Document:

ex4_1.htm

EXHIBIT 4.1

 

OnCore Biopharma, Inc.

 

2014 Equity Incentive Plan

 

Adopted by the Board of Directors:  November 13, 2014

Approved by the Stockholders:  November 19,  2014

Termination Date:  November 12, 2024

 

1.           General.

 

(a)           Eligible Stock Award Recipients.  Employees, Directors and Consultants are eligible to receive Stock Awards.

 

(b)           Available Stock Awards.  The Plan provides for the grant of the following types of Stock Awards: (i) Incentive Stock Options, (ii) Nonstatutory Stock Options, (iii) Stock Appreciation Rights, (iv) Restricted Stock Awards, (v) Restricted Stock Unit Awards and (vi) Other Stock Awards.

 

(c)           Purpose.  The Plan, through the granting of Stock Awards, is intended to help the Company secure and retain the services of eligible award recipients, provide incentives for such persons to exert maximum efforts for the success of the Company and any Affiliate and provide a means by which the eligible recipients may benefit from increases in value of the Common Stock.

 

2.           Administration.

 

(a)           Administration by Board.  The Board will administer the Plan.  The Board may delegate administration of the Plan to a Committee or Committees, as provided in Section 2(c).

 

(b)           Powers of Board.  The Board will have the power, subject to, and within the limitations of, the express provisions of the Plan:

 

(i)           To determine (A) who will be granted Stock Awards; (B) when and how each Stock Award will be granted; (C) what type of Stock Award will be granted; (D) the provisions of each Stock Award (which need not be identical), including when a person will be permitted to exercise or otherwise receive cash or Common Stock under the Stock Award; (E) the number of shares of Common Stock subject to a Stock Award; and (F) the Fair Market Value applicable to a Stock Award.

 

(ii)           To construe and interpret the Plan and Stock Awards granted under it, and to establish, amend and revoke rules and regulations for administration of the Plan and Stock Awards.  The Board, in the exercise of these powers, may correct any defect, omission or inconsistency in the Plan or in any Stock Award Agreement, in a manner and to the extent it will deem necessary or expedient to make the Plan or Stock Award fully effective.

 

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(iii)           To settle all controversies regarding the Plan and Stock Awards granted under it.

 

(iv)           To accelerate, in whole or in part, the time at which a Stock Award may be exercised or vest (or at which cash or shares of Common Stock may be issued).

 

(v)           To suspend or terminate the Plan at any time.  Except as otherwise provided in the Plan or a Stock Award Agreement, suspension or termination of the Plan will not impair a Participant’s rights under his or her then-outstanding Stock Award without his or her written consent except as provided in subsection (viii) below.

 

(vi)           To amend the Plan in any respect the Board deems necessary or advisable, including, without limitation, by adopting amendments relating to Incentive Stock Options and certain nonqualified deferred compensation under Section 409A of the Code and/or to make the Plan or Stock Awards granted under the Plan compliant with the requirements for Incentive Stock Options or exempt from or compliant with the requirements for nonqualified deferred compensation under Section 409A of the Code, subject to the limitations, if any, of applicable law. However, if required by applicable law, and except as provided in Section 9(a) relating to Capitalization Adjustments, the Company will seek stockholder approval of any amendment of the Plan that (A) materially increases the number of shares of Common Stock available for issuance under the Plan, (B) materially expands the class of individuals eligible to receive Stock Awards under the Plan, (C) materially increases the benefits accruing to Participants under the Plan, (D) materially reduces the price at which shares of Common Stock may be issued or purchased under the Plan, (E) materially extends the term of the Plan, or (F) materially expands the types of Stock Awards available for issuance under the Plan.  Except as provided in the Plan (including subsection (viii) below) or a Stock Award Agreement, no amendment of the Plan will impair a Participant’s rights under an outstanding Stock Award unless (1) the Company requests the consent of the affected Participant, and (2) such Participant consents in writing.

 

(vii)           To submit any amendment to the Plan for stockholder approval, including, but not limited to, amendments to the Plan intended to satisfy the requirements of Section 422 of the Code regarding Incentive Stock Options.

 

(viii)           To approve forms of Stock Award Agreements for use under the Plan and to amend the terms of any one or more Stock Awards, including, but not limited to, amendments to provide terms more favorable to the Participant than previously provided in the Stock Award Agreement, subject to any specified limits in the Plan that are not subject to Board discretion; provided however, that a Participant’s rights under any Stock Award will not be impaired by any such amendment unless (A) the Company requests the consent of the affected Participant, and (B) such Participant consents in writing.  Notwithstanding the foregoing, (1) a Participant’s rights will not be deemed to have been impaired by any such amendment if the Board, in its sole discretion, determines that the amendment, taken as a whole, does not materially impair the Participant’s rights, and (2) subject to the limitations of applicable law, if any, the Board may amend the terms of any one or more Stock Awards without the affected Participant’s consent (A) to maintain the qualified status of the Stock Award as an Incentive Stock Option under Section 422 of the Code; (B) to change the terms of an Incentive Stock Option, if such change

 

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results in impairment of the Award solely because it impairs the qualified status of the Award as an Incentive Stock Option under Section 422 of the Code; (C) to clarify the manner of exemption from, or to bring the Stock Award into compliance with, Section 409A of the Code; or (D) to comply with other applicable laws.

 

(ix)           Generally, to exercise such powers and to perform such acts as the Board deems necessary or expedient to promote the best interests of the Company and that are not in conflict with the provisions of the Plan or Stock Awards.

 

(x)           To adopt such procedures and sub-plans as are necessary or appropriate to permit participation in the Plan by Employees, Directors or Consultants who are foreign nationals or employed outside the United States.

 

(xi)           To effect, with the consent of any adversely affected Participant, (A) the reduction of the exercise, purchase or strike price of any outstanding Stock Award; (B) the cancellation of any outstanding Stock Award and the grant in substitution therefor of a new (1) Option or SAR, (2) Restricted Stock Award, (3) Restricted Stock Unit Award, (4) Other Stock Award, (5) cash and/or (6) other valuable consideration determined by the Board, in its sole discretion, with any such substituted award (x) covering the same or a different number of shares of Common Stock as the cancelled Stock Award and (y) granted under the Plan or another equity or compensatory plan of the Company; or (C) any other action that is treated as a repricing under generally accepted accounting principles.

 

(c)           Delegation to Committee.  The Board may delegate some or all of the administration of the Plan to a Committee or Committees.  If administration of the Plan is delegated to a Committee, the Committee will have, in connection with the administration of the Plan, the powers theretofore possessed by the Board that have been delegated to the Committee, including the power to delegate to a subcommittee of the Committee any of the administrative powers the Committee is authorized to exercise (and references in this Plan to the Board will thereafter be to the Committee or subcommittee).  Any delegation of administrative powers will be reflected in resolutions, not inconsistent with the provisions of the Plan, adopted from time to time by the Board or Committee (as applicable).  The Committee may, at any time, abolish the subcommittee and/or revest in the Committee any powers delegated to the subcommittee.  The Board may retain the authority to concurrently administer the Plan with the Committee and may, at any time, revest in the Board some or all of the powers previously delegated.

 

(d)           Delegation to an Officer.  The Board may delegate to one (1) or more Officers the authority to do one or both of the following: (i) designate Employees who are not Officers to be recipients of Options and SARs (and, to the extent permitted by applicable law, other Stock Awards) and, to the extent permitted by applicable law, the terms of such Stock Awards, and (ii) determine the number of shares of Common Stock to be subject to such Stock Awards granted to such Employees; provided, however, that the Board resolutions regarding such delegation will specify the total number of shares of Common Stock that may be subject to the Stock Awards granted by such Officer and that such Officer may not grant a Stock Award to himself or herself.  Any such Stock Awards will be granted on the form of Stock Award Agreement most recently approved for use by the Committee or the Board, unless otherwise provided in the resolutions

 

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approving the delegation authority.  The Board may not delegate authority to an Officer who is acting solely in the capacity of an Officer (and not also as a Director) to determine the Fair Market Value pursuant to Section 13(t) below.

 

(e)           Effect of Board’s Decision. All determinations, interpretations and constructions made by the Board in good faith will not be subject to review by any person and will be final, binding and conclusive on all persons.

 

3.           Shares Subject to the Plan.

 

(a)           Share Reserve.

 

(i)           Subject to Section 9(a) relating to Capitalization Adjustments, the aggregate number of shares of Common Stock that may be issued pursuant to Stock Awards from and after the Effective Date will not exceed 1,200,000 shares (the “Share Reserve”).

 

(ii)           For clarity, the Share Reserve in this Section 3(a) is a limitation on the number of shares of Common Stock that may be issued pursuant to the Plan.  Accordingly, this Section 3(a) does not limit the granting of Stock Awards except as provided in Section 7(a).

 

(b)           Reversion of Shares to the Share Reserve.  If a Stock Award or any portion thereof (i) expires or otherwise terminates without all of the shares covered by such Stock Award having been issued or (ii) is settled in cash (i.e., the Participant receives cash rather than stock), such expiration, termination or settlement will not reduce (or otherwise offset) the number of shares of Common Stock that may be available for issuance under the Plan.  If any shares of Common Stock issued pursuant to a Stock Award are forfeited back to or repurchased by the Company because of the failure to meet a contingency or condition required to vest such shares in the Participant, then the shares that are forfeited or repurchased will revert to and again become available for issuance under the Plan.  Any shares reacquired by the Company in satisfaction of tax withholding obligations on a Stock Award or as consideration for the exercise or purchase price of a Stock Award will again become available for issuance under the Plan.

 

(c)           Incentive Stock Option Limit.  Subject to the Share Reserve and Section 9(a) relating to Capitalization Adjustments, the aggregate maximum number of shares of Common Stock that may be issued pursuant to the exercise of Incentive Stock Options will be 1,200,000 shares of Common Stock.

 

(d)           Source of Shares.  The stock issuable under the Plan will be shares of authorized but unissued or reacquired Common Stock, including shares repurchased by the Company on the open market or otherwise.

 

4.           Eligibility.

 

(a)           Eligibility for Specific Stock Awards.  Incentive Stock Options may be granted only to employees of the Company or a “parent corporation” or “subsidiary corporation” thereof (as such terms are defined in Sections 424(e) and 424(f) of the Code).  Stock Awards other than Incentive Stock Options may be granted to Employees, Directors and Consultants; provided,

 

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however, that Stock Awards may not be granted to Employees, Directors and Consultants who are providing Continuous Service only to any “parent” of the Company, as such term is defined in Rule 405, unless (i) the stock underlying such Stock Awards is treated as “service recipient stock” under Section 409A of the Code (for example, because the Stock Awards are granted pursuant to a corporate transaction such as a spin off transaction), or (ii) the Company, in consultation with its legal counsel, has determined that such Stock Awards are otherwise exempt from or alternatively comply with the distribution requirements of Section 409A of the Code.

 

(b)           Ten Percent Stockholders.  A Ten Percent Stockholder will not be granted an Incentive Stock Option unless the exercise price of such Option is at least one hundred ten percent (110%) of the Fair Market Value on the date of grant and the Option is not exercisable after the expiration of five (5) years from the date of grant.

 

(c)           Consultants.   A Consultant will not be eligible for the grant of a Stock Award if, at the time of grant, either the offer or sale of the Company’s securities to such Consultant is not exempt under Rule 701 because of the nature of the services that the Consultant is providing to the Company, because the Consultant is not a natural person, or because of any other provision of Rule 701, unless the Company determines that such grant need not comply with the requirements of Rule 701 and will satisfy another exemption under the Securities Act as well as comply with the securities laws of all other relevant jurisdictions.

 

5.           Provisions Relating to Options and Stock Appreciation Rights.

 

Each Option or SAR will be in such form and will contain such terms and conditions as the Board deems appropriate.  All Options will be separately designated Incentive Stock Options or Nonstatutory Stock Options at the time of grant, and, if certificates are issued, a separate certificate or certificates will be issued for shares of Common Stock purchased on exercise of each type of Option.  If an Option is not specifically designated as an Incentive Stock Option, or if an Option is designated as an Incentive Stock Option but some portion or all of the Option fails to qualify as an Incentive Stock Option under the applicable rules, then the Option (or portion thereof) will be a Nonstatutory Stock Option. The provisions of separate Options or SARs need not be identical; provided, however, that each Stock Award Agreement will conform to (through incorporation of provisions hereof by reference in the applicable Stock Award Agreement or otherwise) the substance of each of the following provisions:

 

(a)           Term.  Subject to the provisions of Section 4(b) regarding Ten Percent Stockholders, no Option or SAR will be exercisable after the expiration of ten (10) years from the date of its grant or such shorter period specified in the Stock Award Agreement.

 

(b)           Exercise Price.  Subject to the provisions of Section  4(b) regarding Ten Percent Stockholders, the exercise or strike price of each Option or SAR will be not less than one hundred percent (100%) of the Fair Market Value of the Common Stock subject to the Option or SAR on the date the Stock Award is granted.  Notwithstanding the foregoing, an Option or SAR may be granted with an exercise or strike price lower than one hundred percent (100%) of the Fair Market Value of the Common Stock subject to the Stock Award if such Stock Award is granted pursuant to an assumption of or substitution for another option or stock appreciation

 

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right pursuant to a Corporate Transaction and in a manner consistent with the provisions of Section 409A of the Code and, if applicable, Section 424(a) of the Code.  Each SAR will be denominated in shares of Common Stock equivalents.

 

(c)           Purchase Price for Options.  The purchase price of Common Stock acquired pursuant to the exercise of an Option may be paid, to the extent permitted by applicable law and as determined by the Board in its sole discretion, by any combination of the methods of payment set forth below.  The Board will have the authority to grant Options that do not permit all of the following methods of payment (or otherwise restrict the ability to use certain methods) and to grant Options that require the consent of the Company to use a particular method of payment.  The permitted methods of payment are as follows:

 

(i)           by cash, check, bank draft or money order payable to the Company;

 

(ii)           pursuant to a program developed under Regulation T as promulgated by the Federal Reserve Board that, prior to the issuance of the stock subject to the Option, results in either the receipt of cash (or check) by the Company or the receipt of irrevocable instructions to pay the aggregate exercise price to the Company from the sales proceeds;

 

(iii)           by delivery to the Company (either by actual delivery or attestation) of shares of Common Stock;

 

(iv)           if an Option is a Nonstatutory Stock Option, by a “net exercise” arrangement pursuant to which the Company will reduce the number of shares of Common Stock issuable upon exercise by the largest whole number of shares with a Fair Market Value that does not exceed the aggregate exercise price; provided, however, that the Company will accept a cash or other payment from the Participant to the extent of any remaining balance of the aggregate exercise price not satisfied by such reduction in the number of whole shares to be issued.  Shares of Common Stock will no longer be subject to an Option and will not be exercisable thereafter to the extent that (A) shares issuable upon exercise are used to pay the exercise price pursuant to the “net exercise,” (B) shares are delivered to the Participant as a result of such exercise, and (C) shares are withheld to satisfy tax withholding obligations;

 

(v)           according to a deferred payment or similar arrangement with the Optionholder; provided, however, that interest will compound at least annually and will be charged at the minimum rate of interest necessary to avoid (A) the imputation of interest income to the Company and compensation income to the Optionholder under any applicable provisions of the Code, and (B) the classification of the Option as a liability for financial accounting purposes; or

 

(vi)           in any other form of legal consideration that may be acceptable to the Board and specified in the applicable Stock Award Agreement.

 

(d)           Exercise and Payment of a SAR.  To exercise any outstanding SAR, the Participant must provide written notice of exercise to the Company in compliance with the provisions of the Stock Award Agreement evidencing such SAR.  The appreciation distribution

 

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payable on the exercise of a SAR will be not greater than an amount equal to the excess of (A) the aggregate Fair Market Value (on the date of the exercise of the SAR) of a number of shares of Common Stock equal to the number of Common Stock equivalents in which the Participant is vested under such SAR, and with respect to which the Participant is exercising the SAR on such date, over (B) the strike price.  The appreciation distribution may be paid in Common Stock, in cash, in any combination of the two or in any other form of consideration, as determined by the Board and contained in the Stock Award Agreement evidencing such SAR.

 

(e)           Transferability of Options and SARs.  The Board may, in its sole discretion, impose such limitations on the transferability of Options and SARs as the Board will determine.  In the absence of such a determination by the Board to the contrary, the following restrictions on the transferability of Options and SARs will apply:

 

(i)           Restrictions on Transfer.  An Option or SAR will not be transferable except by will or by the laws of descent and distribution (and pursuant to subsections (ii) and (iii) below), and will be exercisable during the lifetime of the Participant only by the Participant.  The Board may permit transfer of the Option or SAR in a manner that is not prohibited by applicable tax and securities laws. Except as explicitly provided herein, neither an Option nor a SAR may be transferred for consideration.

 

(ii)           Domestic Relations Orders.  Subject to the approval of the Board or a duly authorized Officer, an Option or SAR may be transferred pursuant to the terms of a domestic relations order, official marital settlement agreement or other divorce or separation instrument as permitted by Treasury Regulation 1.421-1(b)(2).  If an Option is an Incentive Stock Option, such Option may be deemed to be a Nonstatutory Stock Option as a result of such transfer.

 

(iii)           Beneficiary Designation.  Subject to the approval of the Board or a duly authorized Officer, a Participant may, by delivering written notice to the Company, in a form approved by the Company (or the designated broker), designate a third party who, upon the death of the Participant, will thereafter be entitled to exercise the Option or SAR and receive the Common Stock or other consideration resulting from such exercise.  In the absence of such a designation, the executor or administrator of the Participant’s estate will be entitled to exercise the Option or SAR and receive the Common Stock or other consideration resulting from such exercise.  However, the Company may prohibit designation of a beneficiary at any time, including due to any conclusion by the Company that such designation would be inconsistent with the provisions of applicable laws.

 

(f)           Vesting Generally.  The total number of shares of Common Stock subject to an Option or SAR may vest and therefore become exercisable in periodic installments that may or may not be equal.  The Option or SAR may be subject to such other terms and conditions on the time or times when it may or may not be exercised (which may be based on the satisfaction of performance goals or other criteria) as the Board may deem appropriate.  The vesting provisions of individual Options or SARs may vary.  The provisions of this Section 5(f) are subject to any Option or SAR provisions governing the minimum number of shares of Common Stock as to which an Option or SAR may be exercised.

