Document:

Corporate Finance Code of Ethics

 
Exhibit 10.28

 
CORPORATE FINANCE CODE OF ETHICS

 
I,
                            , certify that as a finance executive of Rainmaker Systems, Inc., I adhere to and
advocate the following principles and responsibilities governing my professional and ethical conduct. 
 
To the best of my knowledge and ability: 
 

	1.	 	I act with honesty and integrity, avoiding actual or apparent conflicts of interest in personal and professional relationships. 

 

	2.	 	I proactively promote ethical behavior as a responsible partner among peers in my work environment. 

 

	3.	 	I act in good faith, responsibly, with due care, competence and diligence, without misrepresenting material facts or allowing my independent judgment to be
subordinated. 

 

	4.	 	I provide my constituents and superiors with information that is accurate, complete, objective, relevant, timely and understandable. 

 

	5.	 	I share knowledge and maintain skills important and relevant to my constituents’ needs. 

 

	6.	 	I exercise responsible use of, and control over, all assets and resources employed or entrusted to me. 

 

	7.	 	I comply with rules and regulations of federal, state, and local governments, and appropriate private and public regulatory bodies. 

 

	8.	 	I respect the confidentiality of information acquired in the course of my work, and do not disclose such information except when authorized or otherwise legally
obligated to do so. Confidential information acquired in the course of my work is not used for personal advantage. 

 

	9.	 	I ensure that substantial discretionary authority is carefully, appropriately and thoughtfully delegated to my subordinates. 

 

	10.	 	I proactively communicate compliance standards and procedures to my employees. 

 
I fully understand that violation of this code may lead to penalties, up to and including dismissal, irrespective of
whether my violation had positive or detrimental consequences for Rainmaker Systems, Inc. 
 

	
	
 Employee
Signature
	  	
 Date

	
	
 Employee Name
	  	 
	
	
 Witness Signature
	  	
 Date

	
	
 Witness NameAmendment No.4 to Research and License Agreement

 
[ * ] =
CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS
BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION
PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS
AMENDED. 
 
EXHIBIT 10.46 
 
AMENDMENT
NUMBER 4 TO THE RESEARCH AND LICENSE AGREEMENT BY AND BETWEEN KOSAN BIOSCIENCES, INC., AND J&J PHARMACEUTICAL RESEARCH AND DEVELOPMENT AND ORTHO-MCNEIL PHARMACEUTICAL, INC. 
 
This Amendment, dated as of December 12, 2002, is made to that certain RESEARCH AND LICENSE AGREEMENT, made
as of September 28, 1998, and amended pursuant to those certain Amendment Nos. 1, 2, and 3, dated March 17, 2000, August 31, 2000, and September 28, 2001, respectively (the RESEARCH AND LICENSE AGREEMENT as amended March 17, 2000, August 31, 2000,
and September 28, 2001, is hereinafter called the “AGREEMENT”), by and between: 
 
KOSAN BIOSCIENCES, INC., a corporation organized under Delaware law having its principal office at 3832 Bay Center Place, Hayward, California, 94545 (hereinafter called “KOSAN”);

 
ON THE ONE HAND, AND: 
 
ORTHO MCNEIL PHARMACEUTICAL, INCORPORATED (hereinafter called
“ORTHO”), a company organized under Delaware law, having its principal office at U.S. Route 202, Raritan, New Jersey, 08869; and 
 
JOHNSON & JOHNSON PHARMACEUTICAL RESEARCH & DEVELOPMENT, L.L.C. (hereinafter called “J&JPRD”), a division of ORTHO
having its principal office at U.S. Route 202, Raritan, New Jersey 08869 (ORTHO and J&JPRD hereinafter collectively called “LICENSEE”) 
 
ON THE OTHER HAND. 
 
