Document:

Exhibit 10.16a

FIRST AMENDMENT TO AMENDED AND RESTATED AGREEMENT FOR RESEARCH & DEVELOPMENT ALLIANCE ON TRIEX MODULE TECHNOLOGY

This FIRST AMENDMENT TO AMENDED AND RESTATED AGREEMENT FOR RESEARCH & DEVELOPMENT ALLIANCE ON TRIEX MODULE TECHNOLOGY (this “Amendment”) is effective as of October 31, 2014 (the “Effective Date”) and is by and between THE RESEARCH FOUNDATION FOR THE STATE UNIVERSITY OF NEW YORK (“FOUNDATION”), a non-profit educational corporation existing under the laws of the State of New York, having an office located at 257 Fuller Road, Albany, New York 12203, on behalf of the Colleges of Nanoscale Science and Engineering of the State University of New York Polytechnic Institute), and SILEVO, INC. (“SILEVO”), a Delaware corporation with its principal office located at 45655 Northport Loop East, Fremont, California 94555. FOUNDATION and SILEVO are each referred to herein sometimes individually as a “Party” or, collectively, as “Parties.”

I.          RECITALS 

I.1.       FOUNDATION and SILEVO entered into that certain Amended and Restated Agreement for Research & Development Alliance on Triex Module Technology effective as of September 2, 2014 (the “Agreement”) 

I.2.       The parties wish to amend the terms of Section 19.14 of the Agreement as set forth in this Amendment.

THEREFORE, in consideration of the mutual promises and covenants contained in this Amendment and other good and valuable consideration, the receipt and sufficiency of which hereby are acknowledged, and intending to be legally bound hereby, the Parties agree as follows: 

II.          DEFINED TERMS 

In addition to the terms defined elsewhere in this Amendment, capitalized terms that are used but not defined herein shall have the meanings ascribed to such terms in the Agreement.

III.         AMENDMENTS 

Section 19.4 is amended by deleting the reference to “within sixty (60) days of the Effective Date” and replacing it with “by December 15, 2014”.

IV.        MISCELLANEOUS 

No amendment or modification of this Amendment shall be valid or binding upon the Parties unless in a writing executed by both of the Parties.  This Amendment, together with the Agreement, is the complete and exclusive statement of the agreement of the Parties in respect of the subject matter described in this Amendment and shall supersede all prior and contemporaneous agreements, communications, representations, and understandings, either oral or written, between the Parties or any officers, agents or representatives thereof.  This Amendment may be signed in one or more counterparts, each of which shall be deemed to be an original and all of which when taken together shall constitute the same Amendment.  Any signed copy of this Amendment made by photocopy, facsimile or PDF Adobe format shall be considered an original.  Except as amended and/or modified by this Amendment, the Agreement is hereby ratified and confirmed and the Agreement and all other terms thereof shall remain in full force and effect, unaltered and unchanged by this Amendment.  In the event of any conflict between the provisions of this Amendment and the provisions of the Agreement, the provisions of this Amendment shall prevail.  Whether or not specifically amended by this Amendment, all of the terms and provisions of the Agreement are hereby amended to the extent necessary to give effect to the purpose and intent of this Amendment.   

IN WITNESS WHEREOF, the Parties hereto have caused this Amendment to be executed and delivered by their duly authorized representatives as of the Effective Date. 

 

THE RESEARCH FOUNDATION FOR

THE STATE UNIVERSITY OF NEW YORK

 

	
By:
	
 
	
/s/ Christine Waller

	
Name:
	
 
	
Christine Waller

	
Title:
	
 
	
Operations Manager

 

SILEVO, INC.   

 

	
By:
	
 
	
/s/ Chris Beitel

	
Name:
	
 
	
Chris Beitel

	
Title:
	
 
	
EVP Global Operations & PlanningExhibit 10.16b

SECOND AMENDMENT TO AMENDED AND RESTATED AGREEMENT FOR RESEARCH & DEVELOPMENT ALLIANCE ON TRIEX MODULE TECHNOLOGY

This SECOND AMENDMENT TO AMENDED AND RESTATED AGREEMENT FOR RESEARCH & DEVELOPMENT ALLIANCE ON TRIEX MODULE TECHNOLOGY (this “Amendment”) is effective as of December 15, 2014 (the “Effective Date”) and is by and between THE RESEARCH FOUNDATION FOR THE STATE UNIVERSITY OF NEW YORK (“FOUNDATION”), a non-profit educational corporation existing under the laws of the State of New York, having an office located at 257 Fuller Road, Albany, New York 12203, on behalf of the Colleges of Nanoscale Science and Engineering of the State University of New York Polytechnic Institute), and SILEVO, INC. (“SILEVO”), a Delaware corporation with its principal office located at 45655 Northport Loop East, Fremont, California 94555. FOUNDATION and SILEVO are each referred to herein sometimes individually as a “Party” or, collectively, as “Parties.”