 

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(g)           Termination of Continuous Service. Except as otherwise provided in the applicable Stock Award Agreement or other agreement between the Participant and the Company, if a Participant’s Continuous Service terminates (other than for Cause and other than upon the Participant’s death or Disability), the Participant may exercise his or her Option or SAR (to the extent that the Participant was entitled to exercise such Stock Award as of the date of termination of Continuous Service) within the period of time ending on the earlier of (i) the date three (3) months following the termination of the Participant’s Continuous Service (or such longer or shorter period specified in the applicable Stock Award Agreement, which period will not be less than thirty (30) days if necessary to comply with applicable laws unless such termination is for Cause) and (ii) the expiration of the term of the Option or SAR as set forth in the Stock Award Agreement.  If, after termination of Continuous Service, the Participant does not exercise his or her Option or SAR within the applicable time frame, the Option or SAR (as applicable) will terminate.

 

(h)           Extension of Termination Date. Except as otherwise provided in the applicable Stock Award Agreement or other agreement between the Participant and the Company, if the exercise of an Option or SAR following the termination of the Participant’s Continuous Service (other than for Cause and other than upon the Participant’s death or Disability) would be prohibited at any time solely because the issuance of shares of Common Stock would violate the registration requirements under the Securities Act, then the Option or SAR will terminate on the earlier of (i) the expiration of a total period of three (3) months (that need not be consecutive) after the termination of the Participant’s Continuous Service during which the exercise of the Option or SAR would not be in violation of such registration requirements, or (ii) the expiration of the term of the Option or SAR as set forth in the applicable Stock Award Agreement.  In addition, unless otherwise provided in a Participant’s Stock Award Agreement, if the sale of any Common Stock received upon exercise of an Option or SAR following the termination of the Participant’s Continuous Service (other than for Cause) would violate the Company’s insider trading policy, then the Option or SAR will terminate on the earlier of (i) the expiration of a period of time (that need not be consecutive) equal to the applicable post-termination exercise period after the termination of the Participant’s Continuous Service during which the sale of the Common Stock received upon exercise of the Option or SAR would not be in violation of the Company’s insider trading policy, or (ii) the expiration of the term of the Option or SAR as set forth in the applicable Stock Award Agreement.

 

(i)           Disability of Participant.  Except as otherwise provided in the applicable Stock Award Agreement or other agreement between the Participant and the Company, if a Participant’s Continuous Service terminates as a result of the Participant’s Disability, the Participant may exercise his or her Option or SAR (to the extent that the Participant was entitled to exercise such Option or SAR as of the date of termination of Continuous Service), but only within such period of time ending on the earlier of (i) the date twelve (12) months following such termination of Continuous Service (or such longer or shorter period specified in the Stock Award Agreement, which period will not be less than six (6) months if necessary to comply with applicable laws), and (ii) the expiration of the term of the Option or SAR as set forth in the Stock Award Agreement.  If, after termination of Continuous Service, the Participant does not exercise

 

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his or her Option or SAR within the applicable time frame, the Option or SAR (as applicable) will terminate.

 

(j)           Death of Participant.  Except as otherwise provided in the applicable Stock Award Agreement or other agreement between the Participant and the Company, if (i) a Participant’s Continuous Service terminates as a result of the Participant’s death, or (ii) the Participant dies within the period (if any) specified in the Stock Award Agreement for exercisability after the termination of the Participant’s Continuous Service (for a reason other than death), then the Option or SAR may be exercised (to the extent the Participant was entitled to exercise such Option or SAR as of the date of death) by the Participant’s estate, by a person who acquired the right to exercise the Option or SAR by bequest or inheritance or by a person designated to exercise the Option or SAR upon the Participant’s death, but only within the period ending on the earlier of (i) the date eighteen (18) months following the date of death (or such longer or shorter period specified in the Stock Award Agreement, which period will not be less than six (6) months if necessary to comply with applicable laws), and (ii) the expiration of the term of such Option or SAR as set forth in the Stock Award Agreement.  If, after the Participant’s death, the Option or SAR is not exercised within the applicable time frame, the Option or SAR (as applicable) will terminate.

 

(k)            Termination for Cause.  Except as explicitly provided otherwise in a Participant’s Stock Award Agreement or other individual written agreement between the Company or any Affiliate and the Participant, if a Participant’s Continuous Service is terminated for Cause, the Option or SAR will terminate immediately upon such Participant’s termination of Continuous Service, and the Participant will be prohibited from exercising his or her Option or SAR from and after the time of such termination of Continuous Service.

 

(l)           Non-Exempt Employees.  If an Option or SAR is granted to an Employee who is a non-exempt employee for purposes of the Fair Labor Standards Act of 1938, as amended, the Option or SAR will not be first exercisable for any shares of Common Stock until at least six (6) months following the date of grant of the Option or SAR (although the Stock Award may vest prior to such date).  Consistent with the provisions of the Worker Economic Opportunity Act, (i) if such non-exempt Employee dies or suffers a Disability, (ii) upon a Corporate Transaction in which such Option or SAR is not assumed, continued, or substituted, (iii) upon a Change in Control, or (iv) upon the Participant’s retirement (as such term may be defined in the Participant’s Stock Award Agreement, in another agreement between the Participant and the Company, or, if no such definition, in accordance with the Company's then current employment policies and guidelines), the vested portion of any Options and SARs may be exercised earlier than six (6) months following the date of grant.  The foregoing provision is intended to operate so that any income derived by a non-exempt employee in connection with the exercise or vesting of an Option or SAR will be exempt from his or her regular rate of pay. To the extent permitted and/or required for compliance with the Worker Economic Opportunity Act to ensure that any income derived by a non-exempt employee in connection with the exercise, vesting or issuance of any shares under any other Stock Award will be exempt from the employee’s regular rate of pay, the provisions of this Section 5(l) will apply to all Stock Awards and are hereby incorporated by reference into such Stock Award Agreements.

 

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(m)           Early Exercise of Options.  An Option may, but need not, include a provision whereby the Optionholder may elect at any time before the Optionholder’s Continuous Service terminates to exercise the Option as to any part or all of the shares of Common Stock subject to the Option prior to the full vesting of the Option.  Subject to the “Repurchase Limitation” in Section 8(l), any unvested shares of Common Stock so purchased may be subject to a repurchase right in favor of the Company or to any other restriction the Board determines to be appropriate.  Provided that the “Repurchase Limitation” in Section 8(l) is not violated, the Company will not be required to exercise its repurchase right until at least six (6) months (or such longer or shorter period of time required to avoid classification of the Option as a liability for financial accounting purposes) have elapsed following exercise of the Option unless the Board otherwise specifically provides in the Option Agreement.

 

(n)           Right of Repurchase.  Subject to the “Repurchase Limitation” in Section 8(l), the Option or SAR may include a provision whereby the Company may elect to repurchase all or any part of the vested shares of Common Stock acquired by the Participant pursuant to the exercise of the Option or SAR.

 

(o)           Right of First Refusal.  The Option or SAR may include a provision whereby the Company may elect to exercise a right of first refusal following receipt of notice from the Participant of the intent to transfer all or any part of the shares of Common Stock received upon the exercise of the Option or SAR.  Such right of first refusal will be subject to the “Repurchase Limitation” in Section 8(l).  Except as expressly provided in this Section 5(o) or in the Stock Award Agreement, such right of first refusal will otherwise comply with any applicable provisions of the bylaws of the Company.

 

6.           Provisions of Stock Awards Other than Options and SARs.

 

(a)           Restricted Stock Awards.  Each Restricted Stock Award Agreement will be in such form and will contain such terms and conditions as the Board deems appropriate.  To the extent consistent with the Company’s bylaws, at the Board’s election, shares of Common Stock may be (i) held in book entry form subject to the Company’s instructions until any restrictions relating to the Restricted Stock Award lapse; or (ii) evidenced by a certificate, which certificate will be held in such form and manner as determined by the Board.  The terms and conditions of Restricted Stock Award Agreements may change from time to time, and the terms and conditions of separate Restricted Stock Award Agreements need not be identical.  Each Restricted Stock Award Agreement will conform to (through incorporation of the provisions hereof by reference in the agreement or otherwise) the substance of each of the following provisions:

 

(i)           Consideration. A Restricted Stock Award may be awarded in consideration for (A) cash, check, bank draft or money order payable to the Company, (B) past services to the Company or an Affiliate, or (C) any other form of legal consideration (including future services) that may be acceptable to the Board, in its sole discretion, and permissible under applicable law.

 

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(ii)           Vesting.  Subject to the “Repurchase Limitation” in Section 8(l), shares of Common Stock awarded under the Restricted Stock Award Agreement may be subject to forfeiture to the Company in accordance with a vesting schedule to be determined by the Board.

 

(iii)           Termination of Participant’s Continuous Service.  If a Participant’s Continuous Service terminates, the Company may receive through a forfeiture condition or a repurchase right, any or all of the shares of Common Stock held by the Participant that have not vested as of the date of termination of Continuous Service under the terms of the Restricted Stock Award Agreement.

 

(iv)           Transferability.  Rights to acquire shares of Common Stock under the Restricted Stock Award Agreement will be transferable by the Participant only upon such terms and conditions as are set forth in the Restricted Stock Award Agreement, as the Board will determine in its sole discretion, so long as Common Stock awarded under the Restricted Stock Award Agreement remains subject to the terms of the Restricted Stock Award Agreement.

 

(v)           Dividends.  A Restricted Stock Award Agreement may provide that any dividends paid on Restricted Stock will be subject to the same vesting and forfeiture restrictions as apply to the shares subject to the Restricted Stock Award to which they relate.

 

(b)           Restricted Stock Unit Awards.  Each Restricted Stock Unit Award Agreement will be in such form and will contain such terms and conditions as the Board deems appropriate.  The terms and conditions of Restricted Stock Unit Award Agreements may change from time to time, and the terms and conditions of separate Restricted Stock Unit Award Agreements need not be identical.  Each Restricted Stock Unit Award Agreement will conform to (through incorporation of the provisions hereof by reference in the Agreement or otherwise) the substance of each of the following provisions:

 

(i)           Consideration.  At the time of grant of a Restricted Stock Unit Award, the Board will determine the consideration, if any, to be paid by the Participant upon delivery of each share of Common Stock subject to the Restricted Stock Unit Award.  The consideration to be paid (if any) by the Participant for each share of Common Stock subject to a Restricted Stock Unit Award may be paid in any form of legal consideration that may be acceptable to the Board, in its sole discretion, and permissible under applicable law.

 

(ii)           Vesting.  At the time of the grant of a Restricted Stock Unit Award, the Board may impose such restrictions on or conditions to the vesting of the Restricted Stock Unit Award as it, in its sole discretion, deems appropriate.

 

(iii)           Payment.  A Restricted Stock Unit Award may be settled by the delivery of shares of Common Stock, their cash equivalent, any combination thereof or in any other form of consideration, as determined by the Board and contained in the Restricted Stock Unit Award Agreement.

 

(iv)           Additional Restrictions.  At the time of the grant of a Restricted Stock Unit Award, the Board, as it deems appropriate, may impose such restrictions or conditions that

 

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delay the delivery of the shares of Common Stock (or their cash equivalent) subject to a Restricted Stock Unit Award to a time after the vesting of such Restricted Stock Unit Award.

 

(v)           Dividend Equivalents.  Dividend equivalents may be credited in respect of shares of Common Stock covered by a Restricted Stock Unit Award, as determined by the Board and contained in the Restricted Stock Unit Award Agreement.  At the sole discretion of the Board, such dividend equivalents may be converted into additional shares of Common Stock covered by the Restricted Stock Unit Award in such manner as determined by the Board.  Any additional shares covered by the Restricted Stock Unit Award credited by reason of such dividend equivalents will be subject to all of the same terms and conditions of the underlying Restricted Stock Unit Award Agreement to which they relate.

 

(vi)           Termination of Participant’s Continuous Service.  Except as otherwise provided in the applicable Restricted Stock Unit Award Agreement, such portion of the Restricted Stock Unit Award that has not vested will be forfeited upon the Participant’s termination of Continuous Service.

 

(vii)           Compliance with Section 409A of the Code.   Notwithstanding anything to the contrary set forth herein, any Restricted Stock Unit Award granted under the Plan that is not exempt from the requirements of Section 409A of the Code shall contain such provisions so that such Restricted Stock Unit Award will comply with the requirements of Section 409A of the Code.  Such restrictions, if any, shall be determined by the Board and contained in the Restricted Stock Unit Award Agreement evidencing such Restricted Stock Unit Award.  For example, such restrictions may include, without limitation, a requirement that any Common Stock that is to be issued in a year following the year in which the Restricted Stock Unit Award vests must be issued in accordance with a fixed pre-determined schedule.

 

(c)           Other Stock Awards.  Other forms of Stock Awards valued in whole or in part by reference to, or otherwise based on, Common Stock, including the appreciation in value thereof (e.g., options or stock rights with an exercise price or strike price less than one hundred percent (100%) of the Fair Market Value of the Common Stock at the time of grant) may be granted either alone or in addition to Stock Awards provided for under Section 5 and the preceding provisions of this Section 6.  Subject to the provisions of the Plan, the Board will have sole and complete authority to determine the persons to whom and the time or times at which such Other Stock Awards will be granted, the number of shares of Common Stock (or the cash equivalent thereof) to be granted pursuant to such Other Stock Awards and all other terms and conditions of such Other Stock Awards.

 

7.           Covenants of the Company.

 

(a)           Availability of Shares.  The Company will keep available at all times the number of shares of Common Stock reasonably required to satisfy then-outstanding Stock Awards.

 

(b)           Securities Law Compliance.  The Company will seek to obtain from each regulatory commission or agency having jurisdiction over the Plan such authority as may be required to grant Stock Awards and to issue and sell shares of Common Stock upon exercise of 

 

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the Stock Awards; provided, however, that this undertaking will not require the Company to register under the Securities Act the Plan, any Stock Award or any Common Stock issued or issuable pursuant to any such Stock Award.  If, after reasonable efforts and at a reasonable cost, the Company is unable to obtain from any such regulatory commission or agency the authority that counsel for the Company deems necessary for the lawful issuance and sale of Common Stock under the Plan, the Company will be relieved from any liability for failure to issue and sell Common Stock upon exercise of such Stock Awards unless and until such authority is obtained. A Participant will not be eligible for the grant of a Stock Award or the subsequent issuance of cash or Common Stock pursuant to the Stock Award if such grant or issuance would be in violation of any applicable securities law.

 

(c)           No Obligation to Notify or Minimize Taxes.  The Company will have no duty or obligation to any Participant to advise such holder as to the time or manner of exercising such Stock Award.  Furthermore, the Company will have no duty or obligation to warn or otherwise advise such holder of a pending termination or expiration of a Stock Award or a possible period in which the Stock Award may not be exercised.  The Company has no duty or obligation to minimize the tax consequences of a Stock Award to the holder of such Stock Award.

 

8.           Miscellaneous.

 

(a)           Use of Proceeds from Sales of Common Stock.  Proceeds from the sale of shares of Common Stock pursuant to Stock Awards will constitute general funds of the Company.

 

(b)           Corporate Action Constituting Grant of Stock Awards.  Corporate action constituting a grant by the Company of a Stock Award to any Participant will be deemed completed as of the date of such corporate action, unless otherwise determined by the Board, regardless of when the instrument, certificate, or letter evidencing the Stock Award is communicated to, or actually received or accepted by, the Participant.  In the event that the corporate records (e.g., Board consents, resolutions or minutes) documenting the corporate action constituting the grant contain terms (e.g., exercise price, vesting schedule or number of shares) that are inconsistent with those in the Stock Award Agreement as a result of a clerical error in the papering of the Stock Award Agreement, the corporate records will control and the Participant will have no legally binding right to the incorrect term in the Stock Award Agreement.

 

(c)           Stockholder Rights.  No Participant will be deemed to be the holder of, or to have any of the rights of a holder with respect to, any shares of Common Stock subject to a Stock Award unless and until (i) such Participant has satisfied all requirements for exercise of, or the issuance of shares of Common Stock under, the Stock Award pursuant to its terms, and (ii) the issuance of the Common Stock subject to the Stock Award has been entered into the books and records of the Company.

 

(d)           No Employment or Other Service Rights.  Nothing in the Plan, any Stock Award Agreement or any other instrument executed thereunder or in connection with any Stock Award granted pursuant thereto will confer upon any Participant any right to continue to serve 

 

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the Company or an Affiliate in the capacity in effect at the time the Stock Award was granted or will affect the right of the Company or an Affiliate to terminate (i) the employment of an Employee with or without notice and with or without cause, (ii) the service of a Consultant pursuant to the terms of such Consultant’s agreement with the Company or an Affiliate, or (iii) the service of a Director pursuant to the bylaws of the Company or an Affiliate, and any applicable provisions of the corporate law of the state in which the Company or the Affiliate is incorporated, as the case may be.

 

(e)           Change in Time Commitment.  In the event a Participant’s regular level of time commitment in the performance of his or her services for the Company and any Affiliates is reduced (for example, and without limitation, if the Participant is an Employee of the Company and the Employee has a change in status from a full-time Employee to a part-time Employee) after the date of grant of any Stock Award to the Participant, the Board has the right in its sole discretion to (x) make a corresponding reduction in the number of shares subject to any portion of such Stock Award that is scheduled to vest or become payable after the date of such change in time commitment, and (y) in lieu of or in combination with such a reduction, extend the vesting or payment schedule applicable to such Stock Award. In the event of any such reduction, the Participant will have no right with respect to any portion of the Stock Award that is so reduced or extended.

 

(f)           Incentive Stock Option Limitations.  To the extent that the aggregate Fair Market Value (determined at the time of grant) of Common Stock with respect to which Incentive Stock Options are exercisable for the first time by any Optionholder during any calendar year (under all plans of the Company and any Affiliates) exceeds one hundred thousand dollars ($100,000) (or such other limit established in the Code) or otherwise does not comply with the rules governing Incentive Stock Options, the Options or portions thereof that exceed such limit (according to the order in which they were granted) or otherwise do not comply with such rules will be treated as Nonstatutory Stock Options, notwithstanding any contrary provision of the applicable Option Agreement(s).

 

(g)           Investment Assurances.  The Company may require a Participant, as a condition of exercising or acquiring Common Stock under any Stock Award, (i) to give written assurances satisfactory to the Company as to the Participant’s knowledge and experience in financial and business matters and/or to employ a purchaser representative reasonably satisfactory to the Company who is knowledgeable and experienced in financial and business matters and that he or she is capable of evaluating, alone or together with the purchaser representative, the merits and risks of exercising the Stock Award; and (ii) to give written assurances satisfactory to the Company stating that the Participant is acquiring Common Stock subject to the Stock Award for the Participant’s own account and not with any present intention of selling or otherwise distributing the Common Stock.  The foregoing requirements, and any assurances given pursuant to such requirements, will be inoperative if (A) the issuance of the shares upon the exercise or acquisition of Common Stock under the Stock Award has been registered under a then currently effective registration statement under the Securities Act, or (B) as to any particular requirement, a determination is made by counsel for the Company that such requirement need not be met in the circumstances under the then applicable securities laws.  The Company may, upon advice of 

 

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counsel to the Company, place legends on stock certificates issued under the Plan as such counsel deems necessary or appropriate in order to comply with applicable securities laws, including, but not limited to, legends restricting the transfer of the Common Stock.

