at any time and from time to time, may grant Shares of Restricted Stock to Employees and Consultants in such
amounts as the Committee, in its sole discretion, shall determine. The Committee, in its sole discretion, shall determine the number of Shares to be granted to each Participant. 
 7.2 Restricted Stock Agreement. Each Award of Restricted Stock shall be evidenced by an Award Agreement that shall specify the Period of
Restriction, the number of Shares granted, and such other terms and conditions as the Committee, in its sole discretion, shall determine. Unless the Committee determines otherwise, Shares of Restricted Stock shall be held by the Company as escrow
agent until the restrictions on such Shares have lapsed. 
 7.3 Transferability. Except as provided in this Section 7, Shares of
Restricted Stock may not be sold, transferred, pledged, assigned, or otherwise alienated or hypothecated until the end of the applicable Period of Restriction. 
 7.4 Other Restrictions. The Committee, in its sole discretion, may impose such other restrictions on Shares of Restricted Stock as it may deem advisable or appropriate. 
 7.5 Removal of Restrictions. Except as otherwise provided in this Section 7, Shares of Restricted Stock covered by each Restricted Stock
grant made under the Plan shall be released from escrow as soon as practicable after the last day of the Period of Restriction. The Committee, in its discretion, may accelerate the time at which any restrictions shall lapse or be removed. After the
restrictions have lapsed, the Participant shall be entitled to have any legend removed from his or her Share certificate, and the Shares shall be freely transferable by the Participant. 
 7.6 Voting Rights. During the Period of Restriction, Participants holding Shares of Restricted Stock granted hereunder may exercise full voting
rights with respect to those Shares, unless the Committee determines otherwise. 
 7.7 Dividends and Other Distributions. During the
Period of Restriction, Participants holding Shares of Restricted Stock shall be entitled to receive all dividends and other distributions paid with respect to such Shares unless otherwise provided in the Award Agreement. If any such dividends or
distributions are paid in Shares, the Shares shall be subject to the same restrictions on transferability and forfeitability as the Shares of Restricted Stock with respect to which they were paid. 
 7.8 Return of Restricted Stock to Company. On the date set forth in the Award Agreement, the Restricted Stock for which restrictions have not
lapsed shall revert to the Company and again shall become available for grant under the Plan. 
  

 10 

 SECTION 8 NONEMPLOYEE DIRECTOR AWARDS 
 The provisions of this Section 8 are applicable only to Awards granted to Nonemployee Directors. 
 8.1 Grants of Deferred Units. Each Nonemployee Director who is first elected or appointed to the Board on or before the completion of the
Company’s initial public offering (the “IPO”) shall be awarded, on the date of completion of the IPO, Deferred Units for Shares having a Fair Market Value of $15,000.00, based on the IPO price, on the Grant Date. Each
Nonemployee Director who is first elected or appointed to the Board on or after the completion of the IPO shall be awarded, on the date of first election or appointment, Deferred Units for Shares having a Fair Market Value of $15,000.00 on the Grant
Date. Thereafter, on each anniversary of the date on which a Nonemployee Director is first awarded Deferred Units during the term of this Plan, the Nonemployee Director shall be awarded Deferred Units for Shares having a Fair Market Value of
$15,000.00. This Plan shall not impose any obligations on the Company to retain any Nonemployee Director as a Director nor shall it impose any obligation on the part of any Nonemployee Director to remain as a Director of the Company. 
 8.2 Terms of Awards. 
 8.2.1 Award Agreement. Each Award granted pursuant to this Section 8 shall be evidenced by a written Award Agreement between the Participant and the Company. 
 8.2.2 Vesting. Each Award granted pursuant to this Section 8 shall vest in accordance with the following schedule 

 

				
	 Second anniversary of Grant Date
	  	33 1/3	%
	 Third anniversary of Grant Date
	  	33 1/3	%
	 Fourth anniversary of Grant Date
	  	33 1/3	%

 ; provided, however, that no Award shall vest before the First Permissible Vesting Date.
Notwithstanding the foregoing, and except as provided herein, if the reason for the Termination of Service is the Nonemployee Director’s death or Disability prior to the completion of the period of service required to be performed to fully vest
in any Award, all Deferred Units that are the subject of such Award shall be delivered to such Nonemployee Director (or the Nonemployee Director’s beneficiary or estate); provided, however, that no Award shall vest before the First
Permissible Vesting Date. Upon the occurrence of a Change in Control, unless the Committee determines otherwise in the Award Agreement, each Nonemployee Director’s right and interest in Deferred Units which have not previously vested shall
become vested and nonforfeitable, regardless of the period of the Nonemployee Director’s service since the date such Deferred Units were awarded; provided, however, that no Award shall vest before the First Permissible Vesting Date.