I.          RECITALS 

I.1.       FOUNDATION and SILEVO entered into that certain Amended and Restated Agreement for Research & Development Alliance on Triex Module Technology effective as of September 2, 2014, as amended by a First Amendment thereto effective as of October 31, 2014 (as amended, the “Agreement”) 

I.2.       The parties wish to amend the terms of Section 19.14 of the Agreement as set forth in this Amendment.

THEREFORE, in consideration of the mutual promises and covenants contained in this Amendment and other good and valuable consideration, the receipt and sufficiency of which hereby are acknowledged, and intending to be legally bound hereby, the Parties agree as follows: 

II.         DEFINED TERMS 

In addition to the terms defined elsewhere in this Amendment, capitalized terms that are used but not defined herein shall have the meanings ascribed to such terms in the Agreement.

III.         AMENDMENTS 

Section 19.14 is amended by deleting the reference to “December 15, 2014” and replacing it with “February 13, 2015”.

IV.        MISCELLANEOUS  

No amendment or modification of this Amendment shall be valid or binding upon the Parties unless in a writing executed by both of the Parties.  This Amendment, together with the Agreement, is the complete and exclusive statement of the agreement of the Parties in respect of the subject matter described in this Amendment and shall supersede all prior and contemporaneous agreements, communications, representations, and understandings, either oral or written, between the Parties or any officers, agents or representatives thereof.  This Amendment may be signed in one or more counterparts, each of which shall be deemed to be an original and all of which when taken together shall constitute the same Amendment.  Any signed copy of this Amendment made by photocopy, facsimile or PDF Adobe format shall be considered an original.  Except as amended and/or modified by this Amendment, the Agreement is hereby ratified and confirmed and the Agreement and all other terms thereof shall remain in full force and effect, unaltered and unchanged by this Amendment.  In the event of any conflict between the provisions of this Amendment and the provisions of the Agreement, the provisions of this Amendment shall prevail.  Whether or not specifically amended by this Amendment, all of the terms and provisions of the Agreement are hereby amended to the extent necessary to give effect to the purpose and intent of this Amendment.   

IN WITNESS WHEREOF, the Parties hereto have caused this Amendment to be executed and delivered by their duly authorized representatives as of the Effective Date. 

THE RESEARCH FOUNDATION FOR  

THE STATE UNIVERSITY OF NEW YORK  

 

	
By: 
	
 
	
/s/ Christine Waller

	
Name: 
	
 
	
Christine Waller  

	
Title: 
	
 
	
Operations Manager   

 

SILEVO, INC.   

 

	
By: 
	
 
	
/s/ Lyndon Rive

	
Name: 
	
 
	
Lyndon Rive 

	
Title:
	
 
	
PresidentExhibit 4.2

 Exhibit 4.2 

EXECUTION VERSION 
 KONINKLIJKE
PHILIPS ELECTRONICS N.V., 
 as the COMPANY 

TO 
 DEUTSCHE BANK TRUST COMPANY
AMERICAS, 
 as the TRUSTEE 
  

 
 FIRST SUPPLEMENTAL INDENTURE 

Dated as of March 9, 2012 
  

 
 To the Indenture, dated as of March
11, 2008, 
 between Koninklijke Philips Electronics N.V. and 

Deutsche Bank Trust Company Americas, as trustee 

 TABLE OF CONTENTS 

 

							
	 	  	 	  	Page	 
		
	 ARTICLE I AMENDMENT OF INDENTURE 
	  	 	3	  
			
	 SECTION 1.01
	  	Amendment of Section 115.	  	 	3	  
	 SECTION 1.02
	  	Amendment of Section 1108.	  	 	3	  
		