 

(h)           Withholding Obligations.  Unless prohibited by the terms of a Stock Award Agreement, the Company may, in its sole discretion, satisfy any federal, state or local tax withholding obligation relating to a Stock Award by any of the following means or by a combination of such means: (i) causing the Participant to tender a cash payment; (ii) withholding shares of Common Stock from the shares of Common Stock issued or otherwise issuable to the Participant in connection with the Stock Award; provided, however, that no shares of Common Stock are withheld with a value exceeding the minimum amount of tax required to be withheld by law (or such lesser amount as may be necessary to avoid classification of the Stock Award as a liability for financial accounting purposes); (iii) withholding cash from a Stock Award settled in cash; (iv) withholding payment from any amounts otherwise payable to the Participant; or (v) by such other method as may be set forth in the Stock Award Agreement.

 

(i)           Electronic Delivery.  Any reference herein to a “written” agreement or document will include any agreement or document delivered electronically or posted on the Company’s intranet (or other shared electronic medium controlled by the Company to which the Participant has access).

 

(j)           Deferrals.  To the extent permitted by applicable law, the Board, in its sole discretion, may determine that the delivery of Common Stock or the payment of cash, upon the exercise, vesting or settlement of all or a portion of any Stock Award may be deferred and may establish programs and procedures for deferral elections to be made by Participants.  Deferrals by Participants will be made in accordance with Section 409A of the Code.  Consistent with Section 409A of the Code, the Board may provide for distributions while a Participant is still an employee or otherwise providing services to the Company.  The Board is authorized to make deferrals of Stock Awards and determine when, and in what annual percentages, Participants may receive payments, including lump sum payments, following the Participant’s termination of Continuous Service, and implement such other terms and conditions consistent with the provisions of the Plan and in accordance with applicable law.

 

(k)           Compliance with Section 409A of the Code.  To the extent that the Board determines that any Stock Award granted hereunder is subject to Section 409A of the Code, the Stock Award Agreement evidencing such Stock Award shall incorporate the terms and conditions necessary to avoid the consequences specified in Section 409A(a)(1) of the Code.  To the extent applicable, the Plan and Stock Award Agreements shall be interpreted in accordance with Section 409A of the Code.

 

(l)           Repurchase Limitation.  The terms of any repurchase right will be specified in the Stock Award Agreement.  The repurchase price for vested shares of Common Stock will be the Fair Market Value of the shares of Common Stock on the date of repurchase.  The repurchase price for unvested shares of Common Stock will be the lower of (i) the Fair Market Value of the shares of Common Stock on the date of repurchase or (ii) their original purchase price.  However, the Company will not exercise its repurchase right until at least six (6) months (or such 

 

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longer or shorter period of time necessary to avoid classification of the Stock Award as a liability for financial accounting purposes) have elapsed following delivery of shares of Common Stock subject to the Stock Award, unless otherwise specifically provided by the Board.

 

9.           Adjustments upon Changes in Common Stock; Other Corporate Events.

 

(a)           Capitalization Adjustments.  In the event of a Capitalization Adjustment, the Board will appropriately and proportionately adjust: (i) the class(es) and maximum number of securities subject to the Plan pursuant to Section 3(a), (ii) the class(es) and maximum number of securities that may be issued pursuant to the exercise of Incentive Stock Options pursuant to Section 3(c), and (iii) the class(es) and number of securities and price per share of stock subject to outstanding Stock Awards.  The Board will make such adjustments, and its determination will be final, binding and conclusive.

 

(b)           Dissolution or Liquidation.  Except as otherwise provided in the Stock Award Agreement, in the event of a dissolution or liquidation of the Company, all outstanding Stock Awards (other than Stock Awards consisting of vested and outstanding shares of Common Stock not subject to a forfeiture condition or the Company’s right of repurchase) will terminate immediately prior to the completion of such dissolution or liquidation, and the shares of Common Stock subject to the Company’s repurchase rights or subject to a forfeiture condition may be repurchased or reacquired by the Company notwithstanding the fact that the holder of such Stock Award is providing Continuous Service, provided, however, that the Board may, in its sole discretion, cause some or all Stock Awards to become fully vested, exercisable and/or no longer subject to repurchase or forfeiture (to the extent such Stock Awards have not previously expired or terminated) before the dissolution or liquidation is completed but contingent on its completion.

 

(c)           Corporate Transaction.   The following provisions will apply to Stock Awards in the event of a Corporate Transaction unless otherwise provided in the instrument evidencing the Stock Award or any other written agreement between the Company or any Affiliate and the Participant or unless otherwise expressly provided by the Board at the time of grant of a Stock Award.  In the event of a Corporate Transaction, then, notwithstanding any other provision of the Plan, the Board may take one or more of the following actions with respect to Stock Awards, contingent upon the closing or completion of the Corporate Transaction:

 

(i)           arrange for the surviving corporation or acquiring corporation (or the surviving or acquiring corporation’s parent company) to assume or continue the Stock Award or to substitute a similar stock award for the Stock Award (including, but not limited to, an award to acquire the same consideration paid to the stockholders of the Company pursuant to the Corporate Transaction);

 

(ii)           arrange for the assignment of any reacquisition or repurchase rights held by the Company in respect of Common Stock issued pursuant to the Stock Award to the surviving corporation or acquiring corporation (or the surviving or acquiring corporation’s parent company);

 

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(iii)           accelerate the vesting, in whole or in part, of the Stock Award (and, if applicable, the time at which the Stock Award may be exercised) to a date prior to the effective time of such Corporate Transaction as the Board determines (or, if the Board does not determine such a date, to the date that is five (5) days prior to the effective date of the Corporate Transaction), with such Stock Award terminating if not exercised (if applicable) at or prior to the effective time of the Corporate Transaction; provided, however, that the Board may require Participants to complete and deliver to the Company a notice of exercise before the effective date of a Corporate Transaction, which exercise is contingent upon the effectiveness of such Corporate Transaction;

 

(iv)           arrange for the lapse, in whole or in part, of any reacquisition or repurchase rights held by the Company with respect to the Stock Award;

 

(v)           cancel or arrange for the cancellation of the Stock Award, to the extent not vested or not exercised prior to the effective time of the Corporate Transaction, in exchange for such cash consideration, if any, as the Board, in its sole discretion, may consider appropriate; and

 

(vi)           make a payment, in such form as may be determined by the Board equal to the excess, if any, of (A) the value of the property the Participant would have received upon the exercise of the Stock Award immediately prior to the effective time of the Corporate Transaction, over (B) any exercise price payable by such holder in connection with such exercise.  For clarity, this payment may be zero ($0) if the value of the property is equal to or less than the exercise price.  Payments under this provision may be delayed to the same extent that payment of consideration to the holders of the Company’s Common Stock in connection with the Corporate Transaction is delayed as a result of escrows, earn outs, holdbacks or any other contingencies.

 

The Board need not take the same action or actions with respect to all Stock Awards or portions thereof or with respect to all Participants.  The Board may take different actions with respect to the vested and unvested portions of a Stock Award. 

 

(d)           Change in Control.  A Stock Award may be subject to additional acceleration of vesting and exercisability upon or after a Change in Control as may be provided in the Stock Award Agreement for such Stock Award or as may be provided in any other written agreement between the Company or any Affiliate and the Participant, but in the absence of such provision, no such acceleration will occur.

 

10.           Plan Term; Earlier Termination or Suspension of the Plan.

 

(a)           Plan Term.  The Board may suspend or terminate the Plan at any time.  Unless terminated sooner by the Board, the Plan will automatically terminate on the day before the tenth (10th) anniversary of the earlier of (i) the date the Plan is adopted by the Board, or (ii) the date the Plan is approved by the stockholders of the Company.  No Stock Awards may be granted under the Plan while the Plan is suspended or after it is terminated.

 

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(b)           No Impairment of Rights.  Suspension or termination of the Plan will not impair rights and obligations under any Stock Award granted while the Plan is in effect except with the written consent of the affected Participant or as otherwise permitted in the Plan.

 

11.           Effective Date of Plan.

 

This Plan will become effective on the Effective Date.

 

12.           Choice of Law.

 

The laws of the State of Delaware will govern all questions concerning the construction, validity and interpretation of this Plan, without regard to that state’s conflict of laws rules.

 

13.           Definitions.   As used in the Plan, the following definitions will apply to the capitalized terms indicated below:

 

(a)           “Affiliate” means, at the time of determination, any “parent” or “majority-owned subsidiary” of the Company, as such terms are defined in Rule 405.  The Board will have the authority to determine the time or times at which “parent” or “majority-owned subsidiary” status is determined within the foregoing definition.

 

(b)           “Board” means the Board of Directors of the Company.

 

(c)           “Capitalization Adjustment” means any change that is made in, or other events that occur with respect to, the Common Stock subject to the Plan or subject to any Stock Award after the Effective Date without the receipt of consideration by the Company through merger, consolidation, reorganization, recapitalization, reincorporation, stock dividend, dividend in property other than cash, large nonrecurring cash dividend, stock split, reverse stock split, liquidating dividend, combination of shares, exchange of shares, change in corporate structure, or any similar equity restructuring transaction, as that term is used in Statement of Financial Accounting Standards Board Accounting Standards Codification Topic 718 (or any successor thereto).  Notwithstanding the foregoing, the conversion of any convertible securities of the Company will not be treated as a Capitalization Adjustment.

 

(d)           “Cause” will have the meaning ascribed to such term in any written agreement between the Participant and the Company defining such term and, in the absence of such agreement, such term means, with respect to a Participant, the occurrence of any of the following events:  (i) such Participant’s commission of any felony or any crime involving fraud, dishonesty or moral turpitude under the laws of the United States or any state thereof; (ii) such Participant’s attempted commission of, or participation in, a fraud or act of dishonesty against the Company; (iii) such Participant’s intentional, material violation of any contract or agreement between the Participant and the Company or of any statutory duty owed to the Company; (iv) such Participant’s unauthorized use or disclosure of the Company’s confidential information or trade secrets; or (v) such Participant’s gross misconduct. The determination that a termination of the Participant’s Continuous Service is either for Cause or without Cause will be made by the Company, in its sole discretion.  Any determination by the Company that the Continuous Service

 

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of a Participant was terminated with or without Cause for the purposes of outstanding Stock Awards held by such Participant will have no effect upon any determination of the rights or obligations of the Company or such Participant for any other purpose.

 

(e)           “Change in Control” means the occurrence, in a single transaction or in a series of related transactions, of any one or more of the following events:

 

(i)           any Exchange Act Person becomes the Owner, directly or indirectly, of securities of the Company representing more than fifty percent (50%) of the combined voting power of the Company’s then outstanding securities other than by virtue of a merger, consolidation or similar transaction.  Notwithstanding the foregoing, a Change in Control will not be deemed to occur (A) on account of the acquisition of securities of the Company directly from the Company, (B) on account of the acquisition of securities of the Company by an investor, any affiliate thereof or any other Exchange Act Person that acquires the Company’s securities in a transaction or series of related transactions the primary purpose of which is to obtain financing for the Company through the issuance of equity securities or (C) solely because the level of Ownership held by any Exchange Act Person (the “Subject Person”) exceeds the designated percentage threshold of the outstanding voting securities as a result of a repurchase or other acquisition of voting securities by the Company reducing the number of shares outstanding, provided that if a Change in Control would occur (but for the operation of this sentence) as a result of the acquisition of voting securities by the Company, and after such share acquisition, the Subject Person becomes the Owner of any additional voting securities that, assuming the repurchase or other acquisition had not occurred, increases the percentage of the then outstanding voting securities Owned by the Subject Person over the designated percentage threshold, then a Change in Control will be deemed to occur;

 

(ii)           there is consummated a merger, consolidation or similar transaction involving (directly or indirectly) the Company and, immediately after the consummation of such merger, consolidation or similar transaction, the stockholders of the Company immediately prior thereto do not Own, directly or indirectly, either (A) outstanding voting securities representing more than fifty percent (50%) of the combined outstanding voting power of the surviving Entity in such merger, consolidation or similar transaction or (B) more than fifty percent (50%) of the combined outstanding voting power of the parent of the surviving Entity in such merger, consolidation or similar transaction, in each case in substantially the same proportions as their Ownership of the outstanding voting securities of the Company immediately prior to such transaction;

 

(iii)            the stockholders of the Company approve or the Board approves a plan of complete dissolution or liquidation of the Company, or a complete dissolution or liquidation of the Company will otherwise occur, except for a liquidation into a parent corporation;

 

(iv)           there is consummated a sale, lease, exclusive license or other disposition of all or substantially all of the consolidated assets of the Company and its Subsidiaries, other than a sale, lease, license or other disposition of all or substantially all of the consolidated assets of the Company and its Subsidiaries to an Entity, more than fifty percent (50%) of the combined voting power of the voting securities of which are Owned by stockholders of the Company in

 

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substantially the same proportions as their Ownership of the outstanding voting securities of the Company immediately prior to such sale, lease, license or other disposition; or

 

(v)           individuals who, on the date the Plan is adopted by the Board, are members of the Board (the “Incumbent Board”) cease for any reason to constitute at least a majority of the members of the Board; provided, however, that if the appointment or election (or nomination for election) of any new Board member was approved or recommended by a majority vote of the members of the Incumbent Board then still in office, such new member will, for purposes of this Plan, be considered as a member of the Incumbent Board. 

 

Notwithstanding the foregoing definition or any other provision of this Plan, (A) the term Change in Control will not include a sale of assets, merger or other transaction effected exclusively for the purpose of changing the domicile of the Company, and (B) the definition of Change in Control (or any analogous term) in an individual written agreement between the Company or any Affiliate and the Participant will supersede the foregoing definition with respect to Stock Awards subject to such agreement; provided, however, that if no definition of Change in Control or any analogous term is set forth in such an individual written agreement, the foregoing definition will apply.

 

(f)           “Code” means the Internal Revenue Code of 1986, as amended, including any applicable regulations and guidance thereunder.

 

(g)           “Committee” means a committee of one or more Directors to whom authority has been delegated by the Board in accordance with Section 2(c).

 

(h)           “Common Stock” means the common stock of the Company.

 

(i)           “Company” means OnCore Biopharma, Inc., a Delaware corporation.

 

(j)           “Consultant” means any person, including an advisor, who is (i) engaged by the Company or an Affiliate to render consulting or advisory services and is compensated for such services, or (ii) serving as a member of the board of directors of an Affiliate and is compensated for such services.  However, service solely as a Director, or payment of a fee for such service, will not cause a Director to be considered a “Consultant” for purposes of the Plan.

 

(k)           “Continuous Service” means that the Participant’s service with the Company or an Affiliate, whether as an Employee, Director or Consultant, is not interrupted or terminated.  A change in the capacity in which the Participant renders service to the Company or an Affiliate as an Employee, Director or Consultant or a change in the Entity for which the Participant renders such service, provided that there is no interruption or termination of the Participant’s service with the Company or an Affiliate, will not terminate a Participant’s Continuous Service; provided, however, that if the Entity for which a Participant is rendering services ceases to qualify as an Affiliate, as determined by the Board in its sole discretion, such Participant’s Continuous Service will be considered to have terminated on the date such Entity ceases to qualify as an Affiliate.  For example, a change in status from an Employee of the Company to a Consultant of an Affiliate or to a Director will not constitute an interruption of Continuous

 

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Service.  To the extent permitted by law, the Board or the chief executive officer of the Company, in that party’s sole discretion, may determine whether Continuous Service will be considered interrupted in the case of (i) any leave of absence approved by the Board or chief executive officer, including sick leave, military leave or any other personal leave, or (ii) transfers between the Company, an Affiliate, or their successors.  Notwithstanding the foregoing, a leave of absence will be treated as Continuous Service for purposes of vesting in a Stock Award only to such extent as may be provided in the Company’s leave of absence policy, in the written terms of any leave of absence agreement or policy applicable to the Participant, or as otherwise required by law.

 

(l)           “Corporate Transaction” means the consummation, in a single transaction or in a series of related transactions, of any one or more of the following events:

 

(i)           a sale or other disposition of all or substantially all, as determined by the Board in its sole discretion, of the consolidated assets of the Company and its Subsidiaries;

 

(ii)           a sale or other disposition of at least ninety percent (90%) of the outstanding securities of the Company;

 

(iii)           a merger, consolidation or similar transaction following which the Company is not the surviving corporation; or

 

(iv)           a merger, consolidation or similar transaction following which the Company is the surviving corporation but the shares of Common Stock outstanding immediately preceding the merger, consolidation or similar transaction are converted or exchanged by virtue of the merger, consolidation or similar transaction into other property, whether in the form of securities, cash or otherwise.

 

(m)           “Director” means a member of the Board.

 

(n)           “Disability” means, with respect to a Participant, the inability of such Participant to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or that has lasted or can be expected to last for a continuous period of not less than twelve (12) months as provided in Sections 22(e)(3) and 409A(a)(2)(c)(i) of the Code, and will be determined by the Board on the basis of such medical evidence as the Board deems warranted under the circumstances.

 

(o)           “Effective Date” means the effective date of this Plan, which is the earlier of (i) the date that this Plan is first approved by the Company’s stockholders, and (ii) the date this Plan is adopted by the Board.

 

(p)           “Employee” means any person employed by the Company or an Affiliate.  However, service solely as a Director, or payment of a fee for such services, will not cause a Director to be considered an “Employee” for purposes of the Plan.

 

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(q)           “Entity” means a corporation, partnership, limited liability company or other entity.

 

(r)           “Exchange Act” means the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder.

 

(s)           “Exchange Act Person” means any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act), except that “Exchange Act Person” will not include (i) the Company or any Subsidiary of the Company, (ii) any employee benefit plan of the Company or any Subsidiary of the Company or any trustee or other fiduciary holding securities under an employee benefit plan of the Company or any Subsidiary of the Company, (iii) an underwriter temporarily holding securities pursuant to an offering of such securities, (iv) an Entity Owned, directly or indirectly, by the stockholders of the Company in substantially the same proportions as their Ownership of stock of the Company; or (v) any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act) that, as of the Effective Date, is the Owner, directly or indirectly, of securities of the Company representing more than fifty percent (50%) of the combined voting power of the Company’s then outstanding securities.

 

(t)           “Fair Market Value” means, as of any date, the value of the Common Stock determined by the Board in compliance with Section 409A of the Code or, in the case of an Incentive Stock Option, in compliance with Section 422 of the Code.