WITNESSETH: 
 
A.  WHEREAS, KOSAN and LICENSEE have entered into the AGREEMENT providing for a collaborative research and drug discovery
program as generally described in the RESEARCH PLAN attached thereto as Appendix A; 
 
B.  WHEREAS, LICENSEE has provided KOSAN prior to November 28, 2002, the written notice required by the AGREEMENT that LICENSEE wishes to continue the RESEARCH PROGRAM for a further three (3)
months to March 28, 2003, and the AGREEMENT contemplates the termination of the RESEARCH PROGRAM on March 28, 2003, in the event that LICENSEE has [ * ]; and 
 
C.  WHEREAS, KOSAN and LICENSEE desire to extend the RESEARCH PROGRAM at least until December 28, 2003; 
 

 
NOW,
THEREFORE, in consideration of the premises and the performance of the covenants herein contained, the parties agree to amend the AGREEMENT as follows. 
 
1.  Defined Terms.    Unless otherwise defined herein, all capitalized terms used herein shall have
the same meaning as set forth in the AGREEMENT. 
 
2.  Extension of RESEARCH PROGRAM.    The RESEARCH PROGRAM shall be continued until at least December 28, 2003. 
 
3.  Current FTE RESEARCH FUNDING.    In accordance with the AGREEMENT,
LICENSEE shall provide KOSAN RESEARCH FUNDING for the Optional FTEs for the period of December 28, 2001, to March 28, 2003 [ * ] by payment in full on or before December 20, 2002. 
 
4.  Additional KOSAN FTE RESEARCH FUNDING.    In accordance with this
Amendment, LICENSEE shall provide, in addition to the current FTE RESEARCH FUNDING, RESEARCH FUNDING for the following additional KOSAN FTEs (the “Additional KOSAN FTEs”): [ * ] for the period of [ * ]; and [ * ] for the period of [ * ].
LICENSEE shall provide RESEARCH FUNDING for the Additional KOSAN FTEs on a quarterly basis, in advance, beginning December 28, 2002. 
 
5.  RESEARCH PROGRAM.    The RESEARCH PROGRAM shall be limited to efforts to produce and test [ * ]
(the “Selected Compounds”), and shall be deemed to be terminated with respect to all other compounds. The KOSAN FTEs engaged in the RESEARCH PROGRAM, unless otherwise agreed by the JRC, shall be devoted to the following efforts relating to
Selected Compounds: the preparation of [ * ]. 
 
6.  Reversion of Rights to KOSAN.    Except for the Selected Compounds that are the subject of the RESEARCH PROGRAM and the CLOSE STRUCTURAL ANALOGS thereof, LICENSEE hereby releases and reverts
to KOSAN in accordance with §19.3.4 of the AGREEMENT any and all of LICENSEE’s rights to all other MACROLIDES, AROMATIC POLYKETIDES, NCEs, LICENSED COMPOUNDS, CLOSE STRUCTURAL ANALOGS, and RESERVED COMPOUNDS (the “Released
Compounds”). The AGREEMENT shall be deemed to be terminated pursuant to §19.2.1(ii) with respect to all PRODUCTS containing a Released Compound, and all licenses relating to Released Compounds shall be deemed to be terminated pursuant to
§19.3.3 of the AGREEMENT. 
 
7.  Testing of [ * ] and additional Reversion of Rights to KOSAN.    LICENSEE will be testing of [ * ] to determine whether that Selected Compound possesses at least a comparable in vitro
anti-bacterial profile and superior oral efficacy to the compound [ * ]. Effective January 31, 2003, LICENSEE hereby releases and reverts to KOSAN in accordance with §19.3.4 of the AGREEMENT any and all of LICENSEE’s rights to [ * ] unless
[ * ] has been shown to have at least a comparable in vitro anti-bacterial profile and superior oral efficacy to [ * ] and such compounds shall be included within the Released Compounds as provided in Paragraph 6 above. If [ * ] has been shown to
have at least a comparable in vitro anti-bacterial profile and superior oral efficacy to [ * ], the parties will discuss further research and development of this compound or a Close Structural Analog. 
 