	 ARTICLE II MISCELLANEOUS PROVISIONS 
	  	 	4	  
			
	 SECTION 2.01
	  	Definitions.	  	 	4	  
	 SECTION 2.02
	  	Effect of Headings and Table of Contents.	  	 	4	  
	 SECTION 2.03
	  	Effectiveness.	  	 	4	  
	 SECTION 2.04
	  	Severability.	  	 	4	  
	 SECTION 2.05
	  	Benefits of Instrument.	  	 	4	  
	 SECTION 2.06
	  	Ratification and Integral Part.	  	 	4	  
	 SECTION 2.07
	  	Priority.	  	 	5	  
	 SECTION 2.08
	  	Successors and Assigns.	  	 	5	  
	 SECTION 2.09
	  	Counterparts.	  	 	5	  
	 SECTION 2.10
	  	The Trustee.	  	 	5	  
	 SECTION 2.11
	  	Governing Law.	  	 	5	  

  
 - 1 - 

 FIRST SUPPLEMENTAL INDENTURE, dated as of March 9, 2012 (the “First Supplemental
Indenture”), between KONINKLIJKE PHILIPS ELECTRONICS N.V., a corporation duly organized and existing under the laws of The Netherlands (the “Company”), and Deutsche Bank Trust Company Americas, a New York banking
corporation, as trustee (the “Trustee”) to the Indenture, dated as of March 11, 2008, between the Company and the Trustee (the “Indenture”). 

RECITALS 
 WHEREAS, the
Company and the Trustee are parties to the Indenture, which provides for the issuance from time to time of unsecured debt securities of the Company; 

WHEREAS, the Company has issued its 4.625% Notes due 2013 (the “2013 Notes”), 5.750% Notes due 2018 (the “2018
Notes”) and 6.875% Notes due 2038 (the “2038 Notes”) and such Securities constitute the only three series of Outstanding Securities under the Indenture; 

WHEREAS, Section 901(5) of the Indenture permits supplements thereto without the consent of Holders of Securities to change any of the
provisions of the Indenture in respect of the Securities of one or more series, provided that any such change shall neither (1) apply to any Security of any series Outstanding when such supplemental indenture is executed and entitled to the
benefit of such provision nor (2) modify the rights of any Holder of any such Outstanding Security with respect to such provision; 

WHEREAS, as contemplated by Section 901(5) of the Indenture, the Company, pursuant to the foregoing authority and as authorized by a
Board Resolution, proposes in and by this First Supplemental Indenture to amend the Indenture in the manner set forth herein; 
 WHEREAS,
the Company has taken all necessary corporate action to authorize the execution and delivery of this First Supplemental Indenture; 

WHEREAS, the Company has delivered to the Trustee an Officers’ Certificate, pursuant to Section 102 of the Indenture, and an Opinion
of Counsel, pursuant to Sections 102 and 903 of the Indenture, in connection with the execution of this First Supplemental Indenture; and 

WHEREAS, the Company has requested that the Trustee execute and deliver this First Supplemental Indenture; 

NOW, THEREFORE, THIS FIRST SUPPLEMENTAL INDENTURE WITNESSETH: 

  
 - 2 - 

 For and in consideration of the premises and the other good and valuable consideration, the
receipt and sufficiency of which is hereby acknowledged, the Company and the Trustee mutually agree as follows: 
  

ARTICLE I 

Amendment of Indenture 
 
SECTION 1.01 Amendment of Section 115. 
 The address of Philips Electronics North America Corporation set forth in
Section 115 (Appointment of Agent for Service) of the Indenture is amended to: 
 “Philips Electronics North America Corporation,
c/o David Dripchak, 345 Scarborough Road, Briarcliff Manor, New York 10510-8001, U.S.A., or at such other registered address furnished in writing to the Trustee by the Company.” 

SECTION 1.02 Amendment of Section 1108.  

For purposes of any Security of a series authenticated and delivered under the Indenture after the date hereof, other than Securities of the
same series as the 2013 Notes, the 2018 Notes or the 2038 Notes, Section 1108 of the Indenture is amended and replaced in its entirety by the following: 

“SECTION 1108. Optional Redemption Due to Changes in Tax Treatment. 