 

(u)           “Incentive Stock Option” means an option granted pursuant to Section 5 of the Plan that is intended to be, and that qualifies as, an “incentive stock option” within the meaning of Section 422 of the Code.

 

(v)           “Nonstatutory Stock Option” means any option granted pursuant to Section 5 of the Plan that does not qualify as an Incentive Stock Option.

 

(w)           “Officer” means any person designated by the Company as an officer.

 

(x)           “Option” means an Incentive Stock Option or a Nonstatutory Stock Option to purchase shares of Common Stock granted pursuant to the Plan.

 

(y)           “Option Agreement” means a written agreement between the Company and an Optionholder evidencing the terms and conditions of an Option grant.  Each Option Agreement will be subject to the terms and conditions of the Plan.

 

(z)           “Optionholder” means a person to whom an Option is granted pursuant to the Plan or, if applicable, such other person who holds an outstanding Option.

 

(aa)           “Other Stock Award” means an award based in whole or in part by reference to the Common Stock which is granted pursuant to the terms and conditions of Section 6(c).

 

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(bb)           “Other Stock Award Agreement” means a written agreement between the Company and a holder of an Other Stock Award evidencing the terms and conditions of an Other Stock Award grant.  Each Other Stock Award Agreement will be subject to the terms and conditions of the Plan.

 

(cc)           “Own,” “Owned,” “Owner,” “Ownership” A person or Entity will be deemed to “Own,” to have “Owned,” to be the “Owner” of, or to have aquired “Ownership” of securities if such person or Entity, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, has or shares voting power, which includes the power to vote or to direct the voting, with respect to such securities.

 

(dd)           “Participant” means a person to whom a Stock Award is granted pursuant to the Plan or, if applicable, such other person who holds an outstanding Stock Award.

 

(ee)           “Plan” means this OnCore Biopharma, Inc. 2014 Equity Incentive Plan.

 

(ff)           “Restricted Stock Award” means an award of shares of Common Stock which is granted pursuant to the terms and conditions of Section 6(a).

 

(gg)           “Restricted Stock Award Agreement” means a written agreement between the Company and a holder of a Restricted Stock Award evidencing the terms and conditions of a Restricted Stock Award grant.  Each Restricted Stock Award Agreement will be subject to the terms and conditions of the Plan.

 

(hh)           “Restricted Stock Unit Award” means a right to receive shares of Common Stock which is granted pursuant to the terms and conditions of Section 6(b).

 

(ii)           “Restricted Stock Unit Award Agreement” means a written agreement between the Company and a holder of a Restricted Stock Unit Award evidencing the terms and conditions of a Restricted Stock Unit Award grant.  Each Restricted Stock Unit Award Agreement will be subject to the terms and conditions of the Plan.

 

(jj)           “Rule 405” means Rule 405 promulgated under the Securities Act.

 

(kk)           “Rule 701” means Rule 701 promulgated under the Securities Act.

 

(ll)           “Securities Act” means the Securities Act of 1933, as amended.

 

(mm)           “Stock Appreciation Right” or “SAR” means a right to receive the appreciation on Common Stock that is granted pursuant to the terms and conditions of Section 5.

 

(nn)           “Stock Appreciation Right Agreement” means a written agreement between the Company and a holder of a Stock Appreciation Right evidencing the terms and conditions of a Stock Appreciation Right grant.  Each Stock Appreciation Right Agreement will be subject to the terms and conditions of the Plan.

 

.

  

23.

  

(oo)           “Stock Award” means any right to receive Common Stock granted under the Plan, including an Incentive Stock Option, a Nonstatutory Stock Option, a Restricted Stock Award, a Restricted Stock Unit Award, a Stock Appreciation Right or any Other Stock Award.

 

(pp)           “Stock Award Agreement” means a written agreement between the Company and a Participant evidencing the terms and conditions of a Stock Award grant.  Each Stock Award Agreement will be subject to the terms and conditions of the Plan.

 

(qq)           “Subsidiary” means, with respect to the Company, (i) any corporation of which more than fifty percent (50%) of the outstanding capital stock having ordinary voting power to elect a majority of the board of directors of such corporation (irrespective of whether, at the time, stock of any other class or classes of such corporation will have or might have voting power by reason of the happening of any contingency) is at the time, directly or indirectly, Owned by the Company, and (ii) any partnership, limited liability company or other entity in which the Company has a direct or indirect interest (whether in the form of voting or participation in profits or capital contribution) of more than fifty percent (50%) .

 

(rr)           “Ten Percent Stockholder” means a person who Owns (or is deemed to Own pursuant to Section 424(d) of the Code) stock possessing more than ten percent (10%) of the total combined voting power of all classes of stock of the Company or any Affiliate.

 

.

  

24.Glu_Ex_10_31

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		
			EXHIBIT 10.31
		

		
			UNITY TECHNOLOGIES SOFTWARE LICENSE AGREEMENT
		

		
			 
		

		
			This Software License Agreement (this “Agreement”) is entered into and made effective as of October 29, 2012 (the “Effective Date”), by and between Unity Technologies ApS, a Danish corporation with its principal place of business at Vendersgade 28, DK-1363, Copenhagen, Denmark (“UTECH”), and Glu Mobile Inc., a Delaware corporation with its principal place of business at 45 Fremont Street, Suite 2800, San Francisco, CA 94105 (“CUSTOMER”).
		

		
			1.Definitions.
		

		
			1.1“Affiliate” means an entity which controls, is controlled by or is under common control with a party hereto, where “control” means the power to control the composition of the board of directors of the relevant party (whether by contract, corporate law or other means), or the possession of more than half of the voting equity share capital of the relevant party, or the ability to consolidate such company’s financial statements with those of such party in accordance with generally accepted accounting principles.
		

		
			1.2“CUSTOMER Modifications” means modifications to the Unity Source Code made by CUSTOMER by exercising its rights under Section 2.1.
		

		
			1.3 “Prior Agreement” means the Software License Agreement by and between UTECH and CUSTOMER or its Affiliates entered into and effective as of March 23, 2011.
		

		
			1.4“Title” means one of CUSTOMER’s or its Affiliates’ products for which CUSTOMER or its Affiliates wishes to use the Unity Products, including Customers’ updates to such Title whether made during or after the Term (as defined below in Section 7.1 of this Agreement).  For the avoidance of doubt, CUSTOMER’s use of the Unity Products after the Term shall be in accordance with Section 7.3 hereof. 
		

		
			1.5“Unity Object Code” means the binary object code based on the source code for Unity Products.
		

		
			1.6“Unity Product(s)” means each of (i) UTECH’s 3D development editor and engine software offerings incorporated into (a) Unity Pro and (b) Unity Pro add-on products that are identified and described in Exhibit A, and (ii)  Unity Web Player,  each as identified and defined in Exhibit A and all Updates thereto.
		

		
			1.7“Unity Source Code” means the source code for ***.
		

		
			1.8“Unity Source Code for PC/MAC” means the source code for Unity Pro for PC/MAC ***.  
		

		
			1.9“Updates” means interim Unity Source Code and Unity Object Code, as applicable, software releases and error correction releases of the Unity Product, or parts thereof, which fix or correct known problems, but which do not provide the substantial feature enhancements which would be included in an upgrade or new version of the Unity Product (e.g., going from v. 4.0 to 4.1 or adding a software patch or bug fix that does not change the version number).
		

		
			1.10“Upgrade”  means an upgrade to the Unity Products ***.   
		

		
			1.11“UTECH Marks” means the name “UNITY,” as well as all other trademarks, service marks, logos or trade names used by UTECH to identify itself and/or its products and services during the Term (as defined below in Section 7.1 of this Agreement).  
		

		
			2.License Grant.
		

		
			2.1Unity Source Code Licenses.  Subject to payment of the applicable license fees set forth in Exhibit C and subject to the terms and conditions of this Agreement, for the duration of the Term (as defined below in Section 7.1 of this Agreement),  UTECH grants to CUSTOMER a limited, worldwide, non-exclusive, non-transferable, non-sublicensable (except as permitted herein) license to (a)  use, reproduce and modify the Unity Source Code to create CUSTOMER 
		

		 

		

			1

		

		

			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		Modifications (also known as “derivative works” under U.S. copyright law), (b) to use and reproduce CUSTOMER Modifications, and (c) use and reproduce the Unity Source Code, each such license for the sole purposes of the creation, publication and distribution of CUSTOMER’s or its Affiliates’ Titles for the applicable platforms and environments specifically identified on Exhibit B and for no other purpose or products.    For the avoidance of doubt ***.
		

		
			2.2Object Code License.  Subject to payment of the applicable license fees set forth in Exhibit C and subject to the terms and conditions of this Agreement, UTECH grants CUSTOMER and its Affiliates a limited, worldwide, non-exclusive, non-transferable, non-sublicensable (except as permitted herein), perpetual license to use and reproduce (a) the Unity Object Code, whether provided by UTECH (i.e., the Unity Products) or as the result of CUSTOMER’s compiling efforts during the Term  (i.e., object code of the Unity Source Code), to the licensed Unity Products, and (b) CUSTOMER Modifications,  in object code only, as compiled by CUSTOMER or its Affiliates, for the sole purposes of the creation, publication and distribution of CUSTOMER’s Titles for the applicable platforms and environments specifically identified on Exhibit B and for no other purpose or products.  CUSTOMER may distribute the runtime portion of the Unity Products (less the Unity Web Player) solely as embedded or incorporated into the Titles and solely to third parties to whom CUSTOMER or its Affiliates licenses or sells the Titles pursuant to an agreement that is equally protective of UTECH and its licensors as this Agreement.  For the avoidance of doubt, iOS Pro, Android Pro, and Team License (as such term is defined in Exhibit A) add-on licenses must be purchased for each individual that requires access to such tools, in addition to the Unity Pro license.    
		

		
			 
		

		
			2.3Unity Pro Seat License Required For Each Developer.  Use of the Unity Products is limited to the number of applicable seat licenses purchased for each individual using the Unity Products.   For clarity, and unless otherwise agreed in writing, a single license (or seat) means the right for a designated individual user to use the applicable Unity Product on one computer; provided that such Unity Product may be installed on a second computer for sole use by the same individual user associated with that license (or seat).  CUSTOMER and its Affiliates may not use the free version of the Unity Products as a substitute for purchasing Pro licenses for such Unity Products; provided, however, that CUSTOMER shall be provided 30-day trial versions of the relevant Unity Products upon reasonable request.
		

		
			 
		

		
			2.4Copy Protection.  CUSTOMER agrees that the copy protection and license key code components of the Unity Editor product may not be modified, changed or circumvented in any way. CUSTOMER may not under any circumstances distribute the Unity Source Code, CUSTOMER Modifications or the Unity Object Code as a standalone program either alone, with its Titles or otherwise to any third parties, except as otherwise permitted by Section 2.6 of this Agreement.  
		

		
			 
		

		
			2.5Restrictions; CUSTOMER Requirements.    CUSTOMER acknowledges that the Unity Products contain trade secrets of UTECH, its Affiliates, and its licensors, and, in order to protect such trade secrets and other interests that UTECH, its Affiliates and its licensors may have in the Unity Products, except to the extent expressly authorized above in Section 2.1 above, CUSTOMER agrees not to modify, reverse engineer, decompile or disassemble the Unity Products or permit a third party to do any of the foregoing.  Except as expressly provided in Section 2.6 below, CUSTOMER shall not distribute sell, sublicense or otherwise transfer the Unity Products.  CUSTOMER will comply with (i) all laws and regulations applicable to CUSTOMER’s use of Unity Products and,  (ii) in all material respects, with all laws and regulations applicable to CUSTOMER’s creation and/or commercialization of each Title.  
		

		
			 
		

		
			2.6Third Party Contractors.   The parties recognize that CUSTOMER and its Affiliates may, from time to time during the Term (as defined below in Section 7.1), utilize third-party developers for the testing, development, and operation (with respect to online services) of certain Titles (collectively, “Subcontracted Services”).  The rights granted to CUSTOMER and its Affiliates in Sections 2.1-2.2 above include the right to sublicense such rights and licenses to the applicable Unity Products to its appointed third-party developers and to transfer the Title development, testing and/or operation to such appointed third-party developers for the sole purpose of having such third-party developers provide the Subcontracted Services to CUSTOMER and its Affiliates.  CUSTOMER is responsible for ensuring that such third-party developers enter into an agreement that will obligate them to comply with the terms and conditions of this Agreement.  Such agreement between CUSTOMER or one of its Affiliates and each third-party developer will provide in particular that the licenses, materials and rights applicable to the Unity Products granted therein will be used solely by the third-party developers for the Subcontracted Services and that all embodiments of the Unity Product will be returned to CUSTOMER or one of its Affiliates upon completion or other termination of such Subcontracted Services.  Further, it is agreed and understood that any third party developers who have not already purchased Unity Products for use in development for CUSTOMER’s Titles must have licenses to Unity Products in order to provide Subcontracted Services, and therefore shall be required to either (i) purchase licenses to Unity Products, or (ii) have licenses to Unity Products provided to them by CUSTOMER via CUSTOMER’s sublicensing rights set forth in this Section 2.6 (and CUSTOMER shall acquire or transfer 
		

		 

		

			2

		

		

			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		such licenses to them).   CUSTOMER shall be responsible for its subcontractors’ compliance with all the terms and conditions of this Agreement or any breach thereof. 
		

		
			2.7CUSTOMER Modifications.   CUSTOMER agrees to deliver to UTECH all CUSTOMER Modifications it creates.    ***
		

		
			 
		

		
			2.8.  UTECH Ownership; CUSTOMER OWNERSHIP.  *** UTECH and its Affiliates own all right, title and interest in and to the Unity Products and associated documentation or confidential information and reserves all rights and licenses in and to the Unity Products not expressly granted to CUSTOMER or its Affiliates under this Agreement.  CUSTOMER’s rights in the Unity Products are limited to those expressly granted in this Agreement.  CUSTOMER and/or its Affiliates own all right, title and interest in and to the Titles *** associated documentation or confidential information and reserves all rights and licenses in and to the Titles *** not expressly granted to UTECH or its Affiliates under this Agreement.    
		

		
			2.9 Copyright Notice.  CUSTOMER shall not remove, alter or otherwise modify any copyright, trademark or other notices of proprietary interest contained in the Unity Products, Unity Source Code and documentation. CUSTOMER shall provide the following attribution credit clearly visible on a page easily accessible by Title end users, such as the “About” page, within all CUSTOMER Titles that utilize the Unity Products:  “This program was created using Unity ***.  Portions of this program © 2005-2012 Unity Technologies.”  or “This program was created using Unity ***.  Portions of this program © 2005-2012 Unity Technologies.” as may be applicable.
		

		
			2.10Bankruptcy.  The parties hereby acknowledge and agree that, in the event of the bankruptcy of UTECH, the licenses granted to CUSTOMER and its Affiliates in this Agreement constitute a “license of intellectual property” and shall be subject to Section 365(n) of the United States Bankruptcy Code, and that CUSTOMER and its Affiliates shall be entitled to all rights and benefits of such Section 365(n) in accordance with its terms and conditions.  For the avoidance of doubt, CUSTOMER and its Affiliates have no obligation to use the Unity Products.
		

		
			 
		

		
			3.Support and Updates.
		

		
			3.1 Enterprise Support.   Subject to payment of the applicable license fees set forth in Exhibit C and subject to the terms and conditions of this Agreement, UTECH shall provide CUSTOMER and its Affiliates with enterprise level support during the Initial Term (as defined in Section 7.1 of the Agreement) in accordance with the terms set forth in Exhibit D.
		

		
			3.2Updates.   In the event that UTECH makes Updates to the Unity Products (including, but not limited to, the Unity Object Code) generally available during the Term (as defined below in Section 7.1),  UTECH will make such Updates available to CUSTOMER and its Affiliates at no additional charge and will deliver such Updates to CUSTOMER and its Affiliates at least as often as UTECH commercially releases such Updates.    For the avoidance of doubt, CUSTOMER’s and its Affiliates’ right to receive Updates hereunder does not include any custom additions to the Unity Product   developed by UTECH, unless such additions are made commercially available to all UTECH customers as an Update.  Other than as set forth in Section 3.3 below, new versions or upgrades are not included with any licenses.
		

		
			3.3Upgrades.  During the Term (as defined below in Section 7.1) of this Agreement, UTECH will make commercially reasonable efforts to deliver to CUSTOMER Upgrades for all of the Unity Products previously licensed pursuant to the Prior Agreement, including, if applicable, Unity Source Code, within fifteen (15) days of such Upgrades becoming generally and commercially available to UTECH’s licensees.  Upon delivery of such Upgrades for the previously licensed Unity Products, the Prior Agreement shall be superseded by this Agreement with respect to the Unity Products and Unity Source Code licensed therein, and shall have no further force or effect; such Upgrades and Unity Products shall be governed by the provisions of this Agreement.  To the extent Unity Products delivered to CUSTOMER during the Term are not the ***, UTECH will make commercially reasonable efforts to deliver the Upgrades within fifteen (15) days of such Upgrades becoming generally and commercially available to UTECH’s licensees.  
		

		
			3.4Connectivity.  The Unity Products may make Internet connections to remote servers to (i) check for Updates; (ii) provide anonymous usage statistics used by UTECH to improve the Unity Products; and (iii) validate license keys and confirm compliance with the terms of this Agreement.
		

		

		

		 

		

			3

		

		

			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		3.5Unity Source Code for PC/MAC.   CUSTOMER acknowledges and agrees that, while CUSTOMER *** CUSTOMER has *** Notwithstanding the foregoing,  *** in accordance with the terms in the Enterprise Support Agreement set forth in Exhibit D *** in accordance with the terms of Exhibit D, CUSTOMER may ***.      
		

		
			 
		

		
			4.Confidentiality.
		

		
			4.1Confidential Information.  For purposes of this Agreement “Confidential Information” means: (a) the Unity Products and the intellectual property embodied therein;  (b) the intellectual property embodied in the software of any Title or any other proprietary CUSTOMER source code or source code of a CUSTOMER Affiliate disclosed to UTECH;  (c) any non-public data or information disclosed by one party or its Affiliates (the “Discloser”) to the other party or its Affiliates (the “Recipient”) that is marked “confidential” or “proprietary” at the time of disclosure or which the Recipient should reasonably know to be confidential given the nature of the data or information and the circumstance of disclosure; and (d) the specific terms and conditions of this Agreement.
		