 
8.  Non-Acceptance of [ * ] by December 28, 2003.    In the event that LICENSEE has not accepted [ * ] as of December 28, 2003, then the AGREEMENT shall, unless otherwise agreed, terminate
pursuant to §19.2.1(i), and such termination shall constitute a release and reversion to KOSAN in accordance with §19.3.4 of the AGREEMENT of any and all of LICENSEE’s rights to [ * ], and a termination of all licenses relating
thereto pursuant to §19.3.3 of the AGREEMENT. Termination pursuant to this Section 8 shall not obligate LICENSEE to any wind-down or other payment to KOSAN, whether pursuant to §19.1.2(c) of the AGREEMENT or otherwise. 
 
9.  Acceptance of [ * ] by December 28,
2003.    In the event that LICENSEE has selected [ * ] on or before December 28, 2003, then LICENSEE shall have the right to continue development and commercialization of such [ * ] as provided by the AGREEMENT. 
 
10.  Termination.    After [ * ], KOSAN may, at KOSAN’s option, terminate the AGREEMENT upon thirty (30) days’ written notice as provided in Section 22.2 if LICENSEE has not agreed to
provide KOSAN with RESEARCH FUNDING to support [ * ]; provided, however, that if during the thirty (30) day notice period LICENSEE agrees to provide such RESEARCH FUNDING, then KOSAN’s notice shall be of no effect and the Agreement shall not be
terminated. For purposes of the Paragraph “sufficient RESEARCH FUNDING” means funding for [ * ] over the period [ * ]. 
 
11.  AGREEMENT.    Except as amended herein, all of the terms and conditions of the AGREEMENT shall
remain in full force and effect. 
 
SIGNATURES ON
FOLLOWING PAGE 
 
 
 
 
IN WITNESS WHEREOF, the parties
hereto have hereunto set their hands and duly executed this Amendment to the AGREEMENT on the date(s) indicated below, to be effective the day and year first above written. 
 

 
For and on Behalf of KOSAN

 

	 /s/    DANIEL V. SANTI, MD,
PHD

 Daniel V. Santi, MD, PhD
 Chief Executive Officer
  
 Date: December 20, 2002

 
 
For and on Behalf of LICENSEE 
 

	 /s/    GEOFFREY G. DELLENBAUGH

 Geoffrey G. Dellenbaugh
 Executive Director, External Relations
  
 Date: December 20, 2002

 
 
 
[ * ] = CERTAIN CONFIDENTIAL
INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED
AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO
RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.Second Amendment to Credit Agreement

 
EXHIBIT 10.37

 
SECOND AMENDMENT TO CREDIT AGREEMENT

 
This SECOND AMENDMENT TO CREDIT AGREEMENT,
effective December 19th, 2002 (“Second Amendment”), amends that certain Credit Agreement, dated April 16th, 2001, by and between Neoforma, Inc., fdba Neoforma.com, Inc., a Delaware corporation (“Neoforma”), and VHA
Inc., a Delaware corporation (“VHA”), as amended to date (“Current Agreement”). The capitalized terms not otherwise defined herein have the respective meanings given to them in the Current Agreement. 
 
RECITALS 
 
WHEREAS, Neoforma and VHA wish to extend the maturity date of
the Current Agreement from May 31, 2003 to December 31, 2004; 
 
WHEREAS, Neoforma and VHA wish to change the interest rate of the Current Agreement from 10% to a floating rate of the prime rate plus 2.75%; 
 
WHEREAS, Neoforma has agreed to reduce the current amount of principal outstanding under the Current Agreement by $5 million concurrent
with the execution of this Second Amendment; and 
 
WHEREAS, Section 8.8 of the Current Agreement states, in part, the Current Agreement may be modified or amended only by a writing signed by both parties hereto. 
 