  

 11 

 8.2.3 Other Terms. All provisions of the Plan not inconsistent with this
Section 8 shall apply to Awards granted to Nonemployee Directors. 
 SECTION 9 MISCELLANEOUS 
 9.1 Deferrals. The Committee, in its sole discretion, may permit a Participant to defer receipt of the payment of cash or the delivery of Shares
that would otherwise be due to such Participant under an Award. Any such deferral elections shall be subject to such rules and procedures as shall be determined by the Committee in its sole discretion. 
 9.2 No Effect on Employment or Service. Nothing in the Plan shall interfere with or limit in any way the right of the Company to terminate any
Participant’s employment or service at any time, with or without cause. For purposes of the Plan, transfer of employment of a Participant between the Company and any one of its Affiliates (or between Affiliates) shall not be deemed a
Termination of Service. Employment with the Company and its Affiliates is on an at-will basis only. 
 9.3 Participation. No Employee
or Consultant shall have the right to be selected to receive an Award under this Plan, or, having been so selected, to be selected to receive a future Award. 
 9.4 Indemnification. Each person who is or shall have been a member of the Committee, or of the Board, shall be indemnified and held harmless by the Company against and from (a) any loss, cost, liability,
or expense that may be imposed upon or reasonably incurred by him or her in connection with or resulting from any claim, action, suit, or proceeding to which he or she may be a party or in which he or she may be involved by reason of any action
taken or failure to act under the Plan or any Award Agreement, and (b) from any and all amounts paid by him or her in settlement thereof, with the Company’s approval, or paid by him or her in satisfaction of any judgment in any such claim,
action, suit, or proceeding against him or her, provided he or she shall give the Company an opportunity, at its own expense, to handle and defend the same before he or she undertakes to handle and defend it on his or her own behalf. The foregoing
right of indemnification shall not be exclusive of any other rights of indemnification to which such persons may be entitled under the Company’s certificate of incorporation or bylaws, by contract, as a matter of law, or otherwise, or under any
power that the Company may have to indemnify them or hold them harmless. 
 9.5 Successors. All obligations of the Company under the
Plan, with respect to Awards granted hereunder, shall be binding on any successor to the Company, whether the existence of such successor is the result of a direct or indirect purchase, merger, consolidation, or otherwise, of all or substantially
all of the business or assets of the Company. 
 9.6 Beneficiary Designations. If permitted by the Committee, a Participant under the
Plan may name a beneficiary or beneficiaries to whom any vested but unpaid Award shall be paid in the event of the Participant’s death. Each such designation shall 

  

 12 

 
revoke all prior designations by the Participant and shall be effective only if given in a form and manner acceptable to the Committee. In the absence of any
such designation, any vested benefits remaining unpaid at the Participant’s death shall be paid to the Participant’s estate and, subject to the terms of the Plan and of the applicable Award Agreement, any unexercised vested Award may be
exercised by the administrator or executor of the Participant’s estate. 
 9.7 Limited Transferability of Awards. No Award
granted under the Plan may be sold, transferred, pledged, assigned, or otherwise alienated or hypothecated, other than by will, by the laws of descent and distribution, or to the limited extent provided in Section 9.6. All rights with respect
to an Award granted to a Participant shall be available during his or her lifetime only to the Participant. Notwithstanding the foregoing, the Participant may, in a manner specified by the Committee, (a) transfer a Nonqualified Stock Option to
a Participant’s spouse, former spouse or dependent pursuant to a court-approved domestic relations order which relates to the provision of child support, alimony payments or marital property rights, and (b) transfer a Nonqualified Stock
Option by bona fide gift and not for any consideration to (i) a member or members of the Participant’s immediate family, (ii) a trust established for the exclusive benefit of the Participant and/or member(s) of the Participant’s
immediate family, (iii) a partnership, limited liability company of other entity whose only partners or members are the Participant and/or member(s) of the Participant’s immediate family, or (iv) a foundation in which the Participant
an/or member(s) of the Participant’s immediate family control the management of the foundation’s assets. 
 9.8 No Rights as
Stockholder. Except to the limited extent provided in Sections 7.6 and 7.7, no Participant (nor any beneficiary) shall have any of the rights or privileges of a stockholder of the Company with respect to any Shares issuable pursuant to an Award
(or exercise thereof), unless and until certificates representing such Shares shall have been issued, recorded on the records of the Company or its transfer agents or registrars, and delivered to the Participant (or beneficiary). 
 9.9. Status of Original Issue Shares. The Company intends, but shall not be obligated, to register for sale under the 1933 Act the Shares
acquirable pursuant to Awards, and to keep such registration effective throughout the period any Awards are in effect. In the absence of such effective registration or an available exemption from registration under the 1933 Act, delivery of Shares
acquirable pursuant to Awards shall be delayed until registration of such Shares is effective or an exemption from registration under the 1933 Act is available. In the event exemption from registration under the 1933 Act is available, a Participant
(or a Participant’s estate or personal representative in the event of the Participant’s death or incapacity), if requested by the Company to do so, will execute and deliver to the Company in writing an agreement containing such provisions
as the Company may require to assure compliance with applicable securities laws. No sale or disposition of Shares acquired pursuant to an Award by a Participant shall be made in the absence of an effective registration statement under the 1933 Act
with respect to such Shares unless an opinion of counsel satisfactory to the Company that such sale or disposition will not constitute a violation of the 1933 Act or any other applicable securities laws is first obtained. 
  