		
			 
		

		
			4.2Exceptions.  The obligations set forth in Section 4.3 will not apply to any information that: (a) is or becomes generally known to the public through no fault of or breach of this Agreement by the Recipient; (b) is rightfully known by the Recipient at the time of disclosure without an obligation of confidentiality; (c) is independently developed by the Recipient without use of the Discloser’s Confidential Information; or (d) is rightfully obtained by the Recipient from a third party without restriction on use or disclosure.  In addition, either party may disclose a copy of this Agreement or the specific terms and conditions set forth herein in the event such information is required to be disclosed by a competent legal or governmental authority or the rules of the Securities and Exchange Commission or The NASDAQ Stock Market, provided that (i) the party subject to such disclosure requirement (A) gives the other party prompt written notice of such requirement prior to the disclosure, (B) provides the party that is not subject to the disclosure requirement with a reasonable opportunity to review and provide input on any materials that are submitted to such competent legal or governmental authority, the Securities and Exchange Commission or The NASDAQ Stock Market, and (C) uses its commercially reasonable efforts to obtain an order protecting the Agreement or the redacted portions thereof from public disclosure to the greatest degree reasonably possible under the circumstances or, if permitted by the rules of the competent legal or governmental authority, the Securities and Exchange Commission or The NASDAQ Stock Market, gives the Discloser a reasonable opportunity to seek a protective order or equivalent, and (ii) all information related to pricing is redacted from the Agreement prior to disclosure, provided that the party not subject to the disclosure requirement understands that the party that is subject to the disclosure requirement cannot guarantee whether such competent legal or governmental authority, the Securities and Exchange Commission or The NASDAQ Stock Market will ultimately permit such pricing information to be redacted. 
		

		
			4.3Obligations.  Except as expressly permitted by this Agreement, during the Term (as defined below in Section 7.1) of this Agreement, the Recipient will: 
		

		
			(a)not disclose the Discloser’s Confidential Information except (i) to the employees or contractors of the Recipient to the extent that they need to know that Confidential Information for the purpose of performing the Recipient’s obligations under this Agreement, and who are bound by confidentiality terms with respect to that Confidential Information, which terms are no less restrictive than those contained in this Section 4.3; or (ii) as required to be disclosed by law, to the extent required to comply with that legal obligation, provided that the Recipient will promptly notify the Discloser of such obligation; 
		

		
			(b)use the Discloser’s Confidential Information only for the purpose of performing Recipient’s obligations and/or exercising Recipient’s rights under this Agreement; and
		

		
			 
		

		
			(c)use commercially reasonable care in handling and securing the Discloser’s Confidential Information, and employ reasonable data security measures that the Recipient ordinarily uses with respect to protecting its own confidential information of similar nature and importance from disclosure.
		

		
			4.4Return of Confidential Information.  Except as otherwise expressly provided in this Agreement, the Recipient will return to the Discloser, and destroy or erase all of the Discloser’s Confidential Information in tangible form, upon the expiration or termination of this Agreement, and the Recipient will promptly certify in writing to the Discloser that it has so erased or destroyed such Confidential Information.
		

		

		

		 

		

			4

		

		

			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		 
		

		
			5.Fees.
		

		
			5.1Fees.   In consideration for the licenses granted and for the provision of Updates and Upgrades by UTECH to CUSTOMER and its Affiliates hereunder, CUSTOMER agrees to pay the License Fees set forth and further defined in Exhibit C .   CUSTOMER may order additional licenses by executing and delivering to UTECH a quote or other mutually agreed order form to UTECH.    This Agreement shall govern the payment of all such orders, and nothing contained in CUSTOMER’s quote, order or other communication shall in any way modify this Agreement; provided, however, that all licenses granted by virtue of a CUSTOMER order placed by CUSTOMER and accepted by UTECH during the Term (as defined below in Section 7.1) of this Agreement shall be subject to all provisions of this Agreement.  UTECH shall invoice CUSTOMER for such License Fees and for the fees applicable to additional licenses granted to CUSTOMER during the Term (as defined below in Section 7.1) and CUSTOMER shall pay all invoices no later than thirty (30) days from receipt of an invoice.
		

		
			5.2Verification.    UTECH may, upon reasonable suspicion that CUSTOMER has violated either (a) one or more of the use restrictions of the licenses granted under Sections 2.1, 2.2, or (2.6 in the case of Subcontracted Services) or (b) the provisions of Sections 2.3, 2.4 or 2.5 (or 2.6 in the case of Subcontracted Services) of this Agreement and with fifteen (15) business days’ prior written notice, access CUSTOMER’s facilities and computer systems for the sole purpose of reviewing and verifying CUSTOMER’s compliance with the relevant material terms of this Agreement.   Such verification processes shall, to the extent reasonably possible, occur during times other than CUSTOMER’s business hours and be minimally intrusive to CUSTOMER so as to allow CUSTOMER’s business operations to continue uninterrupted during the verification process. In the event CUSTOMER has not paid for all Unity Products then in use by CUSTOMER or additional licenses for platforms on which Titles have been deployed are required for CUSTOMER’s compliance with the relevant material terms of this Agreement, CUSTOMER shall pay UTECH’s resulting invoice in accordance with the provisions of Section 5.1 above. 
		

		
			5.3Tax.  CUSTOMER will pay all amounts due under this Agreement in U.S. currency.  All fees payable under this Agreement are net amounts and are payable in full, without deduction for taxes or duties of any kind.  CUSTOMER will be responsible for, and will promptly pay, all taxes and duties of any kind (including but not limited to sales, use and withholding taxes) associated with this Agreement or CUSTOMER’s receipt or use of the Unity Products, except for taxes based on UTECH’s net income.  In the event that UTECH is required to collect any tax for which CUSTOMER is responsible, CUSTOMER will pay such tax directly to UTECH.  If CUSTOMER pays any withholding taxes that are required to be paid under applicable law, CUSTOMER will furnish UTECH with written documentation of all such tax payments, including receipts.
		

		
			5.4 Unity Accounts Receivable. All CUSTOMER payments will be sent to UTECH’s accounts receivable at the following addresses:
		

		
			 
		

		
			Check Payments
		

		
			Unity Technologies ApS
		

		
			345 Broadway Street, Suite 200
		

		
			San Francisco, CA 94133
		

		
			Attn: Accounts Receivable
		

		
			 
		

		
			Wire Payments
		

		
			***
ABA number (routing number): ***
SWIFT: ***
Account number: ***
		

		
			Account: Unity Technologies ApS
		

		
			 
		

		
			6.Marketing and Branding.
		

		
			 
		

		
			6.1Publicity.   Neither party shall, without the prior written consent of the other party, issue any press release or other publicity relating to this Agreement, the other party or the relationship between the parties. Notwithstanding the foregoing, during the Term, UTECH may use CUSTOMER’s name in its customer lists and web site, and may list and display 
		

		 

		

			5

		

		

			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		CUSTOMER’s names of Titles, along with screenshots and marketing materials provided by CUSTOMER to UTECH on UTECH’s web site upon public release of each Title.  CUSTOMER shall use commercially reasonable efforts to provide screenshots and marketing materials reasonably requested by UTECH within fifteen (15) days of such request.
		

		
			 
		

		
			6.2Branding.   ***    Any use of a UTECH Mark by CUSTOMER must correctly attribute ownership of such mark to UTECH and must be in accordance with applicable law and UTECH’s then-current trademark usage guidelines, if applicable.  CUSTOMER hereby grants to UTECH and its Affiliates a non-exclusive, non-transferable license, during the Term (as defined below in Section 7.1), to use the CUSTOMER’s marks solely in connection with Section 6.1 above and any additional branding initiatives that the parties may mutually agree upon in writing.  Any use of a CUSTOMER’s mark by UTECH must correctly attribute ownership of such mark to CUSTOMER and must be in accordance with applicable law and CUSTOMER’s then-current trademark usage guidelines, if applicable, or as otherwise approved in advance by CUSTOMER in writing.  CUSTOMER acknowledges and agrees that UTECH owns the UTECH Marks and that any and all goodwill and other proprietary rights that are created by or that result from CUSTOMER’s use of a UTECH Mark hereunder inure solely to the benefit of UTECH, and likewise, UTECH acknowledges and agrees that CUSTOMER owns CUSTOMER’s marks and that any goodwill and other proprietary rights that are created by or result from UTECH’s use of the CUSTOMER marks inures solely to the benefit of CUSTOMER.    Therefore, neither party will at any time contest or aid in contesting the validity or ownership of any mark belonging to the other party or take any action in derogation of the owning party’s rights therein, including, but not limited to, applying to register any trademark, trade name or other designation that is confusingly similar to any marks belonging to the other party.
		

		
			7.Term and Termination.
		

		
			7.1Term.   This Agreement will commence on the Effective Date and will continue in effect for a period of two (2) years (the “Initial Term”), unless this Agreement is earlier terminated pursuant to Section 7.2. Upon expiration of the Term, *** by providing UTECH at least thirty  (30) days prior written notice *** the “Term.”  CUSTOMER acknowledges and agrees that each *** shall not include Enterprise Support set forth in Section 3.1 and further detailed in Exhibit D.
		

		
			7.2Termination.   Either party may terminate this Agreement at any time upon written notice to the other party if the other party breaches any material term hereof and fails to cure such breach within thirty (30)  days after receiving written notice of such breach from the non-breaching party.
		

		
			7.3Effects of Termination.   Upon expiration of the Term, CUSTOMER and its Affiliates shall cease all use of the Unity Source Code and will promptly permanently delete or destroy all copies of the Unity Source Code and so certify in writing.    CUSTOMER and its Affiliates may continue to use any fully paid up licenses for the Unity Products in Unity Object Code form after the expiration of the Term.   Thus such expiration shall have no effect on CUSTOMER’s Titles whether such Titles were released during the term of the Prior Agreement or during the Term or on CUSTOMER’s ability to support the same, provided that CUSTOMER’s support of its Titles does not imply any right to use or access to the Unity Source Code after the Term.  Notwithstanding the foregoing, in the case of termination of this Agreement by UTECH for an uncured material breach by CUSTOMER of Sections 2.1-2.6,  4, or 5.1 of this Agreement (to the extent CUSTOMER is able to take commercially reasonable steps to cure such breach), CUSTOMER will immediately cease all use of the Unity Source Code and all Unity Products in Unity Object Code form, and will promptly return to UTECH, permanently delete and/or destroy any copies of the Unity Source Code and Unity Object Code and so certify in writing.  All payable amounts of License Fees are immediately due and payable upon any termination of this Agreement other than a termination by CUSTOMER for an uncured breach by UTECH.  
		

		
			7.4 Survival.   After termination or expiration of this Agreement, the following Sections will survive:  Section 1, 2,  4,  7, 8,  9, 10 and 11.
		

		
			8.Representations; Disclaimer of Warranties.
		

		
			8.1UTECH’s Representations & Warranties.  UTECH makes the following representations and warranties to CUSTOMER:
		

		
			(a)The Unity Products will not infringe upon any copyright, trademark, trade secret or other proprietary right (other than a patent right) of another party; and to the best of UTECH’s knowledge the Unity Products will not infringe upon any patent rights of another party. 
		

		

		

		 

		

			6

		

		

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			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		(b)Use of UTECH’s trademarks, as directed by UTECH, on and in connection with the marketing and distribution of the Titles, will not infringe any trademark rights of others. 
		

		
			(c)UTECH has full corporate power to enter into this Agreement, to carry out its obligations hereunder and to grant the rights herein granted to CUSTOMER and its Affiliates. 
		

		
			8.2CUSTOMER's Representations & Warranties.  CUSTOMER makes the following representations and warranties to UTECH:    CUSTOMER has full power to enter into this Agreement and to carry out its obligations hereunder and to grant the rights herein granted to UTECH and its Affiliates. 
		

		
			8.3UTECH Indemnity.  UTECH agrees to indemnify, hold harmless and defend CUSTOMER and its Affiliates from all third party claims, defense costs (including reasonable attorneys' fees), settlements, judgments and other expenses arising out of or on account of the following (i) alleged or actual infringement or violation of any trademark, copyright, patent, trade secret or other proprietary right, where such alleged or actual infringement or violation is caused directly by the Unity Products or UTECH’s Marks, except to the extent any such claim arises solely from CUSTOMER’s or CUSTOMER’s Affiliates’ Modifications, whether or not UTECH was knowledgeable about the alleged or actual infringement, as applicable or (ii) alleged or actual violation of privacy rights of CUSTOMER’s end users where such violation of privacy rights was caused directly by the Unity Products.    In the event that CUSTOMER is enjoined from distributing one or more Titles in any country due to a claim for which UTECH is obligated to indemnify CUSTOMER pursuant to this Section 8, at UTECH’s option, UTECH will use its commercially reasonable efforts to procure a license from any claimants with respect to the Unity Product that will enable CUSTOMER to continue distributing the affected Titles in that country. In the event UTECH chooses to not seek or is unable to procure a license from any claimants with respect to the Unity Product that will enable CUSTOMER to continue distributing the affected Titles in that country, at CUSTOMER’s option, UTECH shall use commercially reasonable efforts to assist CUSTOMER in procuring such licenses.  Notwithstanding the above, UTECH shall have no liability to CUSTOMER for any claim to the extent that such claim is based upon any element of a Title other than the licensed Unity Product or portions thereof incorporated into such Titles or to the extent that it is a claim for which CUSTOMER has agreed to indemnify UTECH in Section 8.4 below. The rights granted to CUSTOMER under this Sections 8.3 shall be CUSTOMER’s sole and exclusive remedy for any alleged infringement of any intellectual property rights of any third party. 
		

		
			8.4CUSTOMER Indemnification.  CUSTOMER agrees to indemnify, hold harmless and defend UTECH and its Affiliates from all third party claims, defense costs (including reasonable attorneys' fees), judgments, settlements and other expenses arising out of the following: (i) alleged or actual infringement or violation of any trademark, copyright, patent, or trade secret which alleged or actual infringement or violation is caused directly by the Titles (except for claims arising with respect to the Unity Products or UTECH’s Marks or for claims which UTECH has agreed to indemnify CUSTOMER in Section 8.3 above); (ii) alleged or actual violation of privacy rights of CUSTOMER’s end users (except where such violation of privacy rights was caused directly by the Unity Products); and (iii) any violation by CUSTOMER (or any of its agents) of any law or regulation applicable to (a) CUSTOMER’s use of the Unity Products licensed by UTECH under this Agreement or (b) CUSTOMER’s creation, publication, commercialization, and distribution of the Titles.
		

		
			8.5Indemnification Procedures.   If any action shall be brought against one of the parties hereto in respect to which indemnity may be sought against the other party (the "Indemnifying Party") pursuant to Sections 8.3 or 8.4 above, the Indemnifying Party’s obligation to provide such indemnification will be conditioned on receipt of prompt notice of such claim (including the nature of the claim and the amount of damages and nature of other relief sought, if available) being provided to the Indemnifying Party by the party against which such action is brought (the "Indemnified Party").  The Indemnified Party’s rights and the Indemnifying Party’s obligations to indemnify, hold harmless and defend the Indemnified Party are not to be conditioned upon the timing of the delivery or receipt of such notice unless the Indemnified Party suffers actual detriment or prejudice as a result of the delay in providing the notice to the Indemnifying Party.  The Indemnifying Party shall, upon written notice from the Indemnified Party, conduct all proceedings or negotiations in connection with the action, assume the defense thereof, including settlement negotiations in connection with the action, and will be responsible for the costs of such defense, negotiations and proceedings. The Indemnifying Party will have sole control of the defense and settlement of any claims for which it provides indemnification hereunder, provided that the Indemnifying Party will not enter into any settlement of such claim without the prior approval of the Indemnified Party, which approval will not be unreasonably withheld.  The Indemnified Party shall cooperate with the Indemnifying Party in all reasonable respects in connection with the defense of any such action at the expense of the Indemnifying Party. The 
		

		 

		

			7

		

		

			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		Indemnified Party shall have the right to retain separate counsel and participate in the defense of the action or claim at its own expense.
		

		
			8.6Disclaimer.  Except for the express warranties of UTECH in this Section  8,  UTECH makes no other warranties, relating to the Unity Product, including Unity Source Code, express or implied.  UTECH disclaims and excludes any and all implied warranties, including but not limited to implied warranties of merchantability or fitness for a particular purpose. CUSTOMER will make no warranty, express or implied, on behalf of UTECH.
		

		
			9.Limitation of Liability.
		

		
			*** IN NO EVENT WILL EITHER PARTY OR ITS AFFILIATES BE LIABLE FOR ANY INDIRECT, PUNITIVE, SPECIAL, INCIDENTAL OR CONSEQUENTIAL DAMAGES IN CONNECTION WITH OR ARISING OUT OF THIS AGREEMENT (INCLUDING LOSS OF BUSINESS, REVENUE, PROFITS, USE, DATA OR OTHER ECONOMIC ADVANTAGE), HOWEVER CAUSED AND REGARDLESS OF THE THEORY OF LIABILITY, EVEN IF SUCH PARTY HAS BEEN PREVIOUSLY ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.   EXCEPT FOR A MISUSE OF UTECH’S INTELLECTUAL PROPERTY BY CUSTOMER, INCLUDING BUT NOT LIMITED TO A MISUSE OF UTECH’S INTELLECTUAL PROPERTIES IN CONNECTION WITH VIOLATIONS OF SECTION 2, OR A BREACH OF THE CONFIDENTIALITY OBLIGATIONS UNDER SECTION 4 BY A PARTY OR ITS AFFILIATES, EACH PARTY AND THEIR RESPECTIVE AFFILIATES’ TOTAL LIABILITY TO ONE ANOTHER UNDER THIS AGREEMENT IS LIMITED TO THE AMOUNT OF THE FEES PAID OR PAYABLE TO UTECH BY CUSTOMER.
		

		
			10.General Provisions.
		

		
			10.1Assignment.  Neither party may assign its rights and obligations under this Agreement, in whole or in part, without the prior written consent of the other party, which consent will not be unreasonably withheld;  provided, however, that this Agreement may be assigned by either party (a) to an entity that acquires all or substantially all of the assets or stock of the party (an “M&A Event”), or (b) to an Affiliate of such party.    The parties hereby acknowledge and agree that it shall be reasonable for UTECH to withhold its consent if CUSTOMER’s M&A Event is to occur with a company whose primary business is competitive with UTECH, or if CUSTOMER’s Affiliate is a company whose primary business is competitive with UTECH.  Any attempt to assign this Agreement, without such consent, will be null and of no effect.  Subject to the foregoing, this Agreement will bind and inure to the benefit of each party's successors and permitted assigns.
		

		
			10.2Entire Agreement.  Following the termination of the Prior Agreement in accordance with Section 3.3, this Agreement and its Exhibits constitutes the entire, final and exclusive understanding and agreement between the parties pertaining to the subject matter hereof, and supersedes all prior and contemporaneous agreements, understandings, negotiations and discussions, whether oral or written, of the parties. The provisions of this Agreement may not be amended or supplemented in any way except by written agreement executed by both parties hereto. 
		