NOW, THEREFORE, in consideration of the mutual promises made herein and other good and valuable
consideration, the receipt and adequacy of which are hereby acknowledged, the parties hereto agree to the following: 
 

	 	1.	Amendment of Section 1.9.    Section 1.9 of the Current Agreement provides: 

 
1.9    Maturity
Date.    The term “Maturity Date” means that date which is the earlier to occur of: (a) May 31, 2003; (b) the date the Commitment (as defined in Section 2.1) is terminated by Lender pursuant to
Section 7.2(a); (c) the date on which Lender declares the entire unpaid principal amount and all accrued interest on any outstanding Note immediately due and payable in full under Section 7.2(b), or such amount otherwise becomes immediately due and
payable in full; (d) the date on which Lender and Borrower mutually agree in writing to terminate the Commitment or (e) the date on which a Change of Control occurs. 

 
Section 1.9
is hereby revised to change the date in subparagraph (a) to December 31, 2004, so that Section 1.9 is amended to state: 
 
1.9    Maturity Date.    The term “Maturity Date” means
that date which is the earlier to occur of: (a) December 31, 2004; (b) the date the Commitment (as defined in Section 2.1) is terminated by Lender pursuant to Section 7.2(a); (c) the date on which Lender declares the entire unpaid principal amount
and all accrued interest on any outstanding Note immediately due and payable in full under Section 7.2(b), or such amount otherwise becomes immediately due and payable in full; (d) the date on which Lender and Borrower mutually agree in writing to
terminate the Commitment or (e) the date on which a Change of Control occurs. 
 

	 	2.	Amendment of Section 2.3.     Section 2.3 of the Current Agreement provides: 

 
2.3    Note.    Borrower’s indebtedness to Lender under each Loan advanced by Lender under this Agreement will be evidenced by a promissory note of Borrower in the form
attached hereto as Exhibit A (the “Note”). The Note will provide that interest on unpaid principal will accrue at a rate equal to ten percent (10%) per annum (calculated on the basis of a 360-day year). 
 
Section 2.3 is hereby revised to change the interest rate
from 10% to the prime rate plus 2.75%, so that Section 2.3 is amended to state: 
 
2.3    Note.    Borrower’s indebtedness to Lender under each Loan currently outstanding and under each Loan advanced by Lender under this
Agreement subsequent to the effective date of the Second Amendment will be evidenced by a promissory note of Borrower in the form attached hereto as Exhibit A (the “Note”). The Note will provide that interest on unpaid
principal will accrue at a rate equal to a fluctuating interest rate per annum in effect from time to time, which rate per annum shall at all times be equal to the rate of interest announced publicly by Citibank, N.A. in New York, New York, from
time to time, as Citibank’s prime rate, plus 2.75%; (calculated on the basis of a 360-day year). 
 

	 	3.	Reduction of Outstanding Principal.    Concurrent with the execution of this Second Amendment, Borrower shall pay to Lender $5
million by wire transfer, which payment, notwithstanding Section 2.5 of the Current Agreement, shall reflect in its entirety a reduction of the outstanding principal owed to Lender by Borrower. This payment shall not reduce the Maximum Loan Amount
available to Neoforma under the Current Agreement. 

 

	 	4.	All Other Terms Unchanged.    Except as expressly modified by this Second Amendment, all terms of the Current
Agreement shall remain in full force and effect. 

 

	 	5.	Governing Law.    This Second Amendment shall be governed by and construed under the internal laws of the State of
California and shall be binding upon the parties hereto in the United States and worldwide. The federal and state courts of California shall have exclusive jurisdiction to adjudicate any dispute arising out of this Second Amendment.

 

	 	6.	Counterparts.    This Second Amendment may be executed in two or more counterparts, each of which will be deemed an
original, but all of which together will constitute one and the same instrument. 

 
IN WITNESS WHEREOF, this Second Amendment has been executed, effective as of the date first written above. 
 

	 NEOFORMA, INC.
	 	 	 	 VHA INC.

	
	 By:
	 	     /s/    ANDREW GUGENHIME

	 	 	 	 By:
	 	     /s/    CURT NONOMAQUE

	 Title:
	 	     CFO

	 	 	 	 Title:
	 	  
  

 
 
 
[Signature Page to Second Amendment to Credit Agreement]

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