 13 

 9.10 Delivery of Shares; Payment by Participant of Consideration. Notwithstanding anything in the
Plan or any Award Agreement to the contrary, delivery of Shares pursuant to the exercise of an Award may be deferred for any period during which, in the good faith determination of the Committee, the Company is not reasonably able to obtain or issue
Shares pursuant to such Award without violating the rules or regulations of any applicable law or securities exchange. No Shares shall be delivered pursuant to any Award until payment in full of any amount required to be paid pursuant to the Plan or
the applicable Award Agreement (including, without limitation, any exercise price or tax withholding) is received by the Company. 
 SECTION
10 AMENDMENT, TERMINATION, AND DURATION 
 10.1 Amendment, Suspension, or Termination. The Board, in its sole discretion, may amend,
suspend or terminate the Plan, or any part thereof, at any time and for any reason. The amendment, suspension, or termination of the Plan shall not, without the consent of the Participant, alter or impair any rights or obligations under any Award
theretofore granted to such Participant. No Award may be granted during any period of suspension or after termination of the Plan. 
 10.2
Duration of the Plan. The amended and restated Plan shall be effective as of April 20, 2004, and subject to Section 10.1 (regarding the Board’s right to amend or terminate the Plan), shall remain in effect thereafter. However,
without further stockholder approval, no Incentive Stock Option may be granted under the Plan after the ten year anniversary of the Plan. 
 SECTION 11 TAX WITHHOLDING 
 11.1 Withholding Requirements. Prior to the delivery of any Shares or cash pursuant to an Award
(or exercise thereof), the Company shall have the power and the right to deduct or withhold, or require a Participant to remit to the Company, an amount sufficient to satisfy federal, state, and local taxes (including the Participant’s FICA
obligation) required to be withheld with respect to such Award (or exercise thereof). 
 11.2 Withholding Arrangements. The Committee,
in its sole discretion and pursuant to such procedures as it may specify from time to time, may permit a Participant to satisfy such tax withholding obligation, in whole or in part by (a) electing to have the Company withhold otherwise
deliverable Shares, or (b) delivering to the Company already-owned Shares having a Fair Market Value equal to the amount required to be withheld. The amount of the withholding requirement shall be deemed to include any amount which the
Committee agrees may be withheld at the time the election is made, not to exceed the amount determined by using the minimum federal, state or local marginal income tax rates applicable to the Participant with respect to the Award on the date that
the amount of tax to be withheld is to be determined. The Fair Market Value of the Shares to be withheld or delivered shall be determined as of the date that the taxes are required to be withheld. 
  

 14 

 SECTION 12 LEGAL CONSTRUCTION 
 12.1 Severability. In the event any provision of the Plan shall be held illegal or invalid for any reason, the illegality or invalidity shall not
affect the remaining parts of the Plan, and the Plan shall be construed and enforced as if the illegal or invalid provision had not been included. 
 12.2 Requirements of Law. The granting of Awards and the issuance of Shares under the Plan shall be subject to all applicable laws, rules, and regulations, and to such approvals by any governmental agencies or national securities
exchanges as may be required. 
 12.3 Securities Law Compliance. With respect to Section 16 Persons, transactions under this Plan
are intended to comply with all applicable conditions of Rule 16b-3. To the extent any provision of the Plan, Award Agreement or action by the Committee fails to so comply, it shall be deemed null and void, to the extent permitted by law and deemed
advisable by the Committee. 
 12.4 Governing Law. The Plan and all Award Agreements shall be construed in accordance with and
governed by the laws of the State of Delaware. 
 12.5 Captions. Captions are provided herein for convenience only, and shall not
serve as a basis for interpretation or construction of the Plan. 
  

 15

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00154-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00154-of-00352.parquet"}]]