		
			10.3Governing Law. This Agreement will be governed by and construed in accordance with the laws of the State of California excluding that body of law known as conflict of laws.  The parties expressly agree that the United Nations Convention on Contracts for the International Sale of Goods will not apply.  Any legal action or proceeding arising under this Agreement will be brought exclusively in the federal or state courts located in the Northern District of California and the parties hereby irrevocably consent to the personal jurisdiction and venue therein.
		

		
			10.4Attorneys' Fees.  In any suit or proceeding between the parties relating to this Agreement, the prevailing party will have the right to recover from the other(s) its costs and reasonable fees and expenses of attorneys, accountants, and other professionals incurred in connection with the suit or proceeding, including costs, fees and expenses upon appeal, separately from and in addition to any other amount included in such judgment.  This provision is intended to be severable from the other provisions of this Agreement, and shall survive and not be merged into any such judgment.
		

		
			10.5Relationship of parties.   The parties have the status of independent contractors, and nothing in this agreement shall be deemed to place the parties in the relationship of employer-employee, principal-agent, partners or joint venturers, nor to confer on either party any express or implied right, power or authority to enter into any agreement or commitment on behalf of the other party, nor to impose any obligation upon the other party.
		

		

		

		 

		

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			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		10.6Force Majeure.   Neither party shall be deemed in default of the Agreement to the extent that performance of their obligations or attempts to cure any breach are delayed or prevented by reason of any act of God, fire, natural disaster, accident, act of government, shortage of materials or supplies or any other cause beyond the control of such party ("Force Majeure").
		

		
			10.7Partial Invalidity. Should any provision of this Agreement be held to be void, invalid or inoperative, the remaining provisions of this Agreement shall not be affected and shall continue in effect as though such provisions were deleted.
		

		
			10.8Injunctive Relief.  The parties acknowledge and agree that in the event of any breach of Sections 2.1-2.6, 4,  and 5.2,  the non-breaching party will suffer irreparable damage for which it will have no adequate remedy at law.  Accordingly, the non-breaching party will be entitled to seek injunctive and other equitable remedies to prevent or restrain, temporarily or permanently, such breach, in addition to any other remedy that such non-breaching may have at law or in equity.
		

		
			10.9Nonexclusive Remedy.  Except as expressly set forth in this Agreement, the exercise by either party of any of its remedies under this Agreement will be without prejudice to its other remedies under this Agreement or otherwise.
		

		
			10.10Notices.  Any notice required by this Agreement will be effective and deemed received three (3) days after posting with the United States Postal Service when mailed by certified mail, return receipt requested, properly addressed and with the correct postage, or one (1) day after pick-up by or drop-off to the courier server when sent by overnight courier, properly addressed and prepaid.  All communications will be sent to the addresses set forth above or to such other address as may be specified by either party to the other in accordance with this Section.  Either party may change its address for notices under this Agreement by giving written notice to the other party by the means specified in this Section.    
		

		
			A copy of any notice sent to UTECH shall also be sent (and notices shall not be deemed as delivered until such copy is sent) to:
		

		
			Unity Technologies
		

		
			345 Broadway Street, Suite 200
		

		
			San Francisco, CA 94133
		

		
			Attn: General Counsel 
		

		
			10.11Export Control.  CUSTOMER agrees to comply fully with all relevant export laws and regulations of the United States (“Export Laws”) to ensure that neither the Unity Product, nor any direct product thereof are: (a) exported or re-exported directly or indirectly in violation of Export Laws; or (b) used for any purposes prohibited by the Export Laws, including but not limited to nuclear, chemical, or biological weapons proliferation.
		

		
			11.Signatures.
		

		
			This Agreement is valid if signed in two copies, each party receiving one copy. This Agreement may also be signed in multiple counterparts, including via facsimile transmission, all of which taken together shall constitute one agreement.
		

		
			 
		

		
			 
		

		
			IN WITNESS WHEREOF, the parties have caused this Agreement to be executed as of the Effective Date by their duly authorized representatives.
		

		
			UNITY TECHNOLOGIES APS GLU MOBILE INC. 
		

		
			 
		

		
			By: /s/ Henrik NielsenBy:/s/ Niccolo De Masi
		

		
			Name:Henrik NielsenName:Niccolo De Masi
		

		
			Title:CFO & COOTitle:CEO
		

		

		

		 

		

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			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		Exhibit A
		

		
			 
		

		
			Unity Products
		

		
			 
		

		
			 
		

		
			Unity Pro versions ***
		

		
			The Unity engine and editor that provide an authoring environment with a series of integrated tools, modules, and components which is designed to allow for the creation of interactive content, as well as providing for asset management, project revision and tracking, and team-based production, and all Updates thereto. 
		

		
			 
		

		
			*** and *** add-ons 
		

		
			Optional Unity Pro add-ons that provide the ability to publish on the *** platforms, and all Updates thereto.
		

		
			 
		

		
			Unity Source Code 
		

		
			Unity Source Code (as defined in the Agreement) for the *** Pro add-ons described above.  CUSTOMER acknowledges and agrees that, ***
		

		
			 
		

		
			Unity Team License 
An add-on component to the Unity Pro editor which provides tools for development teams to share and develop interactive content while maintaining version control, synchronized projects assets, and other components on a project by project basis, and all Updates thereto.
		

		
			 
		

		
			Unity Web Player 
UTECH’s client that integrates with browsers or comparable interface for all available platforms that can play back UTECH files, and all Updates thereto.
		

		
			 
		

		
			 
		

			
	
			
				 ·
			

			
	
			

		

		 

		

			10

		

		

			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

			

		
			Exhibit B
		

		
			 
		

		
			CUSTOMER TITLES
		

		
			Titles:
		

		
			CUSTOMER and its Affiliates may develop ***,  in accordance with the terms and provisions of this Agreement.
		

		
			 
		

		
			Platforms:
		

		
			*** 
		

		
			For the avoidance of doubt, CUSTOMER acknowledges and agrees that CUSTOMER and its Affiliates may use the Unity Source Code and create ***.
		

		
			___________________________
		

		
			* If and when Unity Pro for Windows 8 for desktop and tablet becomes commercially available
		

		 

		

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			CONFIDENTIAL 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		
		

		
			Exhibit C
		

		
			 
		

		
			License Fees and Payment Terms
		

		
			 
		

		
			 
		

		
			License fee for the Term:  USD *** (the “License Fee”) 
		

		
			 
		

		
			The License Fee entitles CUSTOMER to:
		

			
	
			
				 ·
			

			
	
			
			Unity Source Code for ***,  including ***, for the duration of the Term 

			
	
			
				 ·
			

			
	
			
			*** new Unity Pro ***seat licenses*+

			
	
			
				 ·
			

			
	
			
			*** Upgrades of Unity Pro from ***

			
	
			
				 ·
			

			
	
			
			*** new Team Licenses ***

			
	
			
				 ·
			

			
	
			
			*** Upgrades of CUSTOMER’s existing Team Licenses ***

			
	
			
				 ·
			

			
	
			
			*** new Unity *** seat licenses+

			
	
			
				 ·
			

			
	
			
			*** Upgrades of CUSTOMER’s existing Unity *** licenses ***

			
	
			
				 ·
			

			
	
			
			*** new Unity *** seat licenses+

			
	
			
				 ·
			

			
	
			
			*** Upgrades of CUSTOMER’s existing Unity *** licenses ***

			
	
			
				 ·
			

			
	
			
			Enterprise Support for the duration of the Initial Term

		
			________________________________
		

		
			*  Any add-on product licenses must be purchased separately for each developer/seat that requires access to such add-on product, in addition to the Unity Pro license.
		

		
			+  In the event version *** is not commercially available on the Effective Date, UTECH shall deliver to CUSTOMER version *** of the Unity Product on the Effective Date, and shall Upgrade such licenses as soon as such Upgrade becomes commercially available.
		

		
			 
		

		
			The License Fee shall be payable in four (4) installments in accordance with Section 5 of the Agreement as follows:
		

		
			 
		

			
	
			
				 ·
			

			
	
			
			$*** due and payable no later than thirty (30) days from the Effective Date of this Agreement (less a credit for ***);  

			
	
			
				 ·
			

			
	
			
			$*** due and payable six (6) month from the Effective Date of this Agreement;

			
	
			
				 ·
			

			
	
			
			$*** due and payable twelve (12) months from the Effective Date of this Agreement; and

			
	
			
				 ·
			

			
	
			
			$*** due and payable eighteen (18) months from the Effective Date of this Agreement.

		
			 
		

		
			During the Initial Term only, CUSTOMER may order additional seat licenses of Unity Products,  at a *** discount from UTECH’s then-current published price list located at https://store.unity3d.com, by placing an order in accordance with Section 5.1 of the Agreement.  In the event that UTECH releases Windows Phone 8 add-on versions of the Unity Product during the Initial Term, the *** discount for seat licenses set forth herein shall apply to the Windows Phone 8 add-on licenses purchased during the Initial Term.  Payment for such additional orders shall be due and payable no later than thirty (30) days from receipt of invoice, in accordance with Section 5.1 of the Agreement.
		

		
			 
		

		
			In the event CUSTOMER wishes to use Unity Source Code for PC/MAC ***:
		

		
			 
		

			
					
						Additional Source Code Licenses

					
						(Unrestricted)*

					
					
						List Price

					
					
						1-2 Titles 

					
					
						3-4 Titles 

					
					
						5-6 Titles  

					
					
						7+ Titles 

				
	
					
						***

					
					
						***

					
					
						***

					
					
						***

					
					
						***

				
	
					
						Unity Source Code for PC/MAC ***

					
					
						***

					
					
						***

					
					
						***

					
					
						***

					
					
						***

				
	
					
						* ***; prices are per Title, per year of source code access; Unity Pro seat licenses must be purchased separately (as needed); no use of source code after expiration of the designated source code term

				

		
			 
		

		 

		

			12

		

		

			 

		

		

			 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

			
					
						Additional Source Code Licenses

					
						(Restricted Use)*

					
					
						List Price

					
					
						1-2 Titles 

					
					
						3-4 Titles 

					
					
						5-6 Titles  

					
					
						7+ Titles 

				

		 

		

			13

		

		

			 

		

		

			 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

			
					
						***

					
					
						***

					
					
						***

					
					
						***

					
					
						***

				

		 

		

			14

		

		

			 

		

		

			 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

			
					
						Unity Source Code for PC/MAC ***

					
					
						***

					
					
						***

					
					
						***

					
					
						***

					
					
						***

				
	
					
						* *** prices are per Title, per year of source code access; Unity Pro seat licenses must be purchased separately; no use of source code after designated source code term

					
					
						 

				

			
					
						 

				
	
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

					
					
						 

				
	
					
						Unity Source Code for PC/MAC Transferability Per Title

					
					
						0-6 Months

					
					
						6-12 Months

					
					
						13-24 Months

					
					
						24+ Months

					
					
						 

				
	
					
						Fee

					
					
						Fee

					
					
						Fee

					
					
						No Transferability

					
					
						 

				
	
					
						*** of Title License fee

					
					
						*** of Title License fee

					
					
						*** of Title License fee

					
					
						***

					
					
						 

				

		
			 
		

		
			*** Fees:  
		

		
			After the Initial Term, should CUSTOMER elect to exercise its option for a ***(as such term is defined in Section 7.1), CUSTOMER shall pay UTECH *** per each ***, payable in full prior to the commencement of each *** but no later than thirty (30) days from receipt of UTECH’s invoice in accordance with Section 5.1 of the Agreement.  
		

		
			 
		

		
			Subject to the payment of the *** Fee, during each such *** CUSTOMER and its Affiliates may, ***, and only for versions ***, and (2) ***.
		

		
			 
		

		
			CUSTOMER acknowledges and agrees that each *** shall not include any *** as set forth in Section *** of the Agreement and further detailed ***.  Standard support, consisting of email at support@unity3d.com and access to the online support forum and Unity Answers knowledge base on the UTECH website may be available, but CUSTOMER understands that even such support may be limited in the event a new version (***)  of the Unity Product has been released. 
		

		
			
		

		
			 
		

		
			 
		

		

		

		 

		

			15

		

		

			 

		

		

			 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		
		

		
			Exhibit D
		

		
			ENTERPRISE SUPPORT AGREEMENT 
		

		
			Definitions: 
		

		
			'Software' means the Unity Products licensed by the CUSTOMER and its Affiliates and for which CUSTOMER has purchased Support.
		

		
			'Support' means the Enterprise Support Manager Services and Enterprise Support Services as further defined in Section A “Enterprise Support Terms” of this Support Agreement below.
		

		
			'Support Agreement' means this Enterprise Support Agreement.
		

		
			‘Support Personnel’ means any Unity employee, any agent or other third party authorized by Unity to provide Support.
		

		
			'Support Request' means a question, issue or concern posted on the support website as notified by Unity in the English language.
		

		
			“Unity” means Unity Technologies ApS or its Affiliates.
		

			
	
			
				 A.
			

			
	
			
			Enterprise Support Terms:

		
			Capitalized words used in this Support Agreement but not defined shall retain the meanings ascribed to them in the Unity Technologies Software License Agreement, entered into between Unity and Glu Mobile Inc. (“CUSTOMER”) (the “Agreement”).
		

		
			In accordance with the terms of this Support Agreement, Unity will provide CUSTOMER and its Affiliates the following Support services during the Initial Term (as defined in Section 7.1 of the Agreement):
		

		
			Enterprise Support Manger Services:  Unity will assign to CUSTOMER a designated Enterprise Support Manager (“ESM”).  The ESM will be responsible for the following services:
		

		
			a)  Coordinating and facilitating Unity Personnel and technical resources as needed to enable (1) a holistic approach to solution deployment and management, (2) effective and timely communication between Unity and CUSTOMER teams, (3) proactive identification of and resolution of emerging issues, and (4) effective prioritization of efforts by considering business impact on CUSTOMER and support priorities.
		

		
			b)  Maintaining an understanding and awareness of CUSTOMER’s technical use of Software and engagement and act as a liaison between CUSTOMER and other Unity technical departments as required.
		

		
			c)  Escalation management for Critical requests (as further referred to in the Section B below).
		

		
			d)  Proactive communication on relevant/ covered product releases, where available.
		

		
			e)  *** on-site visits by the ESM (each a “Site Visit”) or another qualified Support engineer, during each twelve (12)-month period during the Term on mutually agreeable dates.  Each of the Site Visits will be at least one (1) month apart and will not exceed two (2) days duration. All travel and living expenses associated with the Site Visit shall be paid for by Unity.  CUSTOMER acknowledges and agrees that the 
		

		 

		

			16

		

		

			 

		

		

			 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		Site Visits cannot be carried over to subsequent one (1) year periods; additional on-site visits can be purchased for a fee.  
		

		
			Support Services:  Unity will provide to CUSTOMER the following “Support Services” during the Term:
		

		
			a)  Provide ***, based on CUSTOMER’s US location) support service responses for critical issues (Priority 1) affecting any Software products;  provide support service responses during regular business hours for non-critical issues (Priority 2-4) affecting any Software.  Regular business hours are CUSTOMER-location dependent and defined as:
		

			
	
			
				 ·
			

			
	
			
			Europe: 9am through 5pm, Monday to Friday

			
	
			
				 ·
			

			
	
			
			US: 8am through 4pm, Monday to Friday

			
	
			
				 ·
			

			
	
			
			Asia:  9am through 5pm Monday to Friday 

		
			In addition, on up to *** occasions during a *** period, and with *** advance notice, Unity can make ESM and Support engineers available during weekends to deal with Critical, Urgent and Important Priority (Priority levels  1,  2 and 3)  level issues.
		

		
			b)  Respond to properly submitted Support Requests concerning installation, activation, license migration, configuration, troubleshooting and/or any other issues which may arise in connection with the Software in accordance with the response times specified in this Support Agreement; responses to be provided by Unity Support engineers;
		

		
			c)  Undertake commercially reasonable efforts, at Unity's discretion, to provide either work-arounds or to correct faults in the Software.
		

			
	
			
				 B.
			Response Time Objectives: 

			
					
						Priority

					
					
						Severity

					
					
						Initial Response Time

				
	
					
						1

					
					
						Critical

					
					
						***

				
	
					
						2

					
					
						Urgent

					
					
						***

				
	
					
						3

					
					
						Important

					
					
						***

				
	
					
						4

					
					
						Minor

					
					
						***

				

			
	
			
				 ·
			

			
	
			
			CRITICAL (Priority 1) — the problem results in extremely serious interruptions to development of Titles. It has affected, or could affect, the entire CUSTOMER team. Data integrity is compromised or the issue is at risk of causing missed critical project deadlines or deliverables. CUSTOMER shall call its ESM for all critical priority 1 issues.

			
	
			
				 ·
			

			
	
			
			URGENT (Priority 2) — the problem results in serious interruptions to development of Titles.  Portions of the CUSTOMER team cannot perform important tasks, but the error does not impair essential operations. Major game components cannot operate correctly due to issues with the Software or APIs or performance issues are apparent.

			
	
			
				 ·
			

			
	
			
			IMPORTANT (Priority 3) — the problem causes interruptions in development of Titles. It does not prevent operation of a Title. The error is attributed to malfunctioning or incorrect behavior of the Software. The issue will affect a pilot or proof-of-concept.

		 

		

			17

		

		

			 

		

		

			 

		

 

		

			*Confidential Treatment has been requested for 

		

		

			the marked portions of this exhibit pursuant 

		

		

			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

			
	
			
				 ·
			

			
	
			
			MINOR (Priority 4) — the problem results in minimal or no interruptions to development of Titles (no business impact). The issue consists of "how to" questions including issues related to APIs and integration, installation and configuration inquiries, enhancement requests, or documentation questions.

		
			For Priority 1 Critical case Support Requests, the response time shall be not more than *** from the time CUSTOMER contacts Unity.   Customer shall: 
		

			
	
			
				 ·
			

			
	
			
			Initiate all Critical case requests via telephone (to be provided by Unity), such call to be initiated by a senior level developer or producer.  

			
	
			
				 ·
			

			
	
			
			Reproduce the alleged error. 

			
	
			
				 ·
			

			
	
			
			Provide Unity with a designated contact during the remedy period, either onsite or by pager, to assist with data gathering, troubleshooting, testing and applying the proposed solution.

		
			In the event CUSTOMER does not fulfill the above-referenced requirements,  Unity, in its sole and reasonable discretion, may downgrade the priority level of the Support Request.
		