The Company will have the option to redeem the Securities of any series upon not less than 30 nor more than 60 days’ notice at any time,
if the Company determines that it will or would be required to pay Holders additional amounts as described in Section 203 or Section 301(19), and it cannot avoid such payment by reasonable measures available to it as a result of:
(i) a change in or amendment to the laws or regulations of The Netherlands (or of any political subdivision or taxing authority thereof or therein) or, in the case of any Person who has been substituted for the Company pursuant to
Section 802 of this Indenture, the jurisdiction of incorporation of such Person (or of any political subdivision or taxing authority thereof or therein), or (ii) a change in an official application or interpretation of those laws or
regulations, including a decision of any court or tribunal, in each case which becomes effective (1) in the case of the Company, on or after the earliest issue date of any Security of such series or (2) in the case of a successor Company
pursuant to Section 802 of this Indenture, on or after the date such successor assumes the obligation under such Securities. 
 In each
case, before the Company gives a notice of redemption, it shall be required to deliver to the Trustee an Officers’ Certificate confirming that the Company is entitled to exercise its right of redemption. The redemption must be made in respect
of 

  
 - 3 - 

 
all, but not some, of the Securities of the relevant series. The redemption price will be equal to 100% of the principal amount of such Securities together with any accrued but unpaid interest to
the date fixed for redemption.” 
 ARTICLE II 

Miscellaneous Provisions 

SECTION 2.01 Definitions. 

Except as otherwise expressly provided or unless the context otherwise requires, all terms used in this First Supplemental Indenture that are
defined in the Indenture shall have the meanings ascribed to them by the Indenture. 
 SECTION 2.02 Effect of
Headings and Table of Contents. 
 The Article and Section headings herein and the Table of Contents are for convenience only and shall
not affect the construction hereof. 
 SECTION 2.03 Effectiveness. 

This First Supplemental Indenture will become effective upon its execution and delivery. 

SECTION 2.04 Severability. 

In case any provision in this First Supplemental Indenture shall be invalid, illegal or unenforceable, the validity, legality and
enforceability of the remaining provisions shall not in any way be affected or impaired thereby. 
 SECTION 2.05
Benefits of Instrument. 
 Nothing in this First Supplemental Indenture, express or implied, shall give to any Person, other than the
parties hereto and their successors hereunder and the Holders, any benefit or any legal or equitable right, remedy or claim under this First Supplemental Indenture or the Indenture. 

SECTION 2.06 Ratification and Integral Part. 

The Indenture, as supplemented by this First Supplemental Indenture, is in all respects ratified and confirmed, and this First Supplemental
Indenture will be deemed an integral part of the Indenture in the manner and to the extent herein and therein provided. 

  
 - 4 - 

 SECTION 2.07 Priority. 

This First Supplemental Indenture shall be deemed part of the Indenture in the manner and to the extent herein and therein provided. The
provisions of this First Supplemental Indenture shall, subject to the terms hereof, supersede the provisions of the Indenture to the extent the Indenture is inconsistent herewith. 

SECTION 2.08 Successors and Assigns. 

All covenants and agreements in the Indenture, as supplemented and amended by this First Supplemental Indenture, by the Company will bind its
successors and assigns, whether so expressed or not. 
 SECTION 2.09 Counterparts. 

This First Supplemental Indenture may be executed in any number of counterparts, each of which so executed shall be deemed to be an original,
but all such counterparts shall together constitute but one and the same instrument. 
 SECTION 2.10 The
Trustee. 
 The Trustee shall not be responsible in any manner whatsoever for or in respect of the validity or sufficiency of this First
Supplemental Indenture or for or in respect of the recitals contained herein, all of which are made solely by the Company. 
 
SECTION 2.11 Governing Law. 
 This First Supplemental Indenture shall be governed by and construed in accordance with the laws
of the State of New York, except that the authorization and execution by the Company of the First Supplemental Indenture shall be governed by the laws of The Netherlands. 

  
 - 5 - 

 IN WITNESS WHEREOF, the parties hereto have caused this First Supplemental Indenture to be duly
executed, all as of the day and year first above written. 
  

			
	 KONINKLIJKE PHILIPS ELECTRONICS N.V.

as Company

		
	 By:
		 /s/ Marcio Barbosa

			Name: Marcio Barbosa
			Title: Head of Corporate Finance
	
	 DEUTSCHE BANK TRUST COMPANY AMERICAS

as Trustee

		
	 By:
		Deutsche Bank National Trust Company
		
	 By:
		 /s/ Jeffrey I. Schoenfeld

			Name: Jeffrey I. Schoenfeld
			Title: Associate
		
	 By:
		 /s/ Irina Golovashchuk

			Name: Irina Golovashchuk
			Title: Assistant Vice President

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