		
			For all Priority level Support Requests, Unity shall undertake commercially reasonable efforts to; a) acknowledge receipt of a Support Request from a technical support contact within the time allotted (“Initial Response Time”) (such acknowledgements will generally be via the same medium of communication by which the Support Request was reported); b) provide a short status report to CUSTOMER within a reasonable time after the Support Request is acknowledged;  and c) address the Support Request by providing a remedy that could take the form of eliminating the defect in order to bring the Software into substantial conformity with applicable documentation, providing updates, or demonstrating how to avoid the effects of the defect with reasonable effort.  For Critical and Urgent Support Requests, UTECH shall make commercially reasonable efforts to address the Support Request as set forth in subsection (c) of this paragraph above within two (2) business days after the Initial Response Time (the “Secondary Response Time”).  When UTECH is not able to address a Support Request within the Secondary Response Time, then UTECH shall promptly notify CUSTOMER as to the planned response time for such Support Request, which planned response time shall be reasonable in light of the severity and priority of the applicable Support Request, subject to the limitations described in Section D below.  Where CUSTOMER has licensed Unity Source Code, a  remedy may also include error & code corrections, patches, bug fixes, workarounds (i.e. temporary solutions used to complete a task that would not otherwise be possible due to a problem or limitation in the affected Software), replacement deliveries or any other type of software or documentation corrections or modifications. Each party acknowledges that despite a party's reasonable efforts, not all problems may be solvable.
		

		
			UTECH enterprise Support engineers will investigate each Support Request.  Where on-going investigation is required, CUSTOMER will receive regular updates to their Support Request.  Additionally, such updates may increase or lower the severity of the issue, in which case the frequency of updates will change accordingly.
		

		
			If Unity, in its sole and reasonable discretion, determines that remote troubleshooting and investigation techniques employed by Unity have been unsuccessful and that on-site support is the most effective way to provide the services and deliverables, CUSTOMER will not be charged for such onsite support but will be charged for travel and living expenses.
		

		
			Customer shall have unlimited access to Unity’s on-line support resources at http://unity3d.com/support/.
		

		
			CUSTOMER acknowledges and agrees that Unity may, at its reasonable discretion, subcontract the provision of Support, other than the ESM role, to third parties; provided, however, that Unity shall continue to remain primarily responsible under the terms of this Support Agreement and shall ensure that such third party service provider provides all Support Services in accordance with the terms herein and in accordance with best industry standards.  In all instances Unity will use suitably qualified Support Personnel.
		

		

		

		 

		

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		C.CUSTOMER Obligations:
		

		
			CUSTOMER shall:
		

		
			a) Use suitable qualified engineers and artists to develop using the Software;
		

		
			b) Use industry recognized development methodologies;
		

		
			c) Provide accurate and complete descriptions of problems and issues;
		

		
			d) Co-operate with Support Personnel where elaboration of an issue is required;
		

		
			e) Provide script, artwork or project folders where needed by Support Personnel, subject to the confidentiality provisions of the Agreement and any other CUSTOMER confidentiality restrictions; (in the event Unity determines, at its reasonable discretion, that such script, artwork or project folders are necessary in order to respond to a Support Request, but such script, artwork or project files are not provided by CUSTOMER,  UTECH shall not be liable for resolution of such Support Request); 
		

		
			f) Provide development timetables including milestones and deliverables, subject to CUSTOMER confidentiality restrictions, as necessary to enable Unity to provide timely and efficient Support Services;
		

		
			g) Recognize that Support Services are often a collaborative and iterative process;
		

		
			h) Assign each problem a priority level as set out below;
		

		
			i) Close Support Requests when the issue or problem has been resolved;
		

		
			j) Designate up to ten (10) named qualified, English-speaking, technical support contacts and shall provide contact details (in particular e-mail address and telephone number) by means of which the ESM can contact at any time.  CUSTOMER’s designated technical support contacts shall be authorized representative empowered to make necessary decisions for CUSTOMER or bring about such decisions without undue delay;
		

		
			k) Share Support responses between members of the team;
		

		
			m) Assess Support responses for suitability to the CUSTOMER and respond in a timely fashion when the response is not suitable.
		

		
			D.Limitations:
		

		
			Unity's obligation to provide Support Services shall extend only to the most recent version of the Software and CUSTOMER acknowledges and agrees that Support shall be limited for any prior version of the Software, but Unity will provide support of prior versions to the extent the provision of such support is commercially reasonable and not burdensome.
		

		
			Support Requests sent to Unity using methods other than that defined by Support Request site will be handled in a manner of Unity's choosing and will not qualify for the response times set out above.
		

		
			CUSTOMER may require to lock down on a particular version of Software.  In the event that CUSTOMER will request prior permission to lock down, and if granted by Unity, then Unity shall provide Support to CUSTOMER only for that locked down version. When errors or malfunctions exist in the locked down version that have been fixed in later versions, Unity shall have no obligation to continue to fix the locked down version.
		

		

		

		 

		

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		Unity shall neither provide Support to end users of the CUSTOMER's Titles nor to sub-contractors working for CUSTOMER.
		

		
			Unity will have no obligation to provide support services of any kind for problems in the operation or performance of the Software to the extent caused by any of the following (each, a “CUSTOMER-Generated Error”): (a) if Unity can show that the problem is caused by third party software or hardware products or use of the Unity Product in conjunction therewith or (b) CUSTOMER’s use of the Software other than as authorized in this Agreement.  If Unity determines that it is necessary to perform Support Services for a problem in the operation or performance of the Software that is caused by a CUSTOMER-Generated Error, then Unity will notify CUSTOMER thereof as soon as Unity is aware of such CUSTOMER-Generated Error and Unity will have the right to invoice CUSTOMER at Unity's then-current time and materials rates for all such Support Services performed by Unity and CUSTOMER will pay Unity within thirty (30) days of the date of such invoices. 
		

		
			Where resolution to a Support Request requires an extended time period in to provide the final response, Unity shall provide regular updates to CUSTOMER at reasonable intervals in light of the severity and priority for the applicable Support Request.
		

		
			Unity does not warrant or guarantee that the final response times set out above in this Support Agreement will be met, or that claimed or actual defects or malfunctions in the Software will in fact be corrected. 
		

		
			TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, UNITY EXPRESSLY DISCLAIMS ALL WARRANTIES TERMS OR CONDITIONS OF ANY KIND, WHETHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO ANY IMPLIED WARRANTIES TERMS AND CONDITIONS OF MERCHANTABILITY, SATISFACTORY QUALITY, FITNESS FOR A PARTICULAR PURPOSE AND NON-INFRINGEMENT, WITH RESPECT TO ANY SUPPORT.
		

		
			CUSTOMER EXPRESSLY UNDERSTANDS AND AGREES THAT UNITY AND ITS SUBSIDIARIES, HOLDING COMPANIES AND OTHER AFFILIATES SHALL NOT BE LIABLE TO CUSTOMER UNDER ANY THEORY OF LIABILITY (WHETHER CONTRACT, TORT INCLUDING NEGLIGENCE OR OTHERWISE) FOR ANY DIRECT, INDIRECT, INCIDENTAL, SPECIAL CONSEQUENTIAL OR EXEMPLARY DAMAGES THAT MAY BE INCURRED BY CUSTOMER THROUGH THE PROVIDED SUPPORT, INCLUDING ANY LOSS OF DATA, GOODWILL, BUSINESS REPUTATION OR OTHER INTANGIBLE LOSS WHETHER OR NOT LICENSOR OR ITS REPRESENTATIVES HAVE BEEN ADVISED OF OR SHOULD HAVE BEEN AWARE OF THE POSSIBILITY OF ANY SUCH LOSSES ARISING.
		

		
			 
		

		

		

		 

		

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		AMENDMENT TO 
		

		
			UNITY TECHNOLOGIES SOFTWARE LICENSE AGREEMENT
		

		
			 
		

		
			This amendment (“Amendment”) dated as of October 29, 2014 (“Amendment Effective Date”) between Unity Technologies ApS, a Danish corporation with its principal place of business at Vendersgade 28, DK-1363 Copenhagen, Denmark (“UTECH”) and Glu Mobile Inc.,  a Delaware corporation with its principal place of business at 500 Howard Street, Suite 300, San Francisco, CA  94105 (“CUSTOMER”).  
		

		
			RECITALS 
		

		
			WHEREAS, the parties have entered into a Unity Technologies Software License Agreement (“Agreement”) on October 29, 2012, where UTECH licensed certain Unity Products and Unity Source Code to CUSTOMER.
		

		
			WHEREAS, the Initial Term of the Agreement will expire on October 29, 2014, and CUSTOMER hereby elects to renew the Agreement (in accordance with the terms of this Amendment), allowing CUSTOMER to continue to use those Unity Products and Unity Source Code listed in the current Exhibit C and purchase those described in the revised Exhibit C to this Amendment (as attached hereto as “Attachment A,” “Revised Exhibit C”) throughout the Renewed Term (as defined below).  
		

		
			NOW THEREFORE, in consideration of the mutual covenants and agreements hereinafter set forth and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows: 
		

		
			AGREEMENT 
		

		
			1.Definitions:  Upon the Amendment Effective Date, Section 1 of the Agreement will be amended to include the following revised definitions:
		

		
			“1.7 “Unity Source Code” means the source code for *** during the Initial Term, and the applicable Upgrades and their Updates (if any) during the Renewed Term and any Extension Period, as each term is defined in Section 7.1).  
		

		
			1.8“Unity Source Code for PC/MAC” means the source code for *** during the Initial Term, and the applicable Upgrades and their Updates (if any) during the Renewed Term and any Extension Period, as each term is defined in Section 7.1). 
		

		
			1.10  “Upgrades” means an upgrade to the Unity Products from the licensed version to a new version, ***.”
		

		
			The reference in Exhibit A to “*** is deemed to refer, upon the Amendment Effective Date, to the newer Upgrades and their respective Updates as and when provided to CUSTOMER during the Term.   
		

		

		

		 

		

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		2.Term:Section 7.1 of the Agreement shall be deleted in its entirety and replaced with the following: 
		

		
			 
		

		
			“This Agreement will commence on the Effective Date and will continue in effect for consecutive a periods of two  (2) years (the “Initial Term”) and three (3) consecutive years thereafter (the “Renewed Term”), expiring at 11:59 p.m. California time on October 28, 2017 unless this Agreement is earlier terminated pursuant to Section 7.2 of the Agreement or the Term is extended at CUSTOMER’s option as specified hereunder. Upon expiration of the Renewed Term, the term for the Unity Source Code license  for *** (whichever version has been  distributed to CUSTOMER as of October 28, 2017), and the Unity Source Code for PC/MAC license and any Updates thereto may be renewed for three additional one (1) year periods (each a “Extension Period(s)”) by providing UTECH at least thirty (30) days prior written notice of its intention to renew prior to the end of the Renewed Term or Extension Periods, as applicable, subject to CUSTOMER’s payment of the fees set forth in Exhibit C in accordance with the payment provisions set forth in Section 5.1.  For the purposes of clarification, UTECH shall deliver Updates (if any) during each Extension Period, and Enterprise Support will not be provided during a Extension Period unless separately purchased by CUSTOMER.  The Initial Term, Renewed Term and Extension Period(s) are collectively referred to herein as the “Term.””  
		

		
			 
		

		
			3.Enterprise Support:As of the Amendment Effective Date, Section 3.1 of the Agreement will be deleted in its entirety and replaced with the following:  
		

		
			“3.1  Enterprise Support.  Subject to payment of the applicable license fees set forth in Revised Exhibit C and subject to the terms and conditions of this Agreement, UTECH shall provide CUSTOMER and its Affiliates with enterprise level support during the Renewed Term in accordance with the terms set forth in Revised Exhibit D.  In the event CUSTOMER does not purchase an Enterprise License during a Extension Period, CUSTOMER will have access to the online forums and “Unity Answers” knowledge based on the UTECH web site and may email support@unityed.com for answers to license key questions.”    
		

		
			4.Exhibit C:  Upon the Amendment Effective Date, Exhibit C of the Agreement will be deleted in its entirety provided that the parties acknowledge and agree that CUSTOMER may continue using the Unity Products described in such Exhibit C and replaced with Attachment A (Revised Exhibit C) as attached to the Amendment.   
		

		
			5.Exhibit D:Upon the Amendment Effective Date, Exhibit D of the Agreement will be deleted in its entirety, and replaced with Attachment B (Revised Exhibit D) as attached to the Amendment.  
		

		

		

		 

		

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		6.Alpha & Beta Access:  Notwithstanding any provision to the contrary in this Amendment or the Agreement, UTECH will  include CUSTOMER and its Affiliates (solely with respect to major studios) in the alpha and beta feedback groups (at any time during the applicable testing periods as solely determined by UTECH) for up-coming new and updates to releases and features in Unity Products and other Unity services, .     
		

		
			7.General:Except as explicitly modified herein, all terms and conditions and provisions of the Agreement shall continue in full force and effect.  In the event of any inconsistency or conflict between the Agreement and this Amendment, the terms conditions and provisions of this Amendment shall govern and control.  All initially capitalized terms used and not otherwise defined herein shall have the meaning ascribed to them in the Agreement.  This Amendment may be executed in one or more counterparts and transmitted by facsimile or email as a PDF, TIFF or other image files, each transmission of which is deemed an original, and all of which, when take together, constitute one and the same instrument.
		

		
			IN WITNESS WHEREOF, the parties by their duly authorized representatives have executed this Amendment as of the Amendment Effective Date.  
		

		
			 
		

		
			UNITY TECHNOLOGIES ApSGLU MOBILE INC.  
		

		
			 
		

		
			By:  /s/ Lars Runov              By:  /s/ Scott Leichtner                 
		

		
			Name:  Lars Runov              Name:    Scott Leichtner                    
		

		
			Title:  Managing Director          Title:   Vice President and General Counsel 
		

		
			Date:  December 16, 2014         Date:   December 15, 2014               
		

		

		

		 

		

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			Attachment A
		

		
			REVISED EXHIBIT C 
		

		
			(Applicable during the Renewed Term and Extension Periods, if any) 
		

		
			A.Fees and Product-Specific License Terms (exclusive of the Enterprise License Unity Products and Support pricing) 
		

		
			 
		

			
					
						 

					
						Development Tools Seat License* $

					
						 

					
					
						Unit List Price (No Discount) 

					
					
						 Pricing (***% Discount) 

				
	
					
						***

					
					
						$***

					
					
						$***

				
	
					
						***

					
					
						$***

					
					
						$***

				
	
					
						***

					
					
						$***

					
					
						$***

				
	
					
						***

					
					
						$***

					
					
						$***

				
	
					
						*Prices are per end user/developer; all *** licenses purchased during the Renewed Term may be aggregated for the purpose of the volume discount set forth above.

					
						$  Prices will be effective on the date CUSTOMER makes the first payment of the Enterprise License (defined in Section B below).  

					
						 

					
						In addition to the seat licenses covered in Section B below, CUSTOMER may order additional seat licenses of such additional Unity Products at the prices specified above under the column “Pricing (***% Discount”) by placing an order in accordance with Section 5.1 of the Agreement.    Payment for such additional orders shall be due and payable no later than thirty (30) days from receipt of invoice, in accordance with Section 5.1 of the Agreement.

					
						 

				

		
			 
		

			
					
						Unity Source Code License (applicable during Extension Periods) 

					
					
						 

					
						Unit List Price*

					
						(per year)

					
						 

				
	
					
						PC/MAC/Mobile#

					
					
						$***

				
	
					
						*Prices are per year for *** Titles of source code access.  

					
						#Mobile will include ***)

					
						Each Extension Period is one year; a maximum of 3 Extension Periods are available to CUSTOMER. 

				

		
			 
		

		

		

		 

		

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			B.ENTERPRISE LICENSE & PRICING   
		

		
			 
		

			
					
						ENTERPRISE LICENSE

				
	
					
						Development Tools*

					
					
						Renewed Term  Total  $

					
					
						Total

				
	
					
						***

					
					
						Up to *** seat licenses 

					
					
						 

				
	
					
						***

					
					
						Up to *** seat licenses 

					
					
						 

				
	
					
						***

					
					
						Up to *** seat licenses 

					
					
						 

				
	
					
						***

					
					
						Up to *** seat licenses 

					
					
						 

				
	
					
						Source Code Licenses

					
					
						 

					
					
						 

				
	
					
						***

					
					
						***

					
					
						 

				
	
					
						Development Tools & Source Code 

					
					
						 

					
						 

					
						$*** 

					
						@ $*** per year

					
						 

				
	
					
						Support

					
					
						 

					
					
						 

				
	
					
						Enterprise Support#

					
					
						***

					
					
						 

				

		 

		

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						 Enterprise Support

					
						 

					
					
						 

					
						$***

					
						@ $*** per year

					
						 

				
	
					
						TOTAL ENTERPRISE LICENSE## 

					
						(“Enterprise Term License Fee”)

					
					
						 

					
					
						$***

				

		
			 
		

		
			*  Includes all Updates and Upgrades (as such terms are defined in the Agreement, as amended).  Includes *** during the Renewed Term.  
		

		
			$ “Renewed Term” is defined as three (3) years.  With regard to the Enterprise License, the aggregate total seat licenses shall not exceed *** for any tool at any time of the Renewed Term; provided, however, that CUSTOMR may purchase additional seat licenses at the prices set forth in Section A of this Revised Exhibit C.  
		

		
			# The Enterprise Support does not include Chinese language support.  If CUSTOMER elects to engage Chinese language Enterprise Support services (subject to Revised Exhibit D), then CUSTOMER will pay UTECH an additional $*** per year to receive such services. 
		

		
			## Enterprise Term License Fee shall be paid as follows:  
		

		
			(1) $*** payable within thirty (30) days of execution of this Amendment and receipt of the Unity invoice; and 
		

		
			(2) $*** upon the first year anniversary of the Amendment Effective Date (i.e., 12 months from the Amendment Effective Date).
		

		
			 
		

		
			 
		

		

		

		 

		

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			Attachment B
		

		
			Revised Exhibit D
		

		
			ENTERPRISE SUPPORT AGREEMENT 
		

		
			Definitions: 
		

		
			'Software' means the Unity Products licensed by the CUSTOMER and its Affiliates and for which they have purchased Support.
		

		
			'Support' means the support service as further defined in this Support Agreement.
		

		
			'Support Agreement' means this Enterprise Support Agreement.
		

		
			‘Support Personnel’ means any Unity employee, any agent or other third party authorized by Unity to provide Support.
		

		
			'Support Request' means a question, issue or concern posted on the support website as notified by Unity in the English language.
		

		
			“Unity” means Unity Technologies ApS or its Affiliates.
		

		
			A.Enterprise Support Terms:
		

		
			Capitalized words used in this Support Agreement but not defined herein shall retain the meanings ascribed to them in the Unity Technologies Software License Agreement, as amended, entered into between Unity Technologies ApS (“Unity”) and Glu Mobile Inc. (“CUSTOMER”) (the “Agreement”). 
		

		
			In accordance with the terms of this Support Agreement, Unity will provide CUSTOMER and its Affiliates the following Support services during each year of the Renewed Term (as defined in Section 7.1 of the Agreement):
		

		
			Enterprise Support Manger Services:  Unity will assign to CUSTOMER a designated Enterprise Support Manager (“ESM”).  The ESM will be responsible for the following services:
		

		
			a)  Coordinating and facilitating Unity Support Personnel and technical resources as needed to enable (1) a holistic approach to solution deployment and management, (2) effective and timely communication across Unity and CUSTOMER teams, (3) proactive identification and resolution of emerging issues, and (4) effective prioritization of efforts by considering business impact on CUSTOMER and support priorities.
		

		
			b) Maintaining an understanding and awareness of CUSTOMER’s technical use of the Software and engagement within the account and act as a liaison between CUSTOMER and other Unity technical departments as required.
		

		
			c)  Escalation management for Critical requests (as further referred to in Section B  below).
		

		
			d)  Proactive communication on relevant/covered product releases, where available, and Updates and Upgrades.
		

		

		

		 

		

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		e)     *** onsite visits, consisting of up to two (2) consecutive days for each visit, every 12 months at the offices of CUSTOMER for project reviews where a ESM will go onsite to review, analyze, provide feedback and provide best practices and advice for the CUSTOMER’s project (“Project Reviews”).  Each of the Project Reviews must be at least one (1) month apart and will not exceed two (2) days duration.  All travel and living expenses associated with the Project Reviews shall be paid for by Unity.  CUSTOMER acknowledges and agrees that Project Reviews cannot be carried over to subsequent one (1) year periods; additional on-site visits can be purchased for a fee. 
		

		
			Support Services: Unity will provide to CUSTOMER the following “Support Services” during the Term:
		

		
			a)  Provide ***, based on Unity’s  location) support service responses for critical issues (Priority 1) affecting any Software products; provide support service responses during regular business hours for non-critical issues (Priority 2-4) affecting any Software products. Regular business hours are CUSTOMER-location dependent and are defined as follows:
		

			
	
			
				 ·
			

			
	
			
			Europe (Moscow, Russia):  9 a.m. – 5 p.m., Monday through Friday

			
	
			
				 ·
			

			
	
			
			US & Canada: 8 a.m. through 4 p.m., Monday through Friday

			
	
			
				 ·
			

			
	
			
			Asia: 9 a.m. through 5 p.m. Monday through Friday, provided that Support will not be provided in the Chinese language unless CUSTOMER pays Unity the additional fee listed in the Revised Exhibit C for Support in Chinese local language.  

		
			In addition, on up to *** occasions during a *** Support period, and with *** advance notice, Unity can make ESM and Support engineers (English speaking only, unless CUSTOMER pays for Chinese language support) available during weekends to deal with Critical, Urgent and Important Priority (Priority levels 1, 2 and 3) level issues.    
		

		
			b)  Respond to properly submitted Support Requests concerning installation, activation, license migration, configuration, troubleshooting and/or any other issues which may arise in connection with the Software submitted to Unity in accordance with the response times specified in this Support Agreement; responses to be provided by Unity Support engineers;
		

		
			c)  Undertake commercially reasonable efforts, at Unity's discretion, to provide either work-arounds or to correct faults in the Software.
		

		
			Consulting Services:  CUSTOMER may purchase additional onsite consultancy services from Unity at a ***% discount on the then current rates published on Unity’s web site at https://store.unity3d.com/products/support. 
		

		
			B.Response Time Objectives: 
		

			
					
						Priority

					
					
						Severity

					
					
						Initial Response Time

				
	
					
						1

					
					
						Critical

					
					
						***

				
	
					
						2

					
					
						Urgent

					
					
						***

				
	
					
						3

					
					
						Important

					
					
						***

				

		 

		

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						4

					
					
						Minor

					
					
						***

				
	
					
						 

					
					
						 

					
					
						 

				

			
	
			
				 ·
			

			
	
			
			CRITICAL (Priority 1) — the problem results in extremely serious interruptions to development of Titles. It has affected, or could affect, the entire CUSTOMER team. Data integrity is compromised or the issue is at risk of causing missed critical project deadlines or deliverables. CUSTOMER shall call its ESM for all critical priority 1 issues.

			
	
			
				 ·
			

			
	
			
			URGENT (Priority 2) — the problem results in serious interruptions to development of Titles. Portions of the CUSTOMER team cannot perform important tasks, but the error does not impair essential operations. Major game components cannot operate correctly due to issues with the Software or APIs or performance issues are apparent.

			
	
			
				 ·
			

			
	
			
			IMPORTANT (Priority 3) — the problem causes interruptions in development of Titles. It does not prevent operation of a Title. The error is attributed to malfunctioning or incorrect behavior of the Software. The issue will affect a pilot or proof-of-concept.

			
	
			
				 ·
			

			
	
			
			MINOR (Priority 4) — the problem results in minimal or no interruptions to development of Titles (no business impact). The issue consists of "how to" questions including issues related to APIs and integration, installation and configuration inquiries, enhancement requests, or documentation questions.

		
			For Priority 1 Critical case Support Requests, CUSTOMER shall: 
		

			
	
			
				 ·
			

			
	
			
			Initiate all Critical case requests via telephone (to be provided by Unity), such call to be initiated by a senior level developer or producer.

			
	
			
				 ·
			

			
	
			
			In addition to the telephone request, file a Support Request via the Support website provided to CUSTOMER by Unity upon activation of Support services, which shall include an accurate and complete description of the problem and issues.

			
	
			
				 ·
			

			
	
			
			Reproduce the alleged error. 

			
	
			
				 ·
			

			
	
			
			Provide Unity with a designated contact during the remedy period, either onsite or by email/text/pager, to assist with data gathering, troubleshooting, testing and applying the proposed solution.

		
			In the event CUSTOMER does not fulfill its obligations as described below in Section C , Unity, in its sole discretion, may downgrade the priority level of the Support Request.
		

		
			With respect to all Priority level Support Requests, Unity shall undertake reasonable efforts to (a) acknowledge receipt of a Support Request from a technical support contact within the time allotted (“Initial Response Time”); this will generally be via the same medium of communication by which the Support Request was reported; b) provide a short status report to CUSTOMER within a reasonable time after the Support Request is acknowledged; c) address the Support Request by providing a remedy that could take the form of eliminating the defect in order to bring the Software into substantial conformity with applicable documentation, providing updates, or demonstrating how to avoid the effects of the defect with reasonable commercial effort.  For Critical and Urgent Support Requests, Unity shall make commercially reasonable efforts to address the Support Requests as set forth in the immediately subsection (c) of this paragraph within two (2) business days after the Initial Response Time (the “Secondary Response Time”). When Unity is not able to address a Support Request within the Secondary Response Time, then Unity shall promptly notify CUSTOMER as to the planned time 
		

		 

		

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		for such Support Request, which response time shall be reasonable in light of the severity and priority of the applicable Support Request and subject to the limitations described below in Section D.   Where CUSTOMER has licensed Unity Source Code, remedy may also include error corrections, patches, bug fixes, workarounds (i.e. temporary solutions used to complete a task that would not otherwise be possible due to a problem or limitation in the affected Software), replacement deliveries or any other type of software or documentation corrections or modifications. Each party acknowledges that despite a party's reasonable efforts, not all problems may be solvable.
		

		
			Unity enterprise Support engineers will investigate the Support Request.  Where on-going investigation is required, CUSTOMER will receive regular updates to their Support Request.  Additionally, such updates may increase or lower the severity of the issue, in which case the frequency of updates will change accordingly.
		

		
			If Unity, in its sole discretion, determines that remote troubleshooting and investigation techniques employed by Unity have been unsuccessful and that on-site support is the most effective way to provide the services and deliverables, CUSTOMER will not be charged for such on-site support but will be charged for travel and living expenses, provided, however, that Unity shall provide estimates of such costs in advance for CUSTOMER’s approval.
		

		
			CUSTOMER shall have unlimited access to Unity’s on-line support resources at http://unity3d.com/learn/.
		

		
			CUSTOMER acknowledges and agrees that Unity may at its discretion subcontract the provision of Support, other than the ESM role, to third parties; provided, however, that Unity shall continue to remain primarily responsible under the terms of this Support Agreement and shall ensure that such third party service provider provides all agreed support in accordance with the terms herein and in accordance with best industry standards.  In all instances Unity will use suitably qualified Support Personnel.
		

		
			C.CUSTOMER Obligations:
		

		
			CUSTOMER shall:
		

		
			a) Use suitable qualified engineers and artists to develop using the Software;
		

		
			b) Use industry recognized development methodologies;
		

		
			c)  Provide accurate and complete descriptions of problems and issues by submitting a Support Request via the Support website provided to CUSTOMER by Unity upon activation of Support services unless otherwise instructed by Unity;
		

		
			d) Cooperate with Support Personnel where elaboration of an issue is required;
		

		
			e) Provide script, artwork or project folders where needed by Support Personnel, subject to the confidentiality provisions of the Agreement and any other CUSTOMER confidentiality restrictions;
		

		
			f) Provide development timetables including milestones and deliverables subject to CUSTOMER confidentiality restrictions as necessary to enable Unity to provide timely and efficient Support;
		

		

		

		 

		

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			to Rule 24b-2 of the Securities Act of 1934, as amended

		

		

			 

		

		

			 

		

		g) Recognize that Support is often a collaborative and iterative process;
		

		
			h) Assign each problem a priority level as described above;
		

		
			i) Close Support Requests when the issue or problem has been resolved;
		

		
			j) Designate up to *** named qualified, English-speaking, technical support contacts and provide contact details (in particular e-mail address and telephone number) by means of which the ESM can contact at any time.  CUSTOMER’s designated technical support contacts shall be authorized representative empowered to make necessary decisions for CUSTOMER or bring about such decisions without undue delay;
		

		
			k) Share Support responses between members of the team;
		

		
			l) Assess Support responses for suitability to the CUSTOMER and respond in a timely fashion when the response is not suitable.
		

		
			D.Limitations:
		

		
			Unity's obligation to provide Support shall extend only to the most recent version of the Software and, for at least *** after an Upgrade, provide Support for the immediately prior version of the Software, and provide Support for any other prior versions of the Software licensed to CUSTOMER pursuant to the Agreement to the extent Support of prior versions is commercially reasonable and not burdensome.    
		

		
			Support does not include any on-site or telephone support except as otherwise provided in this Support Agreement.  CUSTOMER may purchase consulting and/or training services at the hourly rate (to be discounted by ***%) as described above this Exhibit D, Section A. The results and proceeds of any Unity-provided training and consulting services, including any and all training materials, created or provided by Unity during such consulting and/or training services shall be deemed to be the intellectual property of Unity, and Unity shall grant to CUSTOMER a non-exclusive, royalty-free license to use such training materials, only to the extent necessary to enable CUSTOMER to exercise all of the rights granted to CUSTOMER in connection with the Support services and usage of the licenses granted to it pursuant to the Agreement.
		

		
			Unity and Support Personnel will accept, attend to and work on up to a maximum of *** concurrent Support Requests from CUSTOMER.  Any additional Support Requests can be submitted only after existing Support Requests have been resolved and closed.  CUSTOMER can adjust the order of the submitted Support Requests by setting priority levels via written notice to Unity or through mutual negotiations. 
		

		
			Support Requests sent to Unity using methods other than that defined by the Support Request site will be handled in a manner of Unity's choosing and will not qualify for the initial response times set out above.
		

		
			All members of CUSTOMER teams with access to the Support website will be able to view the full contents of all Support Requests submitted on behalf of CUSTOMER. CUSTOMER acknowledges that no provision shall be made for restricted-access Support Requests.
		

		

		

		 

		

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		CUSTOMER may lock down on a particular version of Software.  In the event that CUSTOMER requests prior permission to lock down, and if permission is granted by Unity, Unity shall provide Support to CUSTOMER only for that locked down version. When errors or malfunctions exist in the locked down version that have been fixed in later versions, Unity shall have no obligation to continue to fix the locked down version.
		

		
			Unity shall neither provide Support to end users of the CUSTOMER's product, nor to sub-contractors working for CUSTOMER.  No more than *** members of CUSTOMER teams shall at any one time be authorized by Unity to contact Unity Support Personnel with Support Requests.  CUSTOMER shall designate up to *** named individual members of CUSTOMER’s team (collectively, “CUSTOMER Personnel”) as direct contacts for Support Personnel.  For the avoidance of doubt, only designated CUSTOMER Personnel may submit Support Requests. 
		

		
			 
		

		
			Unity will have no obligation to provide support services of any kind for problems in the operation or performance of the Software to the extent caused by any of the following (each, a “CUSTOMER-Generated Error”): (a) if Unity can show that the problem is caused by third party software or hardware products or use of the Software in conjunction therewith or (b) CUSTOMER’s use of the Software other than as authorized in this Agreement.  If Unity determines that it is necessary to perform Support services for a problem in the operation or performance of the Software that is caused by a CUSTOMER-Generated Error, then Unity will notify CUSTOMER thereof as soon as Unity is aware of such CUSTOMER-Generated Error and Unity will have the right to invoice CUSTOMER at Unity's then-current time and materials rates for all such support services performed by Unity and CUSTOMER will pay Unity within thirty (30) days of the date of such invoices. 
		

		
			Where resolution to a problem requires extended time in to provide the final response, Unity shall provide regular and frequent updates to CUSTOMER at reasonable intervals in light of the severity and priority for the applicable Support Request.
		

		
			Unity does not warrant or guarantee that the claimed or actual defects or malfunctions in the Software will in fact be corrected. 
		

		
			 
		

		
			TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, UNITY AND ITS AFFILIATES EXPRESSLY DISCLAIM ALL WARRANTIES TERMS OR CONDITIONS OF ANY KIND, WHETHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO ANY IMPLIED WARRANTIES TERMS AND CONDITIONS OF MERCHANTABILITY, SATISFACTORY QUALITY, FITNESS FOR A PARTICULAR PURPOSE AND NON-INFRINGEMENT, WITH RESPECT TO ANY SUPPORT.
		

		
			 
		

		
			CUSTOMER EXPRESSLY UNDERSTANDS AND AGREES THAT UNITY AND AFFILIATES SHALL NOT BE LIABLE TO CUSTOMER UNDER ANY THEORY OF LIABILITY (WHETHER CONTRACT, TORT INCLUDING NEGLIGENCE OR OTHERWISE) FOR ANY DIRECT, INDIRECT, INCIDENTAL, SPECIAL CONSEQUENTIAL OR EXEMPLARY DAMAGES THAT MAY BE INCURRED BY CUSTOMER THROUGH THE PROVIDED SUPPORT, INCLUDING ANY LOSS OF DATA, GOODWILL, BUSINESS REPUTATION OR OTHER INTANGIBLE LOSS WHETHER OR NOT UNITY OR ITS REPRESENTATIVES HAVE BEEN ADVISED OF OR SHOULD HAVE BEEN AWARE OF THE POSSIBILITY OF ANY SUCH LOSSES ARISING.
		

		
			 
		

		

		

		 

		

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		AMENDMENT #2 TO 
		

		
			UNITY TECHNOLOGIES SOFTWARE LICENSE AGREEMENT
		

		
			This second amendment (“Amendment #2”) dated as of December 18, 2014 (“Amendment #2 Effective Date”) between Unity Technologies ApS, a Danish corporation with its principal place of business at Vendersgade 28, DK-1363 Copenhagen, Denmark (“UTECH”) and Glu Mobile Inc.,  a Delaware corporation with its principal place of business at 500 Howard Street, Suite 300, San Francisco, CA  94105 (“CUSTOMER”).  
		

		
			RECITALS 
		

		
			WHEREAS, the parties have entered into a Unity Technologies Software License Agreement on October 29, 2012, as amended on October 29, 2014 (“Amendment”)(collectively, the “Agreement”), where UTECH licensed certain Unity Products and Unity Source Code to CUSTOMER.
		

		
			WHEREAS, UTECH has agreed to issue a discount to CUSTOMER, in exchange of modifying the payment schedule to the Enterprise Term License Fee set forth in the Amendment.  
		

		
			NOW THEREFORE, in consideration of the mutual covenants and agreements hereinafter set forth and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows: 
		

		
			AGREEMENT 
		

		
			1.Payment Schedule to the Revised Exhibit C:  With respect to the Enterprise Term License Fee set forth in Section B of the Revised Exhibit C to the Amendment, UTECH shall issue a one-time only discount in the amount of ***  (“Discount”) applicable only to the first payment of the Enterprise Term License Fee referenced in footnote “## (1)”; provided, however, that in order to receive the Discount, UTECH must receive such first payment  by or on December 31, 2014.  For clarity, after applying the Discount the amount of the Enterprise Term License Fee’s first payment shall be $***.  If UTECH does not receive such payment by or on December 31, 2014, then the Discount will not be applied to the Enterprise Term License Fee’s first payment, and CUSTOMER shall pay the full amount of $***. The Enterprise Term License Fee’s second payment is unaffected by this Amendment #2.    
		

		
			2.Unity Accounts Receivable:  The mailing address for UTECH set forth in Section 5.4 of the Agreement is deleted and replaced with the following:  
		

		
			“Unity Technologies ApS
		

		
			795 Folsom Street, Suite 200
		

		
			San Francisco, CA 94107”
		

		
			3.General:Except as explicitly modified herein, all terms and conditions and provisions of the Agreement shall continue in full force and effect.  In the event of any inconsistency or conflict between the Agreement and this Amendment #2, the terms conditions and provisions of this Amendment #2 shall govern and control.  All initially capitalized terms used and not otherwise defined herein shall have the meaning ascribed to them in the Agreement.  This 
		

		 

		

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		Amendment #2 may be executed in one or more counterparts and transmitted by facsimile or email as a PDF, TIFF or other image files, each transmission of which is deemed an original, and all of which, when take together, constitute one and the same instrument.
		

		
			IN WITNESS WHEREOF, the parties by their duly authorized representatives have executed this Amendment #2 as of the Amendment #2 Effective Date.  
		

		
			 
		

		
			UNITY TECHNOLOGIES ApSGLU MOBILE INC.  
		

		
			 
		

		
			By:  /s/ Lars Runov              By:  /s/ Scott Leichtner                 
		

		
			Name:  Lars Runov              Name:    Scott Leichtner                    
		

		
			Title:  Managing Director          Title:   Vice President and General Counsel 
		

		
			Date:  December 19, 2014         Date:   December 18, 2014               
		

		
			 
		

		 

